### P **r i**  **v a**  **c y**  **I m**  **p a**  **ct Ass**  **e ss**  **m ent**  **f or**  **t h**  **e G**  **r a**  **du a**  **t e**  **Assistan c**  **e in**  **A re**  **as of Na**  **t io**  **n al N**  **ee d**  **( G** **A A**  **N N)** 

**P e**  **r f**  **o r**  **m a**  **n c**  **e R**  **e p**  **o r**  **t S y**  **st e**  **m** Ap r il 8, 2013 P oint of Conta c t: R e b ec c a G r ee n, G A A

NN P ro g r am Manag e r (202) 502

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. g ov S y stem O w n e r: K at i e B landi n g , D i r e c tor, SS B (202) 219

- 7049 K at i e . B landi n g @ e d

. g ov Autho r : R e b ec c a G r ee n, G A A

NN P ro g r am Manag e r (202) 502

- 7779 R e b ec c a .G r ee n@ e d

. g ov **Of f**  **ice of**  **P ost**  **- S**  **ec o**  **nd a**  **r y E**  **du c**  **a t**  **ion U.S. D**  **e p**  **a r**  **t m**  **e n**  **t of E**  **du c**  **a t**  **ion 1.**  **S yst**  **e m**  **I nf**  **o r**  **m a**  **t io**  **n .**  D e s c ribe the s y stem - inclu d e s y stem n ame, s y stem a c ro n y m, and a d e s c ription of the s yste m , to i n c lude s c op e , pur p o s e and major f

un c t i ons. The s y stem is a w e b

- b a s e d int e r fa c e wh e re gr ante e s will log in t o pr o vide the student l e v e l d ata re qui r e d for Gr a d

u ate A ss i stan c e in A r ea s of N at i on a l N ee d ( G A A NN ) r e c ip i e nts. T h e s c ope of the c ol l ec t i on is for the durat i on of a thr e e ye ar aw ard. T he p u rp o se and major fun c t i on are to e nsure th a t the g o a ls of th e pr o gra m ar e b e i n g me t
. **2. L e**  **gal A u**  **thori t**  **y.** Ci t e the l e g a l autho r i t y to coll e c t and use th i s dat a . W h at spe c ific l e g a l a uthorities, ar

r an g e ment s , and/or a gr ee ments r e g ulate the c ol l ec t i on of inf o rmatio n ? The info r mation i s collected und e r the a uth o ri t y of Title V I I , P art A, S ubp art 2, S ec t i on 711 of the H i gh e r E d

u cat i on A c t of 1965, a s am e nd e d ; the pro gr a m r e g u l at i ons in 34 C F R 648; and the E du cat i on D e p art ment G e n e r a l Adm i nis tr at i ve R e g ulations ( E D G A R) in 34 C F R 74.51 **.** F urthe r , th e p e r fo r

man c e r eport f

o r m l e nds itself to the c ol l ec t i on of qu ant i f i a ble d ata n ee d e d to r e spond to the re qui r e ments of the Gov e rnm e nt P e r f o r man c e and Re s ul t s A c t ( G P RA )

. G rante e s are r e qui r e d to provide the d ata r e qu e st e d in ord e r to obtain or r e tain gr ant fundi n g acc o r di n g to 20 U. S .C. 1 135, 34 C F R S ec t i on 648.66. **3. Chara c**  **te r**  **iza t**  **ion of**  **t h**  **e I**  **nf o**  **r m**  **a t**  **io n**  **.** W h at el e ments of p e rson a l l y ident ifiable info r mation ( P I I) are c ol le c ted and m a int a ined b y the s y stem ( e . g ., n ame, so c ial s ec ur i t y numbe r , d ate of birth, a ddr e ss, phone nu mbe r)? W h at ar e the sou rce s of in f

o rm at i on ( e . g ., student, t eac h e r, e mp l o ye e , unive r si t y

)? How is the info r

mation c ol l ec ted ( we bsi t e , p a p e r f o r m, o n - l i ne fo r m)? I s the i n fo r

mation used to l ink or c ros s - r e fer e n c e mu l t i ple d ata b a s e s ? The G A A NN p r o g r am i s a p r o g r a

