Privacy Impact Assessment (PIA) 

for the 

Programs (GEAR UP) 

February 5, 2021 

Gaining Early Awareness and Readiness to Undergraduate 

For PIA Certification Updates Only: This PIA was reviewedon 

certifying the information contained here is valid and up to date. 

Contact Point 

Contact Person/Title: Mose Cartier 

Contact Email: Mose.Cartier@ed.gov 

System Owner 

Name/Title: Mose Cartier 

Principal Office: Office of Postsecondary Education 

Please submit completed Privacy Impact Assessments to the Privacy Office at 

privacysafeguards@ed.gov 

Enter date by Name of 

FY 2020 
 

 

 

 

 

 

Please complete this Privacy Impact Assessment (PIA) on how personally identifiable 

information (PII) is collected, stored, protected, shared, and managed electronically by your 

system. You may wish to consult with your ISSO in completing this document. 

If a question does not apply to your system, please answer with N/A. 

1. Introduction 

1.1. Describe the system including the name, acronym, and a brief description of the program 

or purpose for the system. 

Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP) is a 

discretionary grant program designed to increase the number of low-income students 

who are prepared to enter and succeed in postsecondary education. GEAR UP provides 

six-year or seven-year grants to states and partnerships to provide services at highpoverty middle and high schools. GEAR UP grantees serve an entire cohort of students 

beginning no later than the seventh grade and follow the cohort through high school. 

GEAR UP funds are also used to provide college scholarships to low-income students. 

GEAR UP offers state and partnership grants. State grants are competitive six-year 

matching grants that must include both an early intervention component designed to 

increase college attendance and success and raise the expectations of low-income 

students and a scholarship component. Partnership grants are competitive six-year 

matching grants that must support an early intervention component and may support a 

scholarship component designed to increase college attendance and success and raise the 

expectations of low-income students. 

The GEAR UP reporting website is built in Linux (operating system), Apache (web 

server software), MySQL (database software) and PHP (programming language), a 

common technology configuration collectively known as “LAMP-stack.” Users access 

the GEAR UP website in order to complete Annual Performance Reports by entering 

data into fields on online data entry forms. The website is hosted in a FedRAMPcertified Amazon Web Services (AWS) GovCloud environment. There are no direct 

connections into or out of the system (i.e., this system does not have an API, or an 

Application Programming Interface, that 

allows it to link directly to another system’s database; nor does this system take 

advantage of any other systems’ API to exchange data programmatically with another 

system without direct human involvement), although there are regular exports and 

imports to/from the G5 system performed via a combination of manual steps on a regular 

basis (i.e., once a year someone accesses G5, searches for a list of new grants in this 

system’s programs, exports it to an Excel spreadsheet, and then manually imports that 

spreadsheet into the GEAR UP system). 

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1.2. Describe the purpose for which the personally identifiable information (PII)1 is collected, 

used, maintained or shared. 

PII (full name, email address, phone number) is collected for two reasons: (a) to provision 

user accounts in the system, and (b) to record contact information from individuals working 

at Grantee Institutions who are filling out and submitting the performance reports. 

The following information is collected to create user accounts: first name, last name, 

email address, office phone (optional) and cell phone (optional). 

The following contact information is collected about grantee Project Directors, 

Certifying Officials, and Additional Contacts: first name, last name, email address, 

office mailing address, and office phone. 

1.3. Is this a new system, or one that is currently in operation? 

Currently Operating System 

1.4. Is this PIA new, or is it updating a previous version? 

New PIA 

This is a new PIA for a currently operating system because the previous determination 

that the system did not contain PII has been changed. 

1.5. Is the system operated by the agency or by a contractor? 

Contractor 

1.5.1. If the system is operated by a contractor, does the contract or other acquisitionrelated documents include privacy requirements? 

N/A 

Click here to select. 

2. Legal Authorities and Other Requirements 

If you are unsure of your legal authority, please contact your program attorney. 

2.1. What specific legal authorities and/or agreements permit and regulate the collection and 

use of data by the system? Please include name and citation of the authority. 

