# 20 **12 /14**  **B EGINNING**  

# P **OSTSECONDARY** 

# S **TUDENTS** 

# L **ONGITUDINAL** 

# S **TUDY** 

# : **(BPS: 12**  **/14 )** 

**Supporting Statement Part A**  **Request for OMB Review OMB**  **# 1850 -**  **0 631**  **v. 8** 

Submitted by National Center for Education Statistics

U.S. Department of Education **October 24**  **, 201**  **3**ii 

## Contents **A. Justification**  **................................ ................................**  **................................ ................................**  **............. 1**  1. Circumstances Making Collection of Information Necessary ................................ ................................ ......... 1 a. Purpose of this Submission ................................ ................................ ................................ ....................... 1 b. Summary of Study Design for BPS:12/14 ................................ ................................ ................................ 1 c. Legislative Authorization ................................ ................................ ................................ .......................... 2 2. Purpose and Uses of the Data ................................ ................................ ................................ .......................... 2 a. The BPS Cohort ................................ ................................ ................................ ................................ ........ 2 b. Current Research and Policy Issues Related to BPS ................................ ................................ ................. 3 c. Previous Agency Use of the Data ................................ ................................ ................................ ............. 7 3. Use of Information Technology ................................ ................................ ................................ ....................... 7 4. Efforts to Identify Duplication ................................ ................................ ................................ ......................... 7 5. Method Used to Minimize Burden on Small Businesses ................................ ................................ ................. 8 6. Frequency of Data Collection ................................ ................................ ................................ .......................... 9 7. Special Circumstances of Data Collection ................................ ................................ ................................ ....... 9 8. Consultants Outside the Agency ................................ ................................ ................................ ...................... 9 9. Provision of Payments or Gifts to Respondents ................................ ................................ ............................ 10 10. Assurance of Confidentiality ................................ ................................ ................................ ......................... 10 11. Sensitive Questions ................................ ................................ ................................ ................................ ........ 12 12. Estimates of Response Burden ................................ ................................ ................................ ...................... 12 13. Estimates of Cost to Respondents ................................ ................................ ................................ .................. 13 14. Costs to the Federal Government ................................ ................................ ................................ ................... 13 15. Reasons for Changes in Response Burden and Costs ................................ ................................ .................... 14 16. Publication Plans and Time Schedule ................................ ................................ ................................ ............ 14 17. Approval to Not Display Expiration Date for OMB Approval ................................ ................................ ...... 15 18. Exceptions to Certification fo r Paperwork Reduction Act Submissions ................................ ....................... 15 Appendix A. Linkages to Administrative Data Sources Appendix B. Data Security L anguage for Vendor Contracts Appendix C . Bibliography of Publications Using BPS Data Appendix D . Technical Review Panel Contact List Appendix E . Confidentiality Agreements Appendix F . Letters and Contacting Materials Appendix G . Data Collection Instrumentiii 

## List of Tables Table 1. Chronology

of NPSAS and its longitudinal components ................................ ....................... 8 Table 2. Estimated BPS:12/14 full - scale data collection cost and response burden .......................... 12 Table 3. Costs to the National Center for Education Statistics for BPS:12/14 ................................ .. 13 Table 4. Contract costs for BPS:12/14 ................................ ................................ ............................... 14 Table 5. Operational schedule for BPS:12/14 ................................ ................................ .................... 151 

### A. **Justification 1.**  **Circumstances Making Collection of Information Necessary a.**  **Purpose of this Submission** The National Center for Education Statistics (NCES) , within the U.S. Department of Education (ED), Institute of Education Sciences, is requesting clearance for data collection materials and procedures for the full - scale collection of the 2012/14 Beginning Postsecondary Students L ongitudinal Study (B PS:12/14) first follow - up, including the student interview and panel maintenance activities . In 20 13 , NCES received clearance of the BPS:12/14 field test data collection that was conducted in the spring of 2013 . The materials to be used in the main study are based upon those that were approved in February 201 3 for the field test data collections (OMB# 1850 - 0631 v. 7 ). With that submission, NCES adequately justified the need for and overall practical utility of the full study

as proposed and an overarching plan for the phases of the data collection over the next 3 years, and provided as much detail on the measures to be used as was available at the time of the submission. OMB approved the initial phase of this collection in February 201 3 , and now NCES published a notice in the Federal Register allowing a 30 - day public comment period on the details of the subsequent study components (full - scale first follow - up) described in this submission. The BPS longitudinal s tudy is designed to follow a cohort of students who enroll in postsecondary education for the first time during the 2011/12 academic year , irrespective of date of high school completion . Th e study

collects student data on persistence in, and completion of, postsecondary education programs ; their transition to employ ment ; demographic characteristics ; and changes over time in their goals, marital status, income, and debt, among other indicators. Data from B PS are used to help researchers and policy

makers better understand how financial aid influences persistence and completion, what percentages of students complete various degree programs , what employ ment and wage outcomes are for certificate and degree attainers, and why students leave school . This study

is being conducted under contract # ED - IES - 09 - C - 0039 with RTIInternational ( a trade name of Research Triangle Institute ) , as well as Coffey Consulting, LLC, Branch Associates, Research Support Services, and consultants Dr. Cy nthia Decker and Ms. Andrea Sy kes . **b. S**  **ummary**