m th at aw ards f

e l lowships thr ou gh a ca d e m ic insti tut i ons of hi gh e r e du c at i on. B oth t he Annu a l P e r f o rm an c e R e port ( AP R ) and the F inal P e r f o r man c e R e port (F P R) c ol l ec t i nd i vidual stud e nt r ec o r ds p r ovided b y the grant e e ins t i tut i on. The ind i vidual stud e nt r ec o r d s co ntain su c h info r mati o n a s the student ’ s nam e , c i t i z e nship st atus, r a c e and e thn i c i t y , and e du cat i on and fin an c ial d a ta. The d ata w i l l not c ro s s - r e f e r e n c e mu l t i ple d atab a s e s. **4.** W h y is the inf

o rm at i on c ol l ec ted? How is this info r mation ne ce ss ar y to the m i ss i on of the p r ogr a m, or c ontribut e s to a n e c e ssa r y a g e n c y ac t i vi t y? Giv e n the amount and an y t y pe of d ata c ol l ec ted, di s c uss the priv a c y risks (int e rn a l l y and/or e x te r n a l l y ) i d e nt ified and how th e y w e re m i t i g ated. The info r mation cont a in e d in this s ystem is bei n g c ol l ec ted to a ss i st i n mon i toring gr a nt e e p e r f o r man c e and to det e rm i ne pro gr a m out c omes in r e sponse to the re qui r e ments of the GP RA. GP RA do e s not spe c ific a l l y r e quire the c ol l ec t i on of ind i vidual p articip ant r ec o rds with pe r sonal info r

mati o n. Ho we v e r, to d e te r m i n e if the g o a ls of the p r o gr am ar e b e ing m e t, the aca d e m i c pr o gr e ss of p r ogr a m p artici p ants must be tr ac k e d o v e r multip l e ye ars. Col l ec t i ng n ame, c i t i z e nship, r a c e and e thn i c i t y , stud e nt edu cat i on and fin an c ial info r mation is the most re l i a

ble m e thod for tr ac ki n g a student during the grant pe r iod t o d e te r m i nep r ogr a m e f fe c t i v e n e ss an d gr antee c omp l ian ce . A l thou gh the c ol le c t i on of th i s info r mation i s not r e quir e d b y statut e , it se r v e s a dist i n c t bus i n e s s ne e d for the D e p artme n t of Edu cat i on ( D e p artme nt ) . The c ol le c t i on of th i s info r mation s e rv e s as an identifi e r f o r mat c hing p articip ant r e c o r ds duri n g the p e riod of the gr ant and tr ac ki n g those stude n ts during the g r ant p e riod. The info r

m at i on c ol l ec ted is c omp i led f or thr e e pr o gr am g o a ls: 1) G ra d u ate s c hool comp letion: the p e r c e nt a ge of G A A N N Fe l l ows c omp le t i ng the te r m i n a l d e gree in the d e si gn ated are a s of n at i on a l n ee d; 2) Enr ol l ment of tar g e t e d populations: the p e r c e nt a ge of G A A NN Fe l l ows f

r om tr a di t ional l y und e r

re p r e s e nted groups; and 3) Tim e - to - D e g ree : the medi an t i me to c omp l e t i on of Mast e r ’ s and Do c t o r a te d e gree s f

o r G A A NN stud e nts. Gr a nte e s are r e qui r e d to provide the d ata r e qu e st e d in ord e r to obtain or r e tain gr ant fundi n g , acc o r di n g to 20 U. S .C. 1 135, 34 C F R S ec t i on 648.66. In a ddi t ion, gr ante e s are r e quir e d to subm i t a sup p lem e nt t o the F P R two ye ars a ft e r th e e x pir at i on of their G A A

NN gr a nt. This will pro v ide upd ated a ca d e m i c an d e mp l o y ment outcom e s of e a c h G A AN N F e l l ow r e port e d on the F P R submi tted two y e ar s e a rlie r . T h e info r mation colle c ted w i l l allow the p r ogr a m t o d e monstr ate the e f

fi c ien c y and e f

f ec t i v e n e ss of the p r o gr a

m. **5.** S o c ial S ec ur i t y Num b e r (SS N). I f an SS N is c ol l ec ted and us e d, d e s c ribe t he pur p ose o f th e c ol l ec t i on, the t y

p e of u s e , and an y disclosur e s. Also spe c i f y an y a l t e rn at ives that y

ou c onsid e r e d, and wh y the a l t e rn a t i ve w a s not s e le c t e d. I f s y stem c ol le c ts S S N, the P IA w i ll r e quire a si gn ature b y the Assistant S ec r e tar y o r d e si gn e e. I f no S S N is c ol l ec ted, no si gn atur e is r e quir e d. SS N s will not be c ol l ec ted or maintain e d in this s y stem. **6.** Us e s of the In fo r

