FR Doc E9-30691[Federal Register: December 29, 2009 (Volume 74, Number 248)]
[Notices]
[Page 68802-68808]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29de09-66]
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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 (Department) publishes this notice proposing to revise the
system of records for the Federal Student Financial Aid Application
File (18-11-01), 64 FR 30159-30161 (June 4, 1999), as corrected by, 64
FR 72407 (December 27, 1999), as corrected by, 65 FR 11294 (March 2,
2000), as corrected by 66 FR 18758 (April 11, 2001). This system of
[[Page 68803]]
records contains information provided by applicants for Title IV, HEA
Program assistance, on the Free Application for Federal Student Aid
(FAFSA). Among other purposes described in this notice, the information
is maintained in order to determine an applicant's eligibility for the
Federal student financial assistance programs authorized by Title IV of
the HEA; make a loan, grant or scholarship, and verify the identity of
the individual. This notice proposes to update the categories of
records maintained in this system, to clarify the system's purposes,
and to expand the routine uses to reflect needed programmatic
disclosures.
DATES: We must receive your comments on or before January 28, 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 December 22, 2009. 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 February 1, 2010, or the expiration of
a 30 day OMB review period on January 21, 2010 if OMB grants the
Department's request for a 10 day waiver of the review period; or (2)
January 28, 2010, unless the system of records needs to be changed as a
result of public comment or OMB review.
ADDRESSES: Address all comments about this altered system of records
to: Director, Application Processing Division, Program Management
Systems, Federal Student Aid, U.S. Department of Education, 830 First
Street, NE., Room 63C4, Union Center Plaza (UCP), Washington, DC 20202.
If you prefer to send your comments by e-mail, use the following
address: comments@ed.gov.
You must include the term ``Federal Student Aid Application File''
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 63C5, Union Center Plaza, 6th floor,
830 First Street, NE., Washington, DC, between the hours of 8:00 a.m.
and 4:30 p.m., local time, Monday through Friday except Federal
holidays.
Assistance to Individuals With Disabilities in Reviewing the Rulemaking
Record
On request we will supply an appropriate accommodation or auxiliary
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 accommodation or auxiliary
aid, please contact the person listed under FOR FURTHER INFORMATION
CONTACT.
FOR FURTHER INFORMATION CONTACT: Director, Application Processing
Division, Program Management Systems, Federal Student Aid, U.S.
Department of Education, 830 First Street, NE., Room 63C4, Union Center
Plaza (UCP), Washington, DC 20202. Telephone: (202) 377-3205. If you
use a telecommunications device for the deaf (TDD), you can call the
Federal Relay Service (FRS), toll free, at 1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Preamble
The Privacy Act of 1974 (5 U.S.C. 552a(e)(4)) requires the
Department to publish in the Federal Register this notice of an altered
system of records. 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 the individual, such as a name
or Social Security Number (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 notices of altered
systems of records in the Federal Register and to prepare reports to
Chair of the 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 whenever the agency
publishes a new system of records or significantly alters an
established system of records.
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 April 11, 2001
(66 FR 18758), a number of changes are needed to update the current
system of records. This notice proposes to update the categories of
records maintained in the system, to clarify the system's purposes, and
to expand the programmatic routine use disclosures needed to carry out
responsibilities under the Higher Education Act of 1965, as amended,
(HEA).
This system of records would facilitate the Secretary of
Education's performance of statutory duties to verify information
submitted by applicants and parents of dependent applicants. The
Secretary of Education, in cooperation with the Commissioner of the
Social Security Administration, is required under the HEA, to verify
Social Security Numbers (SSNs) submitted by applicants. In addition,
the Secretary of Education is required to verify the immigration status
of applicants through the use of computer matching. The Secretary also
collects information on parent(s) of dependent applicants, including
SSNs, dates of birth, first initials and last names. The Secretary
verifies the SSN of a parent of a dependent applicant in the same
manner that the SSN of an applicant is verified.