**of S tud**  **y Design for BPS:12/14**  The BPS:12/14 full - scale sample will consist of students eligible to participate in the NPSAS:12 full - scale study , who first began postsec ondary education at U.S. institutions during the 2011

– 12 academic year . The BPS:12/14 student interview, for which clearance is requested, will involve a web based interview conducted in two separate substudies. The first, a calibration study , will evaluate optimal incentive amounts for use in the baseline and second phase of the responsive design plan for the main full scale data collection . About 10 percent of the BPS full - scale sample will be randoml y selected to participate in the calibration study , with data collection beginning in mid - February . The second, main study will collect data from the remaining sample in 6 phases involving different incentive amounts, field interviewing and

/or local exchange calling , and a mobile - enabled abbreviated interview . Each intervention has been selected to address a different reason for non - response.2

Additional data for the BPS:12/14 full - scale student sample will be obtained from a variety of administrative data sources. Student financial aid data will be matched and downloaded from the Central Processing S ys tem (CPS), which houses and processes data contained in the Free Application for Federal Student Aid (FAFSA) forms. Data will also be obtained from the National Student L oan Data Sy stem (NSLDS), which contains both federal Pell Grant and Stafford Loan data, and the National Student Clearinghouse (NSC) containing enrollment and degree attainment information provided by participating institutions. A description of linkages to these administrative data sources can be found in Appendix A, and the security

measures in place for these linkages are provided in Appendix B. During full - scale data collection, an additional data source may be available from student records abstracted from institutions attended by members of the BPS:12 cohort . The approach for abstraction of institution records has recently been tested as part of the Education Longitudinal Study :2002 (EL S:2002) Third Follow - Up (OMB #1850 - 0652 v.10). Although concurrent o r contemporaneous collections of similar data (e.g., in NPSAS) have been successful for the purpose of determining how students pay for their postsecondary

education in the current academic year , the ELS:2002 Financial Aid Feasibility Study (FAFS) assesses the practicability of collecting the data retrospectivel y, with records that go back as far as 2004. Results of the ELS:2002 FAFS are currently being evaluated, EL S :2002 institutions were asked to provide a borrowing history for a 3 - ye ar period within th e entire tenure of the identified EL S:2002 students who attended their institution. L ongitudinal anal ys is of student financial aid records will allow examination of borrowing and debt trends over time, as well as the effects of those trends on postsecondary persistence and attainment, and decisions about work and family . The results of the feasibility study are help ing provide information about the quality of the data when collecting financial aid student records that span a number of ye ars and, ultimately , inform decisions on such efforts for the BPS first and second follow - up studies which would require retrospective collection to 2011 - 12. Once this additional collection is funded, a separate forms clearance package will be submitted for future BPS follo w - ups .

**c. Legislative A**  **uthorization** The BPS longitudinal s tudy is authorized by the Education Sciences Reform Act of 2002 (ESRA), 20 U.S.C. § 954 3 ) and is being conducted in close consultation with other offices and organizations within and outside the U. S. Department of Education (ED) . **2. Purpose and Uses of the Data**  **a. The BPS Cohort**  BPS is unique as the only nationall y- representative study of all students

–including nontraditional students who delayed postsecondary entry and those in short - term vocational programs – beginning postsecondary

education for the first time in the same academic year . It is also the only study that follows students throughout the entire postsecondary education sy stem over a number of years . As a result, it provides a much more accurate portrait of these students’ persistence, attainment, and experiences than do studies that focus only on the first institution or rely on institution - reported data alone. BPS:12/14 will provide data on 2011 - 12 beginning postsecondary students in their first 3 years after entering postsecondary education. Because c urrent economic conditions have increased interest in3

the relationship between subbaccalaureate credentials and employ ment outcomes , f

or the first time , BPS features an oversample of students se eking educational certificates in 2 - year public, 2 - year for - profit, and 4 - ye ar for- profit institutions . A recent NCES report used BPS:04/09 data to examine subbaccalaureate completers and noncompleters’ labor market outcomes 1 but , due to small samples , was often unable to detect significant differences among certificate seekers . Analy ses of students’ labor market outcomes will be aided b y BPS:12/14’s expanded employ ment section , which will collect an employ ment history on all jobs held by respondents since starting postsecondary education. For those who have already left postsecondary

education, with or without earning a credential, greater detail will be collected on specific jobs held . In addition to post - enrollment employ ment, BPS provides data on beginning students ’ demographics, high school preparation, enrollment and employ ment while enrolled , financial aid and borrowing, and education and career expectations. The primary purpose of BPS is to contribute to a better understanding of how the se factors r elate to three key postsecondary outcomes : persistence, degree attainment, and employ

ment . To this end, BPS:12/14 will prepare multiple publications that will report key statistics on how students with varying characteristics performed on these outcomes 3 ye ars after starting their postsecondary careers ; the later BPS second follow - up study (BPS:12/17) will explore these outcomes over a longer period of time.