mation. W h at i s the int e nd e d use of the info r mation? H o w w i l l the info r mation be us e d? D e s c ribe a ll int e rn a l and/or e x te r n a l uses of the in f

o r mation. W h at t y p e s of m e thods are u s e d to an a l y z e the d ata? E x plain how the info r mation i s used, if the s y stem uses c om me r c ial info r mation, pub l ic l y av a i l a

ble in f o r mation, or in f

o r mation f r om other Fe d e r a l a g e n c y d at a b a s e s. The D e p artme nt uses A P R and F P R d ata to: (1) e v a luate pr o gr am a c c omp l ish m e nts; ( 2) d e monstr ate p r o g r am e ff

ec t i v e n e ss, and (3) a id i n c omp l ian c e mon i torin g . Col l ec t i ng p e r fo r

man c e r e port d ata on an annu a l b a sis pro v ides the De p art ment with the a bi l i t y to ass e ss e ac h gra nte e ’s p r o gr e ss i n me e t i n g the p r o gram’ s g o a ls an d obje c t i v e s and to det e rmine c omp l ian c e with the statute and p r o gr am r e g ulatio n s. APR and F P R d ata h ave a lso be e n ins trum e ntal in d e te r m i ning wh e ther gr ante e s ar e e nt i t l e d to continuation funding b y an a l y z i n g f inan c ial d a ta submitt e d b y gr a nt ee s.The d ata c ol le c ted f rom the F P R a lso produ c e s dat a f or the w e b

- b a s e d sof

t w are plat f

o rm the D e p artme nt uses that e x t

r a polat e s dat a f

rom the FP R in a c onsistent fo r mat. This data e n a bles the D e p artme nt t o me e t the re qui r e ments of GP RA. W i th the upd ates p r ovided to the suppl e ment a l F P R two ye a rs a f t e r a grant e nds, we will be a ble to ca ptur e upd ated a ca d e m i c and e mp l o y m e n t s t atus for fe l l ows p re vi o us l y re p o rt e d. This wi l l provide the D e p artme nt wi th an oppo rtu ni t y to colle c t m o r e c o m plete p e r f o rm an c e d ata f or GP RA. **7.** I nt e rn a l S h ari n g and Disclosure . W i th whi c h int e rn a l ED o r g ani z at i ons w i ll the in f o r mation be share d? W h at i n f

o r mation i s share d? F or wh at purpose is the info r mati o n sh ar e d? G rante e s will on l y h av e a cce ss t o their info r m at i on. O f

fi c e o f Pos t s ec ond ary Edu c at i on ( OPE) sta f

f and c ontr ac t o r , Comput e r B usiness Methods I n c o r p o r ated ( C B M I ), wh i c h d e si gn e d and maintains t he G A A N N p e r fo r man c e re porti n g s ys t e m wi l l have a c ce ss t o the p e r f o r man c e r eporti n g s y stem. **8.** E x te r n a l S h aring and Di s c losur e . W i th wh at e x te r n a l enti t y will the in f

o r m at i on be share d ( e . g ., anoth e r a g e n c y f

or a spe c ified p r o gr a

m m at i c pur

p ose ) ? W h at i n f

o r m at i on is share d? F or wh at purpose is the i n f o r mation sh ar e d? How is the info r mation sh ar e d outs i de of the D e p artme nt? I s the sh ar i ng purs u ant t o a Comput e r M atchi n g A gree ment ( CMA ) , Memo randum of Un d e rs t an ding or other t y pe of appro ve d sh ari n g a gre e m e nt with another a g e n c y ? The c ontr a c tor ( C B M I ) will h ave share d a c ce ss t o the p e r f o r m an c e - b a s e d d ata. The c ontr ac tor m a int a ins the w e b

- b a s e d d ata b a se to c o l l ec t A P R and F P R d ata and to dev e lop r eports to m ee t the r e qui r e ments of G P RA. **9.** Notic e . I s notice pro v i d e d to the ind i vidual p r ior to c ol l ec t i on of their info r mation ( e . g ., a post e d P riv a c y Notic e )? W h at opportunit i e s do i n d iv i du a ls have to de c l i ne to provide info r mation (wh e r e pro v i ding the in f o r m at i on is volunt ar y