1 The term “personally identifiable information” refers to information which can be used to distinguish or trace an 

individual's identity, such as their name, social security number, biometric records, etc. alone, or when combined with 

other personal or identifying information which is linked or linkable to a specific individual, such as date and place of 

birth, mother's maiden name, etc. OMB Circular A-130, page 33 

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The information is collected under the legal authority of The Higher Education Act of 

1965, as amended, Title IV, which offers grants for the purposes of expanding 

educational opportunities for low-income high school students. 

SORN 

2.2. Is the information in this system retrieved by an individual’s name or personal identifier 

such as a Social Security Number or other identification? 

No 

2.2.1. If the above answer is YES, this system will need to be covered by Privacy Act 

System of Records Notice(s) (SORN(s)).2 Please provide the SORN name, number, 

Federal Register citation and link, or indicate that a SORN is in progress. 

N/A 

Click here to enter text. 

2.2.2. If the above answer is NO, explain why a SORN was not necessary. For 

example, the information is not retrieved by an identifier, the information is not 

maintained in a system of records, or the information is not maintained by the 

Department, etc. 

N/A 

Information is retrieved by the grant’s PR Number, which is a unique identifier 

assigned to every grant. This identifier contains the CFDA Code, which identifies 

the Program under which the grant was awarded, along with a six-digit number that 

tracks back to the original grant application. There is nothing in the PR Number that 

directly identifies the institution, or any individuals associated with the institution. 

Records Management 

If you do not know your records schedule, please consult with your records liaison or send 

an email to RMHelp@ed.gov 

2.3. What is the records retention schedule approved by National Archives and Records 

Administration (NARA) for the records contained in this system? Please provide all 

relevant NARA schedule numbers and disposition instructions. 

2 A System of Records Notice (SORN) is a formal notice to the public that identifies the purpose for which PII is 

collected, from whom and what type of PII is collected, how the PII is shared externally (routine uses), and how to 

access and correct any PII maintained by ED. https://connected.ed.gov/om/Documents/SORN-Process.pdf 

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The records disposition schedule is ED 254: Grant Administration and Management 

Files. Disposition: Temporary. Destroy/Delete five (5) years after final action is taken on 

file, but longer retention is authorized if required for business use. The records schedule 

number is N 1-441-11-00. 

2.4. Is the PII contained in this system disposed of appropriately, and in accordance with the 

timelines in the records disposition schedule? 

Yes 

3. Characterization and Use of Information 

Collection 

3.1. List the specific PII elements (e.g., name, email, address, phone number, date of birth, 

Social Security, etc.) that the system collects, uses, disseminates, or maintains. 

The PII collected for establishing and maintaining user accounts for federal employees 

and contractors, grantees in GEAR UP programs, and staff members at institutions 

consists of: first name, last name, email address, office phone (optional), and cell 

phone (optional). 

The PII collected for submission of performance reports consists of: work contact 

information about grantee project directors, certifying officials, and additional contacts. 

The PII elements collected are: first name, last name, email address, office mailing 

address, and office phone. 

“Additional Contacts” do not exist on every grant. Some grantees have more resources 

and larger departments where the Project Director may have assistants who perform 

direct data entry into the system. Other grantees have smaller departments where the 

Project Director does all the data entry themselves. Either way, the Project Director, 

Certifying Official, and Additional Contact are all employed by the grantee institution 

and are authorized to access the GEAR UP system for the purpose of performance 

reporting. 

3.2. Does the system collect only the minimum amount required to achieve the purpose 

stated in Question 1.2? 

Yes The system collects only name and work contact information, which is needed to 

provision accounts, and to contact those who use the system. 

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3.3. What are the sources of PII collected (e.g., individual, school, another agency, 

commercial sources, etc.)? 

Data are either imported from the Department’s G5 system or submitted by the grantee. 

3.4. How is the PII collected from the stated sources listed in Question 3.3 (e.g., paper form, 

web page, database, etc.)? 

Data from G5 are manually exported from that system into a spreadsheet and 

then imported into the GEAR UP system. 

Data submitted by the grantee are entered into the system on a data entry form on a secure 

website. 

3.5. How is the PII validated or confirmed to ensure the integrity of the information 

collected?3 Is there a frequency at which there are continuous checks to ensure the PII 

remains valid and accurate? 

Data imported from G5 are tested prior to import to ensure they conform to expected 

formatting where possible. There is no way to check the accuracy of the data entered 

into G5 by the G5 users, but formatting checks can catch certain errors, for example, in 

telephone numbers and email addresses. 