The changes proposed in the attached altered notice are intended to
expand the information maintained in the system, to clarify the
system's purposes, and to add routine uses to make disclosures needed
to carry out statutory responsibilities contained in the system.
Collectively, these revisions will enhance the ability of the Secretary
to combat fraud, waste, and abuse in the Department's programs and
operations and perform the statutorily required verification of data
submitted by student aid applicants and the parent(s) of dependent
applicants.
This system of records includes records on individuals who are
applying for Title IV, HEA program assistance. The records contain
individually identifying information about an applicant, including, but
not limited to: an applicant's name, address, SSN, date of birth,
citizenship status, status as a veteran, driver's license number,
marital status, and income and asset information. This system also
contains information provided by the parent(s) of a dependent
applicant, including, but not limited to: Name, date of birth, marital
status, SSN, highest level of schooling completed, e-mail address, and
income and asset information. This
[[Page 68804]]
system of records also contains information about the spousal income
and asset information of a married applicant.
Accessible Format: 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 under FOR FURTHER INFORMATION CONTACT.
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.
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: December 22, 2009.
William J. Taggart,
Chief Operating Officer, Federal Student Aid.
For the reasons discussed in the preamble, the Chief Operating
Officer, Federal Student Aid, of the U.S. Department of Education
(Education), publishes a notice of an altered system of records to read
as follows:
SYSTEM NUMBER:
18-11-01
SYSTEM NAME:
Federal Student Aid Application File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Virtual Data Center (VDC), 2300 W. Plano Parkway, Plano, TX, 75075
(Electronic records).
Vangent, 901 South 42nd Street, Mt Vernon, IL 62864 (Paper, Free
Application for Federal Student Aid (FAFSA) Applications Storage
Facility).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on students who apply for Federal
student financial assistance under the student financial assistance
programs authorized by Title IV of the Higher Education Act of 1965
(HEA), as amended (Title IV, HEA Programs). This system also contains
information on the parent(s) of a dependent applicant and the spouse of
a married applicant.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records contains information provided by applicants
for Title IV, HEA Program assistance, on the Free Application for
Federal Student Aid (FAFSA) including, but not limited to, the
applicant's name, address, Social Security Number (SSN), date of birth,
telephone number, driver's license number, e-mail address, citizenship
status, marital status, legal residence, status as a veteran,
educational status, and financial data. This system also contains
information provided about the parent(s) of a dependent applicant,
including, but not limited to, the parent's highest level of schooling
completed, marital status, SSN, last name and first initial, date of
birth, e-mail address, number in household supported by the parent, and
income and asset information. For an applicant who is married, this
system of records also contains spousal income and asset information.
While using this system to analyze its student population data for
verification selection via the Institutional Student Information Record
(ISIR) Analysis (IA) Tools product, postsecondary institution(s)
attended by the applicant may create user defined fields with
institutional data that is saved to the system. These data elements may
consist of information that is privacy protected. Examples include, but
are not limited to: the student's grade point average or information
about a student's employment with the postsecondary institution.
Individually identifying information that is generated and
maintained in the Federal Student Aid's Federal Student Aid Application
File (18-11-01) within the Central Processing System (CPS) is covered
by this system of records. The CPS determines an applicant's expected
family contribution, which is used by the school to determine the
student's eligibility for a Federal Pell Grant, and notifies an
applicant via the Student Aid Report (SAR) and the schools identified
on the applicant's FAFSA via the ISIR of discrepant or insufficient
data, school adjustments, CPS assumptions, comment codes, and reject
reasons. Other information that the CPS includes, but is not limited
to: expected family contribution (EFC), Secondary EFC, dependency
status, Federal Pell Grant Eligibility, Duplicate SSN, selection for
verification, SAR C Flag, Simplified Needs Test (SNT) or Automatic Zero
EFC (used for extremely low family income), CPS processing comments,
reject codes (that explain why a record did not complete processing),
assumptions made to the student's data due to incomplete or
inconsistent FAFSA data, financial aid administrator's (FAA)
adjustments including dependency status overrides, and CPS record
processing information (application receipt date, transaction number,
transaction process date, SAR Serial Number, Compute Number, Data
Release Number (DRN), National Student Loan Database System (NSLDS)
match results, bar code and transaction source).
