A r c h i v e d  I n f o r m a t i o n

Recipient Financial Management System.

DEPARTMENT OF EDUCATION

18-11-02

System name:
Recipient Financial Management System.

Security classification:
None.

System location:

Categories of individuals covered by the system:
This system contains records on all Pell Grant Recipients.

Categories of records in the system:
This system consists of the financial data, personal identification numbers assigned by the Department, and status of award for Pell Grant recipients.

Authority for maintenance of the system:
Title IV-A of the Higher Education Act of 1965.

Purpose(s):
The information in this system is used to prepare processed student payment data for submission to schools or their agents in order to verify payments made to students.

Routine uses of records maintained in the system, including categories of users the purposes of such uses:
The Department of Education (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. 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 qparticipation 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 the loan or grant, permit the servicing and collecting of the loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse.
2. Congressional Member Disclosure. The Department may disclose records to a member of Congress from the record of an individual 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 it.
3. Litigation and Alternative Dispute Resolution (ADR) Disclosures.
   1. Introduction. In the event that one of the parties listed below is involved in litigation or ADR, or has an interest in litigation 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:
      1. The Department of Education, or any component of the Department; or
      2. Any Department employee in his or her official capacity; or
      3. Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has agreed to provide or arrange for representation for the employee;
      4. Any Department employee in his or her individual capacity where the agency has agreed to represent the employee; or
      5. The United States where the Department determines that the litigation is likely to affect the Department or any of its components
   2. 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.
   3. Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the administrative litigation, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.
   4. Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness in an administrative proceeding is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim which is determined to be valid and overdue as follows: (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(f). 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:
Origination and disbursement reports are now stored electronically. Decrease award and audit reports are maintained in hard copy.

Retrievability:
Records are indexed by institution and by recipient name and Social Security number within school.

Safeguards:
Direct access is restricted to authorized staff. A computerized badge reading system controls physical access to the records housed within the facility.

The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a "need to know" basis, and controls individuals 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 ininteractions by individual users with the system are recorded.

Retention and disposal:
Original copies are maintained until fiscal year funds are closed out and then are stored at the Federal Records Center.

System manager(s) and address:

Notification procedure:
A student who has received a Federal Pell Grant, should presume that a record exists. If you wish to determine whether a record exists regarding you in the system of records, contact the system manager and provide your name, social security number and date of birth. Your request 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, you should contact the system manager and provide information as described in the Notification Procedure. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

Contesting record procedures:
If you wish to change the content of a record in the system of records, you should contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed and provide a written justification for the change. Your request must meet the requirements of the regulations at 34 CFR 5b.7.

Record source categories:
Information in this system is obtained from origination and disbursement records provided by the school and its agent to the Department of Education.

System exempted from certain provisions of the act:
None.