) or to c onse nt t o p articul ar us e s o f the in f o r mation (oth e r th an r e qui r e d or a uthori z e d uses ) , and how indiv i d u a ls c an gr ant c onse nt? Inst i tut ions of hi gh e r e d

u c at i on that re c e ive a G A A NN gr a nt are r e quir e d t o submit APR and F P R d ata in ord e r to obt a in or re tain gr a nt fundin g , a cc o r di n g to 20 U. S .C. 1135, 34 C F R S ec t i on 648.66. Th e se O M B a

ppro v e d d o c uments r e quire grant e e s to subm i t s tud e nt - lev e l data on e a c h stud e nt se r

v e d. I nst i tut ions th at use the p r o gr a m’s w e b

- b a s e d softw are mu s t r ea d a stat e ment, and lo g in t o a cce ss the s y stem used f or d ata c ol l ec t ion. P rior to g a in i n g a cc e ss t o the s y stem, g r ante e s mu s t r e a d the f

o l l owing not i ce s:W arning

This i s a U ni t e d S tat e s D e p artme nt of Ed u cat i on c omput e r s y stem, whi c h m a y b e a c ce ssed and us e d on l y f

or o f fi c ial Gov e rnm e nt business b y a uthori z e d p e rsonn e l. U n a uthori z e d ac c e ss or use of this co m puter s y s t e m ma y sub j ec t vio l ators to c r i m inal, c iv i l, and / or a dm i nis tr a

t i ve ac t i on. Use of this netwo r

k c ons t i tutes c onse nt t o mon i tor i n g , r e triev a l, and dis c losur e s of an y info r mation stor e d with i n the n e twork f o r a n y pur p ose in c lud i ng c rimin a l p r ose c ut i on. P riv a c y A c t P e r f o r man c e - b a s e d d ata submi tted b y gr ant e e s c o ntains c onfid e nt i a l s tud e nt - b a s e d info r mation. This info r

mation i s colle c ted thr o u gh a se c ur e d W e bsi t e that me e ts the D e p artme nts’ rul e s and s tand ards f or s ec ur i t y of s e nsi t ive d ata. The d ata r e side in a s ec u r e d f a c i l i t y in a s ec ur e d se r

v e r b e h i nd a D e p artme nt a p p r ov e d fi r e w a ll s y stem th at continuous l y mon i tors f

or intrusion and un a

uthori z e d ac c e ss. The I T c ontr ac tor s ec ur i t y sta f f is not i fi e d of W indows se c ur i t y up d ates and view s e rver s ec u ri t y status r e p o rts and a p pl i e s upd ates a s n ee d e d and uses ant i

- vir

u s softw are on a ll se r

v e rs and wo r

kstations. The d ata c ol le c t i on site r e quir e s gr a nt ee s to l o g in wi th a D e p artme nt i ssu e d lo g in I D and p a sswo r d. All sc r ee ns an d d ata tr a ns f e rs are e n c r y

pted and tr ansm i tt e d using h y p e rt e x t tr ansf e r p roto c ols ( HT T P S ) . The I T c ontr ac tor tr ansf e rs the d at a to the an a l y s is contr ac tor via a se c u r e d file tr ansf

e r proto c ol ( F T P ) si t e . As with the IT c ontr a c tor, th e d ata an a l ysis c ontr ac to r ’s s ec u ri t y pr o gr am i s compli ant wi th f e d e r a l g o v e rnm e nt r e g

ul a t i on and N at i on a l Inst i tut e of St and a rds an d T ec hnol o g y (N I S T ) st a nd ards. On l y c ont r a c tor st a ff that supports the d ata c ol l ec t i on or d ata an a l y sis and D e p artme nt s t a f f are a l l o w e d a c ce ss t o the d ata. Contr ac tor st a ff h a s ap p rop r iate s ec ur i t y c l e ar a n c e s and a lso si gns c onfi d e nt i a l i t y and no n - disclosure a gree me n ts t o pr o te c t a g a inst un a u thori z e d disclosure of c o n fid e nt i a l i n f o r mation. **10.** W e b Addre sses. L ist the w e b a ddr e sses ( known o r pl ann e d) that h ave a P r i v a c y Notic e . The f ol l owing w e b a d dresses list the S ec ur i t y and W arning not i ce : https://opeweb.ed.gov/GAANN **11.** S ec ur i t y . W h at admin i str at i v e , te c hni c a l, and p h y sic a l se c ur i t y sa fe g u a rds are in pla c e to p r ote c t the P I I ? E x amp l e s include: monitorin g , audi t in g , a uthentic at i on, f

i r e w a l l s, et c . H a s a C & A b ee n c omp l e ted? I s the s y stem c omp l iant with an y f e d e r a l se c u ri t y r e quir e ments? The last G A A