Information from other Department systems, such as NSLDS, the
Common Origination and Disbursement System (COD), the Student Aid
Internet Gateway (SAIG), Participation Management System, is added to
this system of records. The Appendix contains a more detailed
description of the data added to this system of records as a result of
the exchanges of data with other Department systems and the
Department's computer matching programs with other Federal agencies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV of the Higher Education Act, as amended (20 U.S.C. 1001 et
seq.).
PURPOSE(S):
The information contained in this system is maintained for the
purposes of: (1) Assisting with the determination, correction,
processing, tracking and reporting of program eligibility and benefits
for the Federal student financial assistance programs authorized by
Title IV of the HEA; (2) making a loan, grant or scholarship; (3)
verifying the identity of the applicant, the spouse if applicable, and
the parent(s) of a dependent applicant, and the accuracy of the
information in this system; (4) reporting the results of the need
analysis, Federal Pell Grant eligibility determination, and the results
of duly authorized computer matching programs between the Department
and other Federal agencies to applicants, postsecondary institutions,
third-party servicers, State agencies designated by the applicant and
other Departmental and investigative components for use in operating
and evaluating the Title IV, HEA programs and in the imposition of
criminal, civil, or administrative sanctions; (5) enforcing the terms
and conditions of a Title IV loan or grant; (6) servicing and
collecting a delinquent Title IV loan or grant; (7) initiating
enforcement action against an individual involved in program fraud,
abuse, or noncompliance; (8) locating a debtor; (9) maintaining a
record of the data supplied by those requesting assistance; (10)
ensuring compliance with and enforcing Title IV, HEA programmatic
requirements; (11) acting
[[Page 68805]]
as a repository and source for information necessary to fulfill the
requirements of Title IV of the HEA; (12) evaluating Title IV program
effectiveness; (13) enabling institutions of higher education
designated by the applicant to review and analyze the financial aid
data of their applicant population; and (14) assisting students with
the completion of the application for the Federal student financial
assistance programs authorized by Title IV of the HEA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USES AND 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 Act, under
a computer matching agreement.
(1) Program Disclosures.
(a) To verify the identity of the applicant and the applicant's
spouse, if applicable, and the parent(s) of a dependent applicant; to
determine the accuracy of the information contained in the record; to
support compliance with Title IV, HEA statutory and regulatory
requirements; and to assist with the determination, correction,
processing, tracking, and reporting of program eligibility and
benefits, the Department may disclose records to guaranty agencies and
financial institutions participating in the Federal Family Education
Loan (FFEL) Programs, institutions of higher education, third-party
servicers, and Federal and State agencies;
(b) To provide an applicant's financial aid history, including
information about the applicant's Title IV, HEA loan defaults and Title
IV, HEA grant program overpayments, the Department may disclose records
to institutions of higher education, guaranty and State agencies and
financial institutions participating in the FFEL Programs, and third-
party servicers;
(c) To facilitate receiving and correcting application data,
processing Federal Pell Grants and Direct Loans, and reporting Federal
Perkins Loan Program expenditures to the Department's processing and
reporting systems, the Department may disclose records to institutions
of higher education, State agencies and third-party servicers;
(d) To assist loan holders with the collection and servicing of
Title IV, HEA loans; to support pre-claims/supplemental pre-claims
assistance; to assist in locating borrowers; and to assist in locating
students who owe grant overpayments, the Department may disclose
records to guaranty agencies and financial institutions participating
in the FFEL Programs, institutions of higher education, third-party
servicers, and Federal, State, and local agencies;
(e) To facilitate assessments of Title IV Program compliance, the
Department may disclose records to guaranty agencies and financial
institutions participating in the FFEL Programs, institutions of higher
education, third-party servicers, and Federal, State, and local
agencies;
(f) To assist in locating holders of loan(s), the Department may
disclose records to student borrowers, guaranty agencies and financial