Data entered by grantees are validated programmatically to ensure they conform to 

expected formatting where possible. There is no way to check the accuracy of data 

entered onto the reports by grantees, but Program Officers are able to catch errors during 

their reviews of the reports for substantive progress on the grant’s objectives. 

Use 

3.6. Describe how the PII is used to achieve the purpose stated in Question 1.2 above. 

Name and contact information are used to provision accounts so staff, grantees, and 

other users may access the system to submit information and manage the program. It is 

also used so that Program Officers know how to contact key personnel on the grant: 

Project Director, Certifying Official, and any Additional Contacts (additional data entry 

persons), if applicable. 

3 Examples include restricted form filling, account verification, editing and validating information as it’s collected, 

and communication with the individual whose information it is. 

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3.7. Is the system using PII for testing/researching new applications or information systems 

prior to deployment or for training employees? 

No 

3.7.1. If the above answer is YES, what controls are in place to minimize the risk and 

protect the data? 

N/A 

Click here to enter text. 

Social Security Numbers 

It is the Department’s Policy that, in order to collect Social Security Numbers, the System Owner 

must state the collection is: 1) authorized by law, 2) necessary for an agency purpose, and 3) 

there is no reasonable alternative. 

3.8. Does the system collect Social Security Numbers? Note that if the system maintains 

Social Security Numbers but does not explicitly collect them, answer 3.8.1 to address the 

purpose for maintaining them. 

No 

3.8.1. If the above answer is YES, explain the purpose for its collection, and how the 

SSN will be used. 

N/A 

Click here to enter text. 

3.8.2. Specify any alternatives considered in the collection of SSNs and why the 

alternatives were not selected. 

N/A 

Click here to enter text. 

4. Notice 

4.1. How does the system provide individuals with notice about the collection of PII prior to 

its collection (e.g., direct notice, such as a Privacy Act Statement (if applicable) or 

public notice, such as a SORN, PIA,)? If notice is not provided, explain why not. 

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The GEAR UP website does not currently have a link to a Privacy Policy, but one will 

be added as a link from the home page. The GEAR UP Privacy Policy will be modeled 

on the ed.gov Privacy Policy, which is found here: 

www2.ed.gov/notices/privacy/index.html. 

4.2. Provide the text of the notice or the link to the webpage where the notice is posted if 

notice is provided other than by SORN or PIA. 

N/A 

Click here to enter text. 

4.3. What opportunities are available for individuals to consent to uses (including new uses 

of previously collected PII), decline to provide PII, or opt out of the project? 

Use of the GEAR UP website is required to meet reporting requirements necessary to 

receive grant funding. 

4.4. Is the notice referenced in Question 4.1 reviewed and revised when there are changes in 

the practice, policy, or activities that affect the PII and privacy to ensure that individuals 

are aware of and can consent to, where feasible, these changes? 

Yes 

5. Information Sharing and Disclosures 

Internal 

5.1. Will PII be shared internally with other ED principal offices? If the answer is NO, please 

skip to Question 5.4. 

No 

5.2. What PII will be shared and with whom? 

N/A 

Click here to enter text. 

5.3. What is the purpose for sharing the specified PII with the specified internal 

organizations? 

N/A 

Click here to enter text. 

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External 

5.4. Will the PII contained in the system be shared with external entities (e.g. another agency, 

school district, the public, etc.)? If the answer is NO, please skip to Question 6.1. 

No 

5.5. What PII will be shared and with whom? List programmatic disclosures only.4 

Note: If you are sharing Social Security Numbers externally, please specify to 

whom and for what purpose. 

N/A 

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5.6. What is the purpose for sharing the PII with the specified external entities? 

N/A 

Click here to enter text. 

5.7. Is the sharing with the external entities authorized? 

N/A 

Click here to select. 

5.8. Is the system able to provide and retain an account of any disclosures made and make it 

available upon request? 

N/A 

Click here to select. 

5.9. How is the PII shared with the external entity (e.g. email, computer match, encrypted 

line, etc.)? 

N/A 

Click here to enter text. 

5.10. Is the sharing pursuant to a Computer Matching Agreement (CMA), 

Memorandum of Understanding (MOU), or other type of approved sharing agreement 

with another agency? 