**b. Current Research and Policy**  **Issues Related to BPS** T o facilitate understanding of the relationships among the key BPS outcomes, the BPS :12 longitudinal study has adop ted the human capital model as its research framework , and n o w incorporates several new sets of questions that the latest research suggests will be helpful in predicting the outcomes of interest. These questions include students’ earnings potential given current education, their earnings expectations after completing the postsecondary credential , the extent to which they prefer current over future rewards (also known as the ir discount rate), and their phy sical and emotional health. As a major longitudinal data collection, BPS :12 will continue to provide timely data in several areas of policy

interest. For example, the President’s American Graduation Initiative has set ambiti ous goals to increase Americans’ postsecondary education attainment over the next decade. As a result of that and other related initiatives, more students are being encouraged to enroll. At the same time, the economic downturn has resulted in higher enro llments and a shift in the composition of new postsecondary enrollees. BPS allows researchers to describe these changing enrollment patterns and examin e their relationship with students’ postsecondary persistence, degree attainment rates, and employ ment outcomes. BPS data will also contribute to our understanding of the relationship between the attainment of a postsecondary

credential and job prospects which, s ince the advent of the Great Recession, continues to be prominent in the national conversation. In his first State of the Union address, President Obama called for every American to take at least one ye ar of education beyond high school

—including postsecondary occupational education

– and to consider their potential earnings in choosing a college. In addition, the Administration plans to include information on employ ment and earnings in its College Scorecard in

1 http://nces.ed.gov/pubs2012/2012273.pdf4

order to help students at all levels of postsecondary education better understand the relationship between education and employ

ment. Focusing specificall y on STEM fields , the White House’s Engage to Excel initiative seeks to produce one million additional college graduates in STEM to fill the projected gaps in America’s workforce. One of its primary goals is to increase the number of students who choose STEM majors and retain them through receipt of a postsec ondary degree, with a special focus on engaging them during the first 2 years of a STEM - related degree program. Data from the BPS:12 cohort will permit estimation of overall changes in rates of degree attainment and major field of study, particularly with respect to majors in science, technology , engineering, and mathematics (or STEM ) . With respect to subbaccalaureate credentials, a report from the Georgetown Center on Education and the Economy (Carnevale et al, 2012) 2 notes that certificates “provide the outcomes that degree seeking students are looking for: gainful employ ment , ” (p. 35) and can serve as gateway s to high er level college credentials. Because there is a particular pau city of information on the labor market value of non degree credentials, including industry- recognized certifications, occupational licenses, and subbaccalaureate educational certificates , the BPS:12 cohort include s an oversample of students who entered po stsecondary

education seeking to attain a subbaccalaureate certificate. In addition, BPS is coordinating with the Interagency Working Group on Expanded Measures of Enrollment and Attainment (GEMEnA) to improve federal statistical data on these credentials . Tuition cost s , financial aid, and student debt are also receiving considerable attention from lawmakers . To help address these issues, the Obama Administration recently announced its desire to incorporate perfo rmance - based funding into federal financial aid programs , with c olleges rated on affordability , completion rates, and graduates’ earnings . N ew gainful employ ment regulations seek to ensure that students are able to obtain jobs and earn incomes in their chosen professions that allow them t o repay their loans . BPS provides a considerable amount of data related to these topics. To further inform debates on changing the financial aid s ys tem , BPS will obtain institution - level information about how students are paying for their postsecondary e ducation beyond the first year . This new data collection effort will provide greater insight into the extent to which college costs, financial aid, and debt over time are related to persistence, attainment, and employment outcomes. Some of the many researc h and policy issues to be addressed with BPS:12/14 data include the following: Persistence

 What proportion of beginning students are enrolled in their first institution and what proportion are enrolled at any institution 3 years after initially enrolling?

 How frequently

are students no longer enrolled any where after 3 years, and how long had such students been enrolled before they left?

 What is the rate at which students transfer between institutions, when do they transfer, and what are the most common transfer patterns in terms of the ty pes of institutions left and entered?
2 Carnevale, Anthony P., Rose, Stephen J., and Hanson, Andrew R. (2012) Certificates: Gateway to Gainful Employment and College Degrees. Washington, DC: Georgetown Center on Education and the Economy.5

 To what extent do students change their major from STEM to non - STEM fields, and vice versa?

 What proportion of certificate attainers enters another certificate or degree program ? Are th eir subsequent certificates and degrees in related fields of study?

 How do the above persistence questions differ b y demographic characteristics, high school preparation, enrollment, employ ment during enrollment, financial aid and borrowing, and education and career expectations? Inparticular, how are high school preparation and institution ty

pe related to attainment? Postsecondary Enrollment Characteristics and Experiences

 How are beginning postsecondary students distributed across different ty pe s of in stitutions? Across different degree programs?

 What fields of study do beginning postsecondary students pursue, and in which do they obtain degrees ?

 To what extent do students participate in online, night, and weekend courses and programs, and how does participation differ b y demographic characteristics, type of institution attended, and field of study?

 To what extent do students feel a sense of belonging at their institution and how is this related to their demographic characteristics and other enrollment characteristics and experiences? How is this sense of belonging related to academic and employ ment outcomes? Employment d

uring Enrollment

 What percentage of students work while enrolled , and of them, what proportion have a job related to their field of study?