institutions participating in the FFEL Programs, institutions of higher
education, third-party servicers, and Federal, State, and local
agencies;
(g) To assist in assessing the administration of Title IV program
funds by guaranty agencies, financial institutions, institutions of
higher education, and third-party servicers, the Department may
disclose records to Federal and State agencies;
(h) To enforce the terms of a loan or grant or to assist in the
collection of loan or grant overpayments, the Department may disclose
records to guaranty agencies and financial institutions participating
in the FFEL programs, institutions of higher education, third-party
servicers, and Federal, State, and local agencies;
(i) To assist borrowers in repayment, the Department may disclose
records to guaranty agencies and financial institutions participating
in the FFEL program, institutions of higher education, third-party
servicers, and Federal, State, and local agencies;
(j) To initiate legal action against an individual involved in
illegal or unauthorized Title IV, HEA program expenditures or
activities, the Department may disclose records to guaranty agencies
and financial institutions participating in the FFEL programs,
institutions of higher education, third-party servicers, and Federal,
State, and local agencies;
(k) To initiate or support a limitation, suspension, or termination
action, an emergency action, or a debarment or suspension action, the
Department may disclose records to guaranty agencies and financial
institutions participating in the FFEL programs, institutions of higher
education, third-party servicers, and Federal, State, and local
agencies;
(l) To investigate complaints, update files, and correct errors,
the Department may disclose records to guaranty agencies and financial
institutions participating in the FFEL programs, institutions of higher
education, third-party servicers, and Federal, State, and local
agencies;
(m) To inform the parent(s) of a dependent applicant, or a spouse
of an applicant, of information about the parent(s) or spouse in an
application for Title IV, HEA funds, the Department may disclose
records to the parent(s) or the spouse, respectively;
(n) To disclose to the parent(s) of a dependent applicant applying
for a PLUS loan (to be used on behalf of a student), to identify the
student as the correct beneficiary of the PLUS loan funds, and to allow
the processing of the PLUS loan application and promissory note, the
Department may disclose records to the parent(s) applying for the PLUS
loan;
(o) The Department, upon request by a third party, may disclose
information to a third party for the purpose of expediting the student
application process. The third party must provide the Department with
the applicant's first and last name, SSN, date of birth, and Data
Release Number (DRN). A DRN is a four-digit number assigned to an
application by Federal Student Aid.
(p) The Department may disclose filing status information of an
applicant who submits a FAFSA to an applicant's local educational
agency and secondary school. This disclosure is for the purpose of
allowing the applicant's local educational agency and secondary school
to counsel the applicant whose submitted FAFSA may be incomplete or
inaccurate and to offer the applicant assistance with completion.
(q) The Department may disclose information from this system of
records to other Federal agencies, such as the Internal Revenue
Service, to enable an applicant, should the applicant wish to do so, to
obtain information from other Federal agencies' records that will
assist the applicant in completing the FAFSA online.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, or 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.
[[Page 68806]]
(3) Enforcement Disclosure. If information in the system of records
either alone or in connection with other information indicates a
violation or potential violation of any applicable statutory,
regulatory, or legally binding requirement, the Department may disclose
records to an entity charged with investigating or prosecuting those
violations or potential violations.
(4) 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 Department of Justice (DOJ) agrees to or has been requested
to provide or arrange for representation of 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 the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, 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 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 is relevant
and necessary to litigation or ADR, the Department may disclose those
records as a routine use to the party, counsel representative or
witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the DOJ or to the Office of
Management and Budget (OMB), if the Department determines that
disclosure would help in determining whether records are required to be
disclosed under the FOIA.