NN C & A w a s on F e b r

u ar y 2010.Ini t ial S ec u ri t y T r a i ning i s co n du c ted f ol l ow e d b y annu a l r e f

re s h e r tra in i n g . The G A A NN p e r f o r man c e r eport si t e d isp la y s a b ann e r to noti f y a ll use r s that th e y ar e ac ce ss i ng a g ov e rnm e nt s y stem and a re subj ec t t o mon i toring and p e n a l t ies f or m i sus e . The n e twork a dm i nis tr a

tor an a l y z e s s e rv e r a

udit r ec o r ds on a d a i l y b a sis to d i s c ov e r an y s ec ur i t y incid e nts. G A A NN r e quir e s u s e rs t o identi f y thems e l v e s uniqu e l y a l l owing them to p e r f o r m an y ac t i ons on the s y stem. G A A

N N uses both a w e b a

ppl ic at i on s e rv e r and a d at a b a se s e rv e r. T h e C B M I n e twork fi re w a l l s co nt i nuous l y mon i tor f or intrusion and un a

uthori z e d a c ce ss. The N e twor k / S ystem Admin i str ator c ondu c ts qu art e r l y vulne ra bi l i t y s c ans. The Applic at i on An a l y st c ondu c ts a s e c u r i t y i mp ac t ass e ss m e nt pr i or to m aking c h an g e s to G A A N N

. **12.** P riv a c y A c t S ys t e m of Re c o r ds. I s a s ys t e m of r e c o r ds b e i n g c r eated o r a l t e r e d und e r the P riv a c y A c t, 5 U. S .C. 552 a ? I s th i s a D e p artme nt - wide or Fe d e r a l Go v e r n ment - wide S ORN? I f a S ORN a l r ea d y e x is t s, wh at i s the SORN Numbe r ? A s y stem of r e c o rd n o t ic e is not ne e d e d b e ca u s e the in f

o r mation colle c ted is not re triev e d b y an y p e rson a l i d e nt i fi e rs. Th e r e f o r e , a s y s t e m of r e c o r d a s d e fin e d b y the P r iva c y A c t i s not b e ing c re ated and the r ep o rt i ng r e quir e ments of O MB Cir c ular A

- 130 do n ot app l y . **13. R ec**  **o r**  **d s**  **R e**  **t e**  **n tion a**  **n d**  **Dis p**  **ositio n**  **.** I s th e re a re c o r ds r e tention and disp o si t ion sch e dule a ppro ve d b y the N at i on a l A rc hives and R ec o r ds A dm i nis tr a t i on (N ARA) f

o r the r e c o r ds c r e at e d b y the s ystem d e v e lop m e nt l if e c yc le AN D f

or the d at a c ol l ec t e d? I f yes
– p r ovide r e c o r ds s c h e dule numb er : The r e c o r ds dispos i t i on s c h e dule is ED 254: G r an d Admin i str at i on and Man a g e ment F i l e s. Dispos i t i on: T e mpor ar y . D e str o y / D e lete 5 ye ars a f

ter gr a nt closur e , c omp l e t ion of mon i torin g , or a

udit re so l ut i on, if a

udi t e d, whi c h e v e r is lat e r. The r e c o r ds sch e dule nu mber is N1

- 441

- 11

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**f ici**  **a l**  **: Da**  **t e** 

**C o**  **m pu**  **t e**  **r S**  **ec u**  **r ity O**  **f**

**f ic**  **e r** **/ I nf**  **o r**  **m a**  **tion S**  **yst e**  **m Da**  **t e**  **S ec**  **u r**  **ity O f** 

**f ic**  **e r** 

**For S** 

**y stems T**  **h at**  **C o**  **l l**  **ec t, Mai**  **n ta**  **i n**  **a n**  **d or Tra n**  **sf**

**e r**  **SS Ns** 

**Assistant Se cre**  **t a**  **r y or**  **d e**  **sig n**  **e e**  **Da t**  **e**

**K a**  **t h**  **le e**  **n S**  **tyl e**  **s, Ch**  **i e**  **f P**  **r iv**  **a c**  **y O f**  **f ic**  **e r**  **Da t**  **e**