 Of those who work while enrolled, do they work on or off campus and how many hours per week do they

work? Financial Aid and Borrowing

 What ty

pes of financial support do dependent beginning students receive from their parents and other relatives and friends during their postsecondary education ?

 What proportion of beginning postsecondary students receives federal Pell Grants or veterans or other Department of Defense education benefits? What proportion of students borrow s private loans, in what amount, and how does this borrowing vary by demographic characteristics and institution ty pe?

 How does the percentage of beginning students taking out federal loans and the average amount borrowed vary

by demographic and enrollment characteristics?

 What is the amount of federal loan debt students acquire and how does this differ b y students’ demographic, high school preparation, and enrollment characteristics?

 What is the average cumulative debt of beginning students after 3 ye ars and what factors are related to the amount owed ?

 What kinds of borrowers struggle in repay ment and default on their student loans after 3 ye ars?6

Attainment

 What percentage of beginning students ear n a certificate or associate’s degree within 3 ye ars?

 How long does it take beginning students to earn these credentials?

 To what extent are demographic characteristics, high school preparation, enrollment, employ ment during enrollment, financial aid and borrowing characteristics, and education and career expectations linked to attainment a nd time to attainment? Inparticular, how are institution ty

pe, transfer patterns, and debt related to attainment? Education and Career Expectations

 What degrees or certificates do students expect to attain, when do they expect to complete them, and how c onfident are they in these expectations?

 How much support do beginning students receive from their families and friends in their pursuit of their educational goals?

 To what positions do beginning students aspire, and what do they think they will earn in these positions?

 How close are students’ predicted earnings to actual average earnings in their expected careers?

 What would beginning students do if they were not in school, and if they thought they would be working, what did they think they

would be earning?

 What is students’ discount rate, or, phrased another way, how large a premium do beginning postsecondary

students place on more immediate versus more remote rewards? Employment Outcomes a

fter Leaving Postsecondary Education

 Among beginning students who have left postsecondary education , what percentage has experience d unemploy

ment spells ? How many spells have they had and how many months has each spell lasted?

 How much do beginning students who have left postsecondary education earn, and what benefits do they

receive?

 What are certificate attainers’ emplo ym ent outcomes? What percentage is employed in their field of study? How do their employ ment outcomes compare to those who are not employed in their field of study? Inwhat occupations are these students employed, and do their occupations align with their field of study?

 Among beginning postsecondary students who did not enter postsecondary education directly from high school and who left postsecondary education within 3 years, to what extent does their employment before and after postsecondary education differ? To what extent does employ

ment prior to postsecondary education contribute to employ ment outcomes after postsecondary education?

 How do the answers to this set of questions differ by demographic characteristics, high school preparation, enrollment, employ ment during enrollment, financial aid and borrowing, and education and career expectations as well as persistence and attainment? Answers to these and other questions are vital if policy makers at the local, state, and national levels are to respond adequately to the changing environment of postsecondary education.7

**c. Previous A** **gency Use of the Data**  NCES has used data from the previous cycles of BPS in a variety of publications . NCES also makes BPS data available for use b y researchers via both restricted - use data files and the public - use data tools , PowerStats and QuickStats. Appendix C provides a bibliography of publications using BPS data , including peer- review journal publications prepared by researchers using these data. **3. Use of Information Technology**  To improve the efficiency of student data collection, BPS :12/14 will use web - based student interviewing across two modes of data collection , self - adm inistered surveys and computer- assisted telephone interviewing (CATI). In the NPSAS:12 and the BPS:12/14 field test, 80.6 percent and 83.3 percent of interviews , respectivel y, were completed online as self - administered survey s . The abbreviated interview w ill be developed to be mobile - friendl y, allowing respondents to complete the interview on a tablet or, if desired, a smartphone. **4. Efforts to Identify Duplication**  Efforts to identify

duplication have included NCES consult ations with other federal offices, such as ED’s Office of Postsecondary Education, the Office of Planning, Evaluation and Policy Development, the National Science Foundation, the Congressional Budget Office, and the Office of Management and Budget. NCES also routinely consults with non - federal associations such as the American Council on Education, the Association of Private Sector Colleges and Universities , the National Association of Independent Colleges and Universities, and the Institute for Higher Education Policy to confirm that the dat a to be collected for the BPS longitudinal study are not available from any other sources . Academic researchers are also consulted, with several attending Technical Review Panel meetings along with representatives from federal agencies, associations, and p ostsecondary institutions . Beyond identification of duplication, these consultations provide methodological insights from the results of other longitudinal postsecondary

student studies conducted by NCES and other federal agencies and nonfederal sources, and the consultations assure that the data collected through B PS will meet the needs of the federal government and other relevant organizations. There are no other studies in the U.S that duplicate the data produced by BPS. BPS is one of several studies sponsored b y the U.S. Department of Education to respond to the need for a national, comprehensive database concerning significant issues in access, choice, enrollment, persistence, progress, and attainment in undergraduate po stsecondary education, in graduate and professional school access, and in post - enrollment experiences. The base study for BPS is the National Postsecondary

Student Aid Study

(NPSAS), a recurring survey of a nationally

representative, cross sectional sample of postsecondary students. The NPSAS survey s have been implemented every 3 to 4 ye ars since 1986