N/A 

4 If this information is covered by Privacy Act System of Records Notice (SORN) please list only relevant 

programmatic disclosures listed under the Routine Uses section. 

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Click here to select. 

5.11. Does the project place limitation on re-disclosure? 

N/A 

Click here to select. 

6. Redress 

6.1. What are the procedures that allow individuals to access their own information? 

Grantees can log into the GEAR UP system and access their records. 

6.2. What procedures are in place to allow the subject individual to correct inaccurate or 

erroneous information? 

Prior to submission grantees may make as many edits to their reports as they like. Once a 

report is submitted it is locked to prevent further editing. To make changes after 

submission, grantees must contact their Program Officer or the Help Desk and request 

that their report be unsubmitted. 

6.3. How does the project notify individuals about the procedures for correcting their 

information? 

Grantees are notified how to correct information via the online User Guide and via 

onscreen guidance during the report submission process. 

7. Safeguards 

If you are unsure which safeguards will apply, please consult with your ISSO. 

7.1. Does the principal office work with their CSO/ISSO to build privacy & security into the 

system and build privacy extensions to the extent feasible? 

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Yes 

7.2. Is an Authority to Operate (ATO) required? 

Yes 

7.3. Under NIST FIPS Pub. 199, what is the security categorization of the system: Low, 

Moderate, or High? 

N/A 

Low 

7.4. What administrative, technical, and physical safeguards are in place to protect the 

information? 

GEAR UP is hosted outside of the Department’s network on a FedRAMP-certified 

Cloud Service Provider (CSP) – AWS GovCloud. AWS enforces security controls over 

the physical facility where the system is located in adherence with FedRAMP standards. 

Authentication to the server is permitted only over secure, encrypted connections. GEAR 

UP has an ATO in place and is in compliance with all NIST standards and DHS binding 

operational directives related to security and encrypted connections. A firewall is in 

place which allows only specific trusted connections to access the data. 

7.5. Is the information in the system appropriately secured in accordance with the IT 

security requirements and procedures as required by Federal law and policy? 

Yes 

7.6. Has a risk assessment been conducted where appropriate security controls to protect 

against that risk have been identified and implemented? 

Yes 

7.7. Please describe any monitoring, testing or evaluation conducted on a regular basis to 

ensure the security controls continue to work properly at safeguarding the PII. 

The System Administrator runs Nessus security scans on a monthly basis to ensure 

system integrity. GEAR UP is enrolled in the Department’s monthly WebInspect 

scanning program. Event log monitoring is performed on a daily basis. System alerts 

have been implemented to notify administrators whenever there is unusually high 

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utilization of resources, or unexpected peaks in traffic. System and software patches are 

tested as they are released and applied once they are verified. 

8. Auditing and Accountability 

8.1. How does the system owner assess and ensure that the PII is used in accordance with 

stated practices in this PIA? 

The system owner works with the Department’s Privacy Office to conduct a Privacy 

Impact Assessment and to ensure that it’s accurate and updated as required. The system 

owner also completes the ED Risk Management Framework process to secure an ATO. 

The system owner also works with the contractor to ensure the system is being used 

appropriately and in accordance with the practices detailed in this document. 

8.2. Does the system owner continuously monitor and audit the privacy controls to ensure 

effective implementation? 

Yes 

8.3. What are the privacy risks associated with this system and how are those risks 

mitigated? 

This PIA details the privacy controls and safeguards implemented for this system. These 

controls and safeguards work to protect the data from privacy threats, and to mitigate the 

risks to the data. One key risk to the data is unauthorized access to the PII. These data 

breaches involving PII can be hazardous to individuals because they can result in 

identity theft or financial fraud. The risks are mitigated by the above-mentioned controls 

and safeguards, limiting access to only those with a legitimate need to know, and 

working closely with the security and privacy staff at the Department. In order to 

mitigate this risk the following additional safeguards have been implemented: 

• Monthly vulnerability scans 

• Annual contingency plan test 

• Annual security assessments for ATO renewal 

Additional privacy risks are mitigated as the system collects the minimum necessary PII 

to achieve the purpose. Additionally, the information collected is considered to be fairly 

low risk, as it is only name and work contact information and does not include any 

elements that have been identified as sensitive. 

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