(6) Contracting 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 5 U.S.C. 552a(m) of the Privacy Act with respect to the
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) 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 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.
(9) 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 the record in the
course of investigation, fact-finding, or adjudication to any witness,
designated fact-finder, mediator, or other person designated to resolve
issues or decide the matter.
(10) Labor Organization Disclosure. The Department may disclose
records from this system of records to an arbitrator to resolve
disputes under a negotiated grievance procedure or to officials of
labor organizations recognized under 5 U.S.C. chapter 71 when relevant
and necessary to their duties of exclusive representation.
(11) 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.
(12) Research Disclosure. The Department may disclose records to a
researcher if 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. Further, the Department 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.
(13) Disclosure to the OMB for Federal Credit Reform Act (CRA)
Support. The Department may disclose records to OMB as necessary to
fulfill CRA requirements. These requirements currently include transfer
of data on lender interest benefits and special allowance payments,
defaulted loan balances, and supplemental pre-claims assistance
payments information.
(14) Disclosures to third parties through computer matching
programs. Any information from this system of records, including
personal information obtained from other agencies through computer
matching programs, may be disclosed to any third-party through a
computer matching program in connection with an individual's
application or participation in any grant or loan program administered
by the Department. Purposes of these disclosures may be to determine
program eligibility and benefits, enforce the conditions and terms of a
loan or grant, permit the servicing and collecting of a loan or grant,
counsel the individual in repayment efforts, investigate possible fraud
and verify compliance with program regulations, locate a delinquent or
defaulted debtor, or initiate legal action against an individual
involved in program fraud or abuse.
(15) Disclosure in the Course of Responding to 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
[[Page 68807]]
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 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:
Disclosures 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 subsection 31 U.S.C. 3711(e). A consumer
reporting agency to which these disclosures may be made is defined at
31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper applications are maintained in standard Federal Records
Center boxes in locked storage rooms at the contractor facility in Mt.
Vernon, Illinois and then moved to the Federal archives and maintained
there.
Computerized applicant records, which include optically-imaged
documents, are maintained on magnetic tape reels, cartridges and hard
disks in the computer facility and locked storage rooms within the
Virtual Data Center. Microfiche records maintained in the Washington,
DC office are stored in a locked fireproof file cabinet. Access is
available only to authorized personnel.
RETRIEVABILITY:
Records are indexed and retrieved by the applicant's SSN, name, and
the academic year in which the applicant applied for Title IV, HEA
program assistance.
SAFEGUARDS:
Physical access to the data systems housed within the VDC is
controlled by a computerized badge reading system, and the entire
complex is patrolled by security personnel during non-business hours.
The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. Multiple levels of security
are maintained within the computer system control program. 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 users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded. Paper
applications are maintained in standard Federal Records Center boxes in
a locked storage room at the contractor facility in Mount Vernon,
Illinois and then moved to the Federal archives and maintained there.
RETENTION AND DISPOSAL:
The Department will retain all identifiable CPS records for a
period not to exceed 15 years after the end of the award year in
accordance with the applicable Record Retention Schedule as approved by
the National Archives and Records Administration. At the conclusion of
the mandatory retention period, these records will be destroyed
consistent with legal retention requirements established by the
Department in conjunction with the National Archives and Records
Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Application Processing Division, Program Management
Systems, Federal Student Aid, U.S. Department of Education, 830 First
St., NE., UCP Room 63C4, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager and provide your
name, date of birth, and SSN or call 1-800-4-FED-AID (1-800-433-3243)
and give the same information. Requests for notification about whether
the system of records contains information about an individual must
meet the requirements of the 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, contact the
system manager and provide information as described in the Notification
Procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record for the current
processing year (which begins on January 1 of the calendar year and
continues for 18 months until June 30 of the following calendar year)
in the FAFSA, contact the system manager with the information described
in the Notification Procedure, identify the specific items to be
changed, and provide a justification for the change. Requests to amend
a record must meet the requirements of regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Applicants for Federal student financial aid, their spouses, if
married, and the parent(s) of dependent applicants provide the
information used in this system by filing a phone, paper, or electronic
version of the FAFSA with the Department of Education. (The electronic
FAFSA can be accessed at http://www.fafsa.ed.gov).