– 87. There are three previous cohorts of the Beginning Postsecondary Students (BPS) L ongitudinal Study : BP S:90, BPS:96, and BPS:04. The BPS:12 cohort was identified from NPSAS:12 just as the previous BPS cohorts, and the Baccal aureate and Beyond (B&B) study cohorts, have originated from prior NPSAS studies. Unlike BPS, which follows a cohort of first time beginning students at institutions at all levels of posts econdary education , B&B follows a cohort of baccalaureate recipients at institutions8

awarding 4 - ye ar degrees and above. A s the B&B cohort is necessarily made up of degree recipients, persistence in undergraduate education is not an emphasis in B&B, as it is in BPS. Additionally, B&B places a special emphasis on the experiences of new elementary and secondary

teachers. The chronology of the previous administrations of the NPSAS study and its associated BPS and B&B longitudinal components are presented in t able 1. There have been a number of related studies to BPS. For example, NCES has conducted high school cohort studies, such as High School and Beyond (HS&B), the National Longitudinal Study of the High School Class of 1972 (NL S - 72), the National Educati on Longitudinal Study of 1988 (NEL S:88), the Education Longitudinal Study of 2002 (EL S:2002), and the High School Longitudinal Study of 2009 (HSL S:09), which follow or plan to follow students into college. While these studies accuratel y reflect the educati on and employ

ment experiences and outcomes of the high school cohorts from which they drew a sample, they

are not nationally

representative of all beginning postsecondary students because not all beginners enter directly

from high school. In fact, accordin g to BPS:04/09, one - third of all beginning postsecondary

students were over age 19 when they entered for the first time. Another related study

conducted by

NCES is the Integrated Postsecondary Education Data System (IPEDS) Graduation Rate Survey (GRS). Like BPS , the GRS provides data on enrollment and attainment for both recent and nonrecent high school graduates. However, its definition of beginning postsecondary

students is more restrictive than that of BPS as it is limited to full - time, degree seeking , first - time postsecondary

students who entered in the fall. In addition, GRS collects enrollment and attainment data from institutions rather than students, meaning it can onl y provide information on students’ attainment at the first institution attended and not students’ attainment at any institutions to which they

transfer. **Ta ble**  **1 .**  **Chronology of NPSA S and its longitudinal components**  **Base year First follow**  **- up**  **Second follow -**  **up Third follow**  **- up**  NPSAS:90 **BPS:90/92 BPS:90/94**  — NPSAS:93 B&B:93/94 B&B:93/97 B &B:93/03 NPSAS:96 **BPS:96/98 BPS:96/01**  Adm inistrative data update NPSAS:2000 B&B:2000/01 — — NPSAS:04 **BPS:04/06 BPS:04/09**  Adm inistrative data update NPSAS:08 B&B:08/09 B&B:08/12 — NPSAS:12 **BPS:12/14 BPS:12/17**  **BPS:12/19** 1

— Not applicable 1 Tentative. NOTE: BPS = Beginning Postsecondary Students; B&B = Baccalaureate and Beyond. **5. Method Used to Minimize Burden on Small Businesses**  The student survey

for BPS:12/14 does not involve small businesses or entities. If the financial aid record collection is c onducted , s ome small for- profit schools and other small public and private schools will be contacted. B urden will be minimized on these schools b y working9

closely with a school - appointed coordinator (e.g., the financial aid administrator) before the data c ollection effort to identify the format in which records are kept and transmitted. Once this additional collection is funded, a separate forms clearance package will be submitted . **6. Frequency** 

**of Data Collection** BPS studies have been conducted periodically s ince 1990, as described in section 4 of Part A of this package . The BPS:12/14 full - scale data collection will be conducted in 2014 , 2 years after the NPSAS:12 full - scale collection from which the BPS student sample was selected. A f uture follow - up with the BPS:12/14 student sample is anticipated in 2017 , as part of BPS:12/17 , and may include an interview, administrative record matching, student records collection, and a one - time transcript collection , if funded . The NPSAS and its longitudinal spin - off studies, B PS and B&B , are conducted to reflect the large - scale and rapid changes in federal policy concerning postsecondary student aid

—eligibility restrictions change, size s of grant and loan amounts fluctuate, and the balance between various aid options can change dramaticall y. A recurring study is essential to help predict future costs for financial aid because loan programs create continued obligations for the federal government as long as the loans are being repaid . Second, repeated surveys can captur e the changing nature of the postsecondary environment. With the longitudinal design of the NPSAS survey and BPS follow - ups, representative national samples of beginning postsecondary students with similar base - ye ar characteristics may be compared over tim e to determine the effect s of changes in federal policy and programs. Third, repeated survey s can help researchers understand the effect of economic conditions on the employ ment outcomes for subbaccalaureate educational certificate holders. The new oversam ple of certificate seekers that will be available for the full - scale study , combined with the longitudinal nature of BPS , allows for anal ys is of how the value of these credentials shifts in response to market forces. **7. Special Circumstances of Data Collectio**  **n** No special circumstances of data collection are anticipated. **8. Consultants**  **O utside the A** **gency** Recognizing the significance of the B PS:12/14 data collection, several strategies have been incorporated into the project work plan that allow for the critical review and acquisition of comments relating to project activities, interim and final products, and projected and actual outcomes. These strate gies include consultations with persons and organizations both internal and external to NCES, ED, and the federal government. Previous B PS implementations have benefited from a standing federal review panel comprising staff from many federal offices , in cluding ED ’s Office of Postsecondary Education, OMB, and the Congressional Budget Office. Some members of this panel also belong to the TRP for BPS . The membership of the TRP (see Appendix D ) represents a broad spectrum of the postsecondary community . The nonfederal members serve as expert reviewers on the technical aspects of the study design, data collection procedures, and instrument design, especially item content and format. The TRP reviewed the proposed full - scale interview content and study design during its meeting in August 2013 .10

