30184 Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 

RETENTION AND DISPOSAL: 

Each affidavit will be kept for 5 years 

after the individual access to NCES 

confidential data has ceased and then 

will be transferred to the Federal 

Records Center, where it can remain up 

to 15 years before it is destroyed. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Statistician & Individual Survey 

Project Officers, National Center for 

Education Statistics, U.S. Department of 

Education, 555 New Jersey Avenue, 

NW., Washington, DC 20208-5574. 

NOTIFICATION PROCEDURE: 

If you wish to determine whether a 

record exists regarding you in this 

system of records, contact the system 

manager at the address listed above and 

provide your name, place of work (i.e. 

company, agency, etc.), and the dates of 

employment. Your request must meet 

the requirements in the regulations at 34 

CFR 5b.5, including proof of identity. 

RECORD ACCESS PROCEDURESS: 

If you wish to gain access to records 

regarding you in this system of records, 

contact the system manager and provide 

your name, place of work (i.e. company, 

agency, etc.), and the dates of 

employment. Your request must meet 

the requirements in the regulations at 34 

CFR 5b.5, including proof of identity. 

CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of 

a record regarding you, contact the 

system manager. Your request to amend 

a record must meet the requirements of 

43 CFR 5b.7. 

RECORD SOURCE CATEGORIES: 

Information in the records comes from 

individuals who have signed the 

affidavits of nondisclosure. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None. 

Appendix to 18–13–02 

Additional System Locations 

National Center for Education Statistics, U.S. 

Department of Education, 555 New 

Jersey Avenue, NW., Washington, DC 

20202–5574. 

U.S. Bureau of the Census, Federal Office 

Building 3, Washington, DC 20233. 

WESTAT, 1650 Research Boulevard, 

Rockville, Maryland 20850. 

Research Triangle Institute, P.O. Box 12194, 

Research Triangle Park, North Carolina 

27709. 

National Opinion Research Center, 1155 E. 

60th Street, Chicago, Illinois 60637– 

2799. 

Educational Testing Service, 1825 Eye Street, 

NW, Suite 475, Washington, DC 20006. 

The Gallup Organization, One Church Street, 

Suite 900, Rockville, MD 20850. 

MPR Associates, 1995 University Avenue, 

Suite 225, Berkeley, CA 94704. 

Abt Associates, 55 Wheeler Street, 

Cambridge, MA 02138. 

Pelavin Research Institute, 1,000 Thomas 

Jefferson Street, Suite 400, Washington, 

DC 20007. 

Institute for Social Research, Survey 

Research Associates, University of 

Michigan, 426 Thompson, Ann Arbor, 

MI 48106. 

School of Education, University of Michigan, 

610 E. University, Ann Arbor, MI 48109. 

18–13–03 

SYSTEM NAME: 

National Center for Education 

Statistics’ National Assessment of 

Educational Progress. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

WESTAT, 1650 Research Boulevard, 

Rockville, MD 20850. 

Educational Testing Service, Rosedale 

Road, Princeton, NJ 08541. 

National Computer Systems, 2510 N. 

Dodge Street, Iowa City, IA 52245. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

This system contains information on 

the following individuals: (1) 

Individuals who leave school early as 

early graduates or as drop-outs (defined 

as 17-year-olds who are no longer in 

school) and are covered during a six 

month data verification period; (2) 

young adults in the study who are 

covered during a six month data 

verification period; and (3) individual 

schools which are covered under the 

National Assessment of Educational 

Progress (NAEP) statute (20 U.S.C. 9010 

(c)(2)(A)). 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records contain responses to 

assessment and survey instruments. The 

contents of these instruments are of two 

types: (1) Cognitive test items to assess 

the educational achievement of students 

and young adults in various subject 

areas taught in school; and (2) questions 

about student demographic and 

background variables as well as the 

characteristics of teachers and schools. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

20 U.S.C. 9010. 

PURPOSE(S): 

The purpose of the National 

Assessment of Educational Progress 

(NAEP), funded by the Department of 

Education, is to provide information on 

the educational achievement of young 

Americans over time. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

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. 

During a six-month verification 

period, individually identifiable 

information about individuals who 

leave school early or are young adults is 

subject to the Privacy Act, and may be 

disclosed under routine uses that are 

consistent with the Commissioner’s 

authority under section 406(d)(4) of 

GEPA (20 U.S.C. 1221e-1(d)(4)). The 

routine uses that apply to this period 

permit disclosures to individuals who: 

(1) Take the oath and sign an affidavit 

of nondisclosure required under 20 

U.S.C. 9007; 

(2) Work for a contractor, grantee, or 

party to a cooperative agreement or 

other entity that has an agreement with 

the Commissioner to conduct research 

for National Center for Education 

Statistics (NCES), or 

(3) Work under a research contract, 

grant, or cooperative agreement with a 

Federal, State, or local agency that 

requires the use of individually 

identifiable information, and the 

research is compatible with the purpose 

for which NCES collected the data, or 

(4) Work under an agreement in 

writing to: 

(i) Use the information for statistical 

purposes only, 

(ii) Maintain the data in accordance 

with applicable Federal laws, 

(iii) Prohibit redisclosure in 

identifiable form, and 

(iv) Permit NCES’ periodic inspection 

to determine adherence to the contract 

or agreement. 