Postsecondary institutions designated by the applicant or third-
party servicers designated by the postsecondary institution may correct
the records in this system as a result of documentation provided by the
applicant or by a dependent applicant's parents, such as Federal income
return(s) (IRS Form 1040, IRS Form 1040A or IRS Form 1040EZ), Social
Security card(s), and Department of Homeland Security I-551 Resident
Alien cards.
This system contains information added during CPS processing and
information received from other Department systems, including NSLDS,
COD, and SAIG, Participation Management System. For more information
about the information received from these other Department systems, see
the Appendix.
The results of computer matching programs with the following
Federal agencies are also added to the student's record during CPS
processing: The Social Security Administration (SSA), the Department of
Veterans Affairs (VA), the Selective Service System (SSS), the
Department of Homeland Security (DHS), the DOJ, and the Department of
Defense (DOD). For more information about the information received from
these computer matching programs, see the Appendix.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[[Page 68808]]
Appendix to 18-11-01
ADDITIONAL INFORMATION ABOUT CATEGORIES OF RECORDS IN THE SYSTEM AND
RECORD SOURCE CATEGORIES:
Data provided to the Department as a result of computer matching
with other Federal agencies is added during CPS processing. These
computer matches are with the SSA to verify the SSNs, U.S. citizenship
status and date of death (if applicable) of applicants, and dependent
applicants' parents, pursuant to sections 428B(f)(2), 483(a)(12), and
484(g) and (p) of the HEA (20 U.S.C. 1078-2(f)(2), 1090(a)(12), and
1091(g) and (p)); the VA to verify the status of applicants who claim
to be veterans, pursuant to section 480(c) and (d)(1)(D) of the HEA (20
U.S.C. 1087vv(c) and (d)(1)(D)); the SSS to confirm the registration
status of male applicants, pursuant to section 484(n) of the HEA (20
U.S.C. 1091(n)); the DHS to confirm the immigration status of
applicants for assistance as authorized by section 484(g) of the HEA
(20 U.S.C. 1091(g)); the DOJ to enforce any requirement imposed at the
discretion of a court, pursuant to section 5301 of the Anti-Drug Abuse
Act of 1988, Public Law 100-690, as amended by section 1002(d) of the
Crime Control Act of 1990, Public Law 101-647 (21 U.S.C. 862), denying
Federal benefits under the programs established by Title IV of the HEA
to any individual convicted of a State or Federal offense for the
distribution or possession of a controlled substance; and the DOD to
identify dependents of U.S. military personnel who died in service in
Iraq and Afghanistan after September 11, 2001 to determine if they are
eligible for increased amounts of Title IV, HEA program assistance,
pursuant to sections 420R and 473(b) of the HEA (20 U.S.C. 1070h and
1087mm(b)).
During CPS processing, the Department's COD system sends
information to this system for students who have received a Federal
Pell Grant. The CPS uses this information for verification analysis and
for end-of-year reporting. This data includes, but is not limited to:
Verification Selection and Status, Potential Over-award Project (POP)
indicator, School Cost of Attendance, Reporting and Attended Campus
Pell ID and Enrollment Date, and Federal Pell Grant Program information
(Scheduled Federal Pell Grant Award, Origination Award Amount, Total
Accepted Disbursement Amount, Number of Disbursements Accepted,
Percentage of Eligibility Used At This Attended Campus Institution, and
Date of Last Activity from the Origination or Disbursement table).
CPS also receives applicant data from the Department's NSLDS System
each time an application is processed or corrected. This process
assesses student aid eligibility, updates financial aid history, and
ensures compliance with Title IV, HEA regulations. Some of this data
appears on the applicant's SAR and ISIR. Title IV, HEA award
information is provided to NSLDS from several different sources.