**9. Provision of Payments or Gifts to Respondents**  The use of incentives is an integral part of the overall data collection plan for BPS:12/14, and is proposed for the purpose of encouraging early response and minimizing nonresponse . The data collection design is described in detail in Part B, Item 4, Tests of Procedures and Methods. The proposed design includes a calibration experiment to determine the optimal incentive level for a given case. Approximately 3,000 students will be randomly assigned to one of 11 incentive categories, from $0 to $50 in $5 increments, to encourage participation during the earl y response phase of data collection. The results of the experiment will be used to set the beginning incentive(s) for the main study accordingl y , at an amount between $0 and $50. About 3 weeks after outbound calling has begun (approximately 7 weeks after the start of data collection) , remaining nonrespondents in the calibration study will be evaluated for their potential to contribute to nonresponse bias. Highest potential cases , within pre - set bounds , will receive an additional incentive offer in one of three randomly selected amounts, $15, $30, or $45. Results of the calibration study will again be used to set the additio nal incentive amount s for the main study . Given prior experience with this population, we expect that about 58 percent of the initial sample will be nonrespondents at the point that importance scores are calculated. Among those, we expect about 30 percent of cases will warrant special intervention during this phase with up to an additional $45 . **10. As**  **surance of Confidentiality** NCES assures participating individuals and institutions that all identifiable information collected in the BPS studies and related p rograms may be used only

for statistical purposes and may not be disclosed, or used, in identifiable form for any other purpose except as required by law [Education Sciences Reform Act of 2002 (ESRA 2002), 20 U.S.C. § 9573]. B PS :12 /14 data security and confidentiality

protection procedures are in place to ensure that RTI and its subcontractors compl y with all privacy

requirements, including the following :  Statement of Work of this contract;  Privacy

Act of 1974 U.S.C. § 552(a) (2009);  U.S. Department of Education Incident Handling Procedures (February 2009);  U.S. Department of Education General Handbook for Information Technology Security General Support Sy stems and Major Applications Inventory Procedures (March 2005);  U.S. Department of Education, ACS Directive OM:5 - 101, Contractor Employee Personnel Security Screenings ;  Family

Educational and Privacy Act of 1974, 20 U.S.C. § 1232g (2009);  E SRA, 20 U.S.C. § 9573 (2009) ; and  All new legislation, which impacts the data collection through this contract. T o further ensure that confidentiality is appropriately maintained at all times, vendors who assist in locating and tracing sample members are also required to follow procedures that appropriatel y safeguard personally

identifying information. RTI ’ s vendor contracts outline requirements for information security policies and assessments, security awareness training, physical and environmental security, monitoring, and access control. They also specify the means by which information may be transmitted between RTI and the contractor. Appendix B documents the data security language contained in vendor contracts.11

RTIwill adhere to NCES Statistical Standards (http://nces.ed.gov/statprog/2002/std4_2.asp ) . RTI will also comply

with ED’ s IT security

policy requirements , as set forth in the Handbook for Information Assurance Security Policy and related procedures and guidance as well as IT security requirements in the Federal Information Security Management Act, OMB Circulars, and the National Institute of Standards and T echnology

standards and guidance. Consistent with the standards, B PS:12/14 data security procedures require that notarized nondisclosure affidavits be obtained from all personnel who will have access to individual identifiers (copies of the agreement and a ffidavit are provided in Appendix E ). Also implemented are personnel training regarding the meaning of confidentiality; controlled and protected access to computer files; built in safeguards concerning status monitoring and receipt control s ys tems; and a s ecure, staffed, in - house computing facility . The procedures for securing sensitive project data will include the following: phy sical/environment protections, building access controls, sy stem access controls, sy stem login restrictions, user identification and authorization procedures, encry ption, and project file storage/archiving/destruction. There are several security measures in place to protect data during file matching procedures. NCES has a secure data transfer s ys tem, which uses Secure Sockets Layer technology , allowing the transfer of encry

pted data over the Internet. The NCES secure server will be used for all administrative data sources, with the exception of the National Student Clearinghouse (NSC), which has its own secure File Transfer Protocol site. All data transfers will be encry pted using Federal Information Processing Standards 140 - 2 validated encry ption tools. Furthermore, ED has established a policy regarding the personnel security screening requirements for all contractor emplo yees and th eir subcontractors to secure the confidentiality of B PS respondents . The contractor must comply with these personnel security screening requirements throughout the life of the contract. The ED directive that contractors must comply with is OM: 5 - 101, which was last updated on July 16 , 20 10 . There are several requirements that the contractor must meet for each employee working on the contract for 30 day s or more. Among these requirements are that each person working on the contract must be assigned a positio n risk level. The risk levels are high, moderate, and low , based on the level of harm that a person in the position can cause to ED’ s interests. Each person working on the contract must complete the requirements for a “ Contractor Security Screening. ” Depen ding on the risk level assigned to each person ’ s position, a follow - up background investigation by ED will occur. Sample member contact materials will describe the voluntary nature of the B PS :12 /14 interview and convey