Regarding the records of individual 

schools, which, under 20 U.S.C. 

9010(c)(2)(A), must be treated as 

individuals subject to the Privacy Act, 

NCES may make routine use 

disclosures, consistent with the 

statistical purposes for which a record 

was supplied, as follows: 

(1) Contract Disclosure. If the 

Department contracts with an entity for 

the purposes of performing any function 

that requires disclosure of records in 

this system to employees of the 

contractor, the Department may disclose 
Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 30185 

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. 

(2) Research Disclosure. The 

Department may disclose records to a 

researcher if an appropriate official of 

the Department determines that the 

individual or organization to which the 

disclosure would be made is qualified to 

carry out specific research related to 

functions or purposes of this system of 

records. The official may disclose 

records from this system of records to 

that researcher solely for the purpose of 

carrying out that research related to the 

functions or purposes of this system of 

records. The researcher shall be 

required to maintain Privacy Act 

safeguards with respect to the disclosed 

records. 

(3) 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. 

(4) Freedom of Information Act 

(FOIA) Advice Disclosure. The 

Department may disclose records to the 

Department of Justice and the Office of 

Management and Budget if the 

Department concludes that disclosure is 

desirable or necessary in determining 

whether particular records are required 

to be disclosed under the FOIA. 

(5) Litigation and Alternative Dispute 

Resolution (ADR) Disclosures. 

(a) Introduction. In the event that one 

of the parties listed below is involved in 

litigation or ADR, or has an interest in 

litigation ADR, ED 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 of Education, or 

any component of the Department; or 

(ii) Any Department employee in his 

or her official capacity; or 

(iii) 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; 

(iv) Any Department employee in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

(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) 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. 

(d) Parties, counsels, representatives 

and witnesses. If ED 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. 

POLICIES AND PRACTICES FOR RETRIEVING, 

ACCESSING, RETAINING AND DISPOSING OF 

RECORDS IN THE SYSTEM: 

STORAGE: 

The records are maintained on 

magnetic tape and computer disk media. 

RETRIEVABILITY: 

Records are retrievable by assessment 

year, subject area, age or grade at the 

school or individual respondent level. 

SAFEGUARDS: 

Access to the restricted-use data files 

and completed test booklets and forms 

is severely limited to key contractor and 

NCES staff. User access to the restricteduse data files has three levels of data 

access protection. Access to the files is 

restricted to authorized NAEP staff who 

have a valid need for immediate access 

to NAEP data. This access is controlled 

and monitored by the use of secure ‘‘logon’’ identification and password 

protection schemes. Access to 

individual restricted-use data files is 

controlled by an access control facility 

that restricts users to only those files 

that are necessary and approved for 

their perusal. In addition, the restricteduse data files are backed-up to an offsite secure location that will protect 

NAEP data in the event of a computer 

center disaster. This off-site storage is in 

a secure vault that is physically 

protected from unauthorized entry. The 

open-ended responses are stored in a 

secure warehouse with access limited to 

NAEP project staff. 

RETENTION AND DISPOSAL: 

The NAEP restricted-use data files are 

stored in a secure computer facility. The 

security mechanism includes physical 

security, data security, and disaster 

recovery capability. The computer 

facility is housed within a fire-resistant 

masonry and steel door structure. 

Physical access to the facility is 

electronically controlled through 

magnetically imprinted identification 

badges and is limited to authorized staff 

who have functional responsibilities 

within the secured areas. Open-ended 

responses are kept indefinitely. 

However, data that could be used to 

identify individuals are destroyed six 

months after collection. 

SYSTEM MANAGER(S) AND ADDRESS: 

Associate Commissioner, Educational 

Assessment Division, National Center 

for Education Statistics, Office of 

Educational Research and Improvement, 

U.S. Department of Education, 555 New 

Jersey Avenue, NW., Room 308C, 

Washington, DC 20208–5653. 

NOTIFICATION PROCEDURES: 

If you wish to determine whether a 

record regarding you exists in this 

system of records, you should contact 

the system manager at the address listed 

above and provide your name, date of 

birth and social security number. Your 

requests 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 of records, you should 

contact the system manager and provide 

the information described in the 

Notification Procedures. 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 contest information 

contained in this system of records, you 

should contact the system manager. You 

should specify the particular record you 

are seeking to amend, whether a 

deletion, an addition, or a substitution 

is being sought and the reason(s) for the 

requested change(s). Your request 

should meet the requirements of the 

regulations at 34 CFR 5b.7. 

RECORD SOURCE CATEGORIES: 

The information in this system comes 

from the data collected from the subject 

individuals and individual schools. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None.