Federal Perkins Loan data and Federal Supplemental Educational
Opportunity Grant (FSEOG) overpayment data is sent from postsecondary
institutions or their third-party servicers; the Department's COD
system provides Federal Pell Grant and Direct Loan data; State and
Guaranty Agencies provide data on FFEL loans received from lending
institutions participating in the FFEL programs.
Financial aid transcript data reported by NSLDS provides
applicants, postsecondary institutions and third-party servicers with
information about the type(s), amount(s), dates and overpayment status
of prior and current Title IV, HEA funds the applicant received. FFEL
and William D. Ford Federal Direct Student Loan (DL) data reported by
NSLDS includes, but is not limited to: (1) Aggregate Loan Data, such
as: Subsidized, Unsubsidized and Combined Outstanding Principal
Balances, Unallocated Consolidated Outstanding Principal Balances,
Subsidized, Unsubsidized and Combined Pending Disbursements,
Subsidized, Unsubsidized and Combined Totals, and Unallocated
Consolidated Total; (2) Detail Loan Data, such as: Loan Sequence
Number, Loan Type Code, Loan Change Flag, Loan Program Code, Current
Status Code and Date, Outstanding Principal Balance and Date, Net Loan
Amount, Loan Begin and End Dates, Amount and Date of Last Disbursement,
Guaranty Agency Code, School Code, Contact Code and Type, Grade Level;
(3) system flags for: Additional Unsubsidized Loan, Capitalized
Interest, Defaulted Loan Change, Discharged Loan Change, Loan
Satisfactory Repayment Change, Active Bankruptcy Change, Overpayments
Change, Aggregate Loan Change, Defaulted Loan, Discharged Loan, Loan
Satisfactory Repayment, Active Bankruptcy, Additional Loans, DL Master
Promissory Note, DL PLUS Loan Master Promissory Note, Subsidized Loan
Limit, and the Combined Loan Limit. Federal Perkins Loan data reported
by NSLDS includes, but is not limited to: Cumulative and Current Year
Disbursement Amounts; flags for Perkins Loan Change, Defaulted Loan,
Discharged Loan, Loan Satisfactory Repayment, Active Bankruptcy,
Additional Loans, and Perkins Overpayment Flag and Contact (School or
Region). Federal Pell Grant payment data reported includes, but is not
limited to: Pell Sequence Number, Pell Attended School Code, Pell
Transaction Number, Last Update Date, Scheduled Amount, Award Amount,
Amount Paid to Date, Percent Scheduled Award Used, Pell Payment EFC,
Flags for Pell Verification, Pell Payment Change. Federal Teacher
Education Assistance for College and Higher Education (TEACH) Grant
Program data includes, but is not limited to: TEACH Grant Overpayment
Contact, TEACH Grant Overpayment Flag, and TEACH Grant Loan Principal
Balance, TEACH Grant Total, Teach Grant change Flag. The National
Science and Mathematics Access to Retain Talent Grant (SMART Grant)
data includes, but is not limited to: SMART Grant Overpayment Flag,
SMART Grant Overpayment Contact, and SMART Grant Change Flag. Iraq and
Afghanistan Service Grants (IASG) data includes, but is not limited to:
Total Award Amount. Academic Competitiveness Grant (ACG) data includes,
but is not limited to: ACG Award Amount, ACG Overpayment Flag, and ACG
Payment Change Flag. FSEOG data includes, but is not limited to:
Overpayment Flag and contact information.
The Department obtains and exchanges information that is included
in this system of records from postsecondary institutions, third-party
servicers, State agencies and lending institutions that participate in
the FFEL programs. The eligible entities (above) register with the SAIG
to participate in the information exchanges specified for their
business processes.
[FR Doc. E9-30691 Filed 12-28-09; 8:45 am]
BILLING CODE 4000-01-P