the extent to which study member ide ntifiers and responses will be kept confidential. Similarly, the scripts to be read b y t elephone staff will be very specific in the assurances made to sample members and contacts. Contacting materials are presented in Appendix F . The following confidential ity language is provided in the study brochure that is supplied to all sample members: The 2012/14 B eginning Postsecondary Students Lo ngitudinal Study (B PS:12/14 ) is conducted under the authority of the Education Sciences Reform Act (ESRA) of 2002 (20 U.S.C. § 9 543 ) , which authorize s NCES to collect and disseminate information about education in the United States. Collection is mo st often done through surveys. NCES is required to follow strict procedures to protect the confidentiality of persons in the collection, reporting, and publication of data. All individually identifiable information supplied by individuals or institutions to NCES may be used only for statistical purposes and may not be disclosed or used in identifiable form for any other purpose, unless otherwise compelled by law (20 U.S.C. § 9573).12

**11. Sensitive Questions**  The BPS:12/14 interview contains items about earnings, assets and debts, and marital and famil y status. Federal regulations governing the administration of these questions, which mi ght be viewed as sensitive due to personal or private information, require (a) clear documentation of the need for such information as it relates to the primary purpose of the study , (b) provisions to respondents that clearly inform them of the voluntary n ature of participation in the study , and (c) assurances that responses may be used only for statistical purposes, unless otherwise compelled by law ( 20 U.S.C. § 9573 ). Several procedures have been implemented to provide th ese assurances to respondents. The y are outlined in the confidentiality

agreements shown in Appendix E . The collection of data related to income, earnings, assets, indebtedness, and long - range employ ment outcomes is central to understanding key policy issues driving this study . Financial a ssets and obligation s can play

an important role in student persistence in, and completion of, postsecondary education programs. In addition, information about income, earnings, and assets provides vital labor force variables and important indicators of the rate of return of educational experiences to the respondent. The collection of information about marital and family status also facilitates the exploration of key policy issues. Social and economic support provided by spouses can play

an important role in students enrolling and persisting in postsecondary education and the successful transition to employ ment . Financial and famil y- related obligations also influence decisions about employ ment and additional education, so it is important to collect information about marital status and dependents. **12. Estimates of Response Burden**  B PS:12/14 will involve the collection of respondent interview data b y self - administered web and telephone interview. B urden estimates

—including number of sample members, expected response rates, and estimated time per respondent

—are shown in table 2 . Burden estimates for the administrative record collection from institutions will be prov ided with the submission for that full - scale data collection. **Ta ble**  **2 .**  **Estimated B PS**  **:12 /14**  **full -**  **scale data collection**  **cost and respons**  **e burden BPS:12/14 Full**  **- scale**  **Sample Size**  **Expected Participation**  **Rate Expected** 

**Eligible Expected** 

**Number of Respondents**  ***** **Ave Burden**

**(mins) Total** 

**Burden (hours)**  **Rate per**

**hour ($) Total cost** 

**($)** Panel Maintenance (address updates) 3 7,166 15% N/A 5, 575 5 .0 4 65 $ 1 0 $ 465 Calibration Pretest Base year respondents 1,111 80% 90% 800 30 .0 400 $10 $4,000 Base year nonrespondents 1,600 45% 80% 576 35 .0 336 $10 $3,360 Non study members 907 25% 75% 170 35 .0 99 $10 $990 Student Interview Base year respondents 28,965 80% 90% 20,855 30 .0 10,428 $10 $104,280 Base year nonrespondents 3,011 45% 80% 1,084 35 .0 632 $10 $6,320 Non study members 1,572 25% 75% 295 35 .0 172 $10 $1,720 **Total 23,780**  **1 2,5**  **32** NOTE: BPS:12/14 = 2012/14 Beginning Postsecondary Students Longitudinal Study, FTB = First Time Beginner Potential FTB’s are those NPSAS:12 non - respondents who appeared to be FTB’s in NPSAS:12 student records data. Non study members are those NPSAS:12 samp le members who, across all data sources, did not have sufficient data to support the analytic objectives of the study. * The total expected number of respondents excludes those listed under panel maintenance, because they are already accounted for under pretest and interviews . T he t otal number of responses is the sum of expected numbers of respondents across all categories ( 29 , 355 ).13

**13. Estimates of Cost**  **to Respondents** Respondents will incur no costs for equipment, printing, postage or any other activities associated with participation in this study . **14. Costs to**  **the Federal Government**  A summary

of the estimated costs to the federal government for B PS :12 /14 is shown in Table 3 . In cluded in the contract estimates are all staff time, reproduction, postage, and tel ephone costs associated with the management, data collection, anal ys is, and reporting for which clearance is requested. A more detailed breakdown of contract costs is provided in table 4 . **Ta ble**  **3 .**  **Costs to the National Center for Education Statistics for B**  **PS :**  **12/14** Costs to NCES Am ount ($) BPS:12/14 Field Test Study Salaries and expenses $ 111,290 Contract costs 2,845,927 To tal 2,957,217 BPS:12/14 Full - Scale Study Salaries and expenses 333,870 Contract costs 7,508,204 To tal 7,842,074 BPS:12/14 Total Costs Salaries and expenses 445,160 Contract costs 10,354,130 To tal 10,799,290 NOTE: BPS:12/14 = 2012/14 Beginning Postsecondary Students Longitudinal Study.14

**Ta ble**  **4 .**  **Contract costs for B PS**  **: 12**  **/14** Stud y area and task management Budgeted amount ($) 11 0 Initial meeting with NCES 38,245 120 Schedules 40,235 130 Monthly reports 367,732 140 Integrated monitoring system 471,607 150 Technical review panels 865,358 Field test (FT) 210 FT Sampling 3 8,140 220 FT RIM G /OMB forms clearance 9 0,983 231 Instrumentation 696,220 232 Tracing 68,368 234 Training for We b/ CATI data collection 1 26,693 236 We b/ CATI data collection 393,288 237 Data processing 3 58,230 240 Methodology report 1 8 2,416 Full - scale (FS) data collection 31 0 FS Sampling 47,419 320 FS RIM G /OMB forms clearance 56,630 331 Instrumentation 6 73,805 332 Tracing 4 02,399 334 Training for web /CATI data collection 30 9, 055 336 We b/ CATI data collection – general 2 , 211,376

We b/CATI data collection – incentives 576,898 337 Data processing 7 20,259 338 We ighting, imputation, and nonresponse bias analysis 2 1 1,472 339 Data disclosure planning and prevention 5 7,574 340 Methodology report 3 11,049 Descriptive reporting 410 First Look report 7 3,163 420 Data analysis system 4 40,612 430 Additional special tabulations 1 35,937 440 Descriptive reports 1 08,415 450 Respond to information requests 2 67,645 460 Final technical memo 1 2,907 Total $ 10,354,130 NOTE: Costs presented here do not include base or award fee. B PS : 12 /14 = 20 12 /1 4 Beginning Postsecondary Students Longitudinal Study; CATI = computer- assisted telephone interview ing; OMB = Office of Management and Budget; RIMG = Regulatory Information Management Group. **15. Reasons for Changes in**  **Response Burden and Costs** The apparent increase in respondent burden is due to the fact that the previous clearance was for the BPS:12/14 field test, while this submission is for the full scale data collection . **16. Publication Plans and Time Schedule**  The contract for B PS : 12/ 14 requires the following reports, publications, or other public information releases:  A First Look report and Web Tables;1 5

 Complete data files and documentation for research data users in the form of both a restricted use file and public - use data tools (i. e., QuickStats, PowerStats);  Detailed data file documentation desc ribing all aspects of the full - scale study design and data collection procedures ; and  Special tabulations of issues of interest to the higher education community , as determined b y NCES Additional reports, including Statistics in Brief and Statistical Analysis Reports, may also be published from the full - scale data . For examples of publications using prior BPS studies see Appendix C . The operational schedule for the B PS: 12 /14 full - scale study is shown in t able 5 . **Ta ble**  **5** . **Operational schedule for BP S**  **: 12/**  **14** Activity Start date End date Field Test Update /deliver sample specifications 7 / 1 0/2012 9/25/12 Conduct locating and tracing activities 8/16 / 20 12 6/2 8 / 2013 Conduct help desk and CA TI training 12/19/2012 3/22 /2013 Data collection Self- adm inistered web interviews 3 /1 8 /201 3 6 /28 /2013 Conduct telephone interviews of students 3/26 /201 3 6 /28 /2013 Process data, construct data files 1/28 /201 3 8 / 30 /2013 Prepare data file documentation 4/4 /201 3 11 / 3 /2014 Full - scale Update /deliver sample specifications 7 / 1 5 /201 3 2 /11/201 4 Conduct locating and tracing activities 7 /2 2 / 2 013 9 / 15 /2014 Conduct help desk and CA TI training 11/25/2013 5/23 /2014 Conduct Institution Contactor training 8/12/2014 10/10/2014 Data collection Self- adm inistered web interviews 2 / 1 8 /201 4 9 /1 5 /201 4 Conduct telephone interviews of students 2/25 /2014 9/15/2014 Process data, construct data files 12 /1 6 /201 3 9 /4 /201 5 Prepare and submit reports 8 /1 4 /201 4 5 /1 6 /201 6 Collect student financial aid data from institutions 10/1/2014 4/15/2015 NOTE: B PS:12/14 = 20 12 /1 4 B eginning Postsecondary Students Longitudinal Study ; CATI = Computer assisted telephone interview; CAPI = Computer assisted personal interview **17. Ap**  **proval to Not Display Expiration Date for OMB A**  **pproval** No special exception is requested. **18. Exceptions to Certification for Paperwork Reduction A** **ct Submissions** There are no exceptions to the certification statement identified in the Certification for Paperwork Reduction Act Submissions of OMB Form 8 .