Appendix A-B: TRP and Record Matching

Appendix A-B B&B 2016-2017 TRP & Records Matching.docx

2016-17 Baccalaureate and Beyond Longitudinal Study (B&B:16/17) Main Study

Appendix A-B: TRP and Record Matching

OMB: 1850-0926

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2016/17 BACCALAUREATE AND BEYOND (B&B:16/17) MAIN STUDY




Appendices A and B

OMB # 1850-0926 v.3







Submitted by

National Center for Education Statistics

U.S. Department of Education










April 2017






Appendix A: Technical Review Panel (TRP) Members

Appendix B: Confidentiality for Administrative Record Matching


Appendix A
Membership of the Technical Review Panel















Kevin Bastian

Director, Teacher Quality Research Initiative

University of North Carolina at Chapel Hill

504 East 63rd Street, Apartment 18S

New York, NY 10065

Phone: (919) 698-6658

Email: [email protected]


Margaret Cahalan

Vice President for Research COE & Director, Pell Institute

Council for Opportunity in Education COE

1025 Vermont Avenue NW

9th Floor Washington, DC 20005

Phone: (202) 347-7430

Email: [email protected]


Ben Castleman

Assistant Professor of Education and Public Policy

University of Virginia, Curry School of Education

P.O. Box 400879

Charlottesville, VA 22904

Phone: (434) 243-5419

Email: [email protected]


Charlotte Etier

Research Analyst

National Association of Student Financial Aid Administrators 1101 Connecticut Avenue NW Suite 1100 Washington, DC 20036

Phone: (202) 785-6943

Email: [email protected]


Donald Heller

Provost and Vice President of Academic Affairs University of San Francisco

2130 Fulton St San Francisco, CA 94117

Phone: (415) 422-6136

Email: [email protected]

Gary Henry

Professor, Department of Leadership, Policy and Organization

Peabody College Vanderbilt University

230 Appleton Place

PMB #414

Nashville, TN 37203

Phone: (615) 322-0249

Email: [email protected]

Brad Hershbein

Economist

W.E. Upjohn Institute for Employment Research

300 South Westnedge Avenue

Kalamazoo, MI 49007

Phone: (269) 385-0437

Email: [email protected]

Robert Kelchen

Assistant Professor

Seton Hall University, 413 Jubilee Hall

400 South Orange Avenue

South Orange, NJ 07079

Phone: (973) 761-9106

Email: [email protected]


Patrick Kelly

Senior Associate and Director

National Center for Higher Education Management Systems

3035 Center Green Drive

Suite 150

Boulder, CO 80301

Phone: (720) 987-3391

Email: [email protected]

Sarah Leibrandt

Research Analyst

Western Interstate Commission for Higher Education 3035 Center Green Drive

Boulder, CO 80301

Phone: (303) 541-0221

Email: [email protected]


Alexander McCormick

Associate Professor & NSSE Director

Indiana University Center for Postsecondary Research

1900 East 10th Street

Suite 419

Bloomington, IN 47406

Phone: (812) 856-4435

Email: [email protected]


Christopher Nellum

Policy Director

Young Invincibles

1411 K Street

Suite 400

Washington, DC 20005

Phone: (760) 562-3320

Email:[email protected]


Hironao Okahana

Assistant Vice President, Research & Policy Analysis Council of Graduate Schools

One Dupont Circle NW

Suite 230

Washington, DC 20036

Phone: (202) 696-1560

Email: [email protected]


Kent Phillippe

Associate Vice President, Research & Student Success American Association of Community Colleges

One Dupont Circle NW

Suite 410

Washington, DC 20036

Phone: (202) 416-4505

Email: [email protected]


Jason Ramirez

Director of Research and Policy Analysis

National Association of Independent Colleges and Universities

1025 Connecticut Ave NW

Suite 700

Washington, DC 20036

Phone: (202) 835-0003

Email: [email protected]


Jamey Rorison

Senior Research Analyst

Institute for Higher Education Policy

1825 K Street NW

Suite 720

Washington, DC 20006

Phone: (202) 861-8244

Email: [email protected]


Hal Salzman

Professor

Rutgers University

30 Livingston Avenue

Room 207

New Brunswick, NJ 08901

Phone: (848) 932-1037

Email: [email protected]


Nicole Smith

Chief Economist

Georgetown University Center on Education and the Workforce

3300 Whitehaven Street NW

Suite 5000

Washington, DC 20007

Phone: (202) 687-8226

Email: [email protected]


Matthew Soldner

Senior Researcher, Education Program

American Institutes for Research

127 West 10th Street

Suite 803

Kansas City, MO 64105

Phone: (202) 403-5000

Email: [email protected]

Jeff Strohl
Director of Research
Georgetown University Center on Education and the Workforce
3300 White Haven Street
Suite 3200
Washington, DC 20007
Phone: (202) 687-4945
Email: [email protected]

Rob Toutkoushian

Professor

University of Georgia, Institute of Higher Education 106 Herty Drive

0114 Meigs Hall

Athens, GA 30602

Phone: (706) 542-0577

Email: [email protected]


Jonathan Turk
Senior Policy Research Analyst
American Council on Education
One Dupont Circle NW
Suite 1B
Washington, DC 20036
Phone: (202) 939-9321
Email: [email protected]

Mamie Voight

Vice President of Policy Research

Institute for Higher Education Policy

1825 K Street NW

Suite 720

Washington, DC 20006

Phone: (202) 587-4967

Email: [email protected]


Federal Panelists


Shane Ball

Operations Research Analyst

National Institute of Food and Agriculture,

United States Department of Agriculture

4401 Waterfront Centre

800 9th Street SW

Washington, DC 20024

Phone: (202) 720-1973

Email: [email protected]


Quentin Brummet

Chief, Experiments and Innovation Branch

Center for Administrative Records Research and Applications

U.S. Census Bureau

4600 Silver Hill Road

Suitland, MD 20746

Phone: (301) 763-5939

Email: [email protected]


Thomas Conkling

Economist

Consumer Financial Protection Bureau

1275 1st Street NE

Washington, DC 20002

Phone: (202) 435-9468

Email: [email protected]


Jeffrey Groen

Director, National Longitudinal Surveys

U.S. Bureau of Labor Statistics

2 Massachusetts Avenue NE

Suite 4945

Washington, DC 20212

Phone: (202) 691-7392

Email: [email protected]


Nirmala Kannankutty

Deputy Division Director, Division of Graduate Education

National Science Foundation

4201 Wilson Boulevard

Suite 875

Arlington, VA 22230

Phone: (703) 292-7797

Email: [email protected]


Noah Mann

Office of Management and Budget

725 17th Street NW

Washington, DC 20503

Phone: (202) 395-3256

Email: [email protected]


Rochelle Martinez

Statistician

Office of Management and Budget

725 17th Street, NW

Room 10202 NEOB

Washington, DC 20503

Phone: (202) 395-3147

Email: [email protected]


Patrick McFadden

Education Business Analyst

U.S. Department of Veterans Affairs

810 Vermont Avenue NW

Washington, DC 20420

Phone: (202) 273-5400

Emails: [email protected]


John Mingus

Assistant Director

U.S. Government Accountability Office

441 G Street NW

Washington, DC 20548

Phone: (202) 512-4987

Email: [email protected]


Daniel Pollard

Senior Advisor, Enterprise Data

U.S. Department of Education, FSA

Office of the Chief Operating Officer

830 First Street NE

Washington, DC 20202

Phone: (202) 377-3389

Email: [email protected]


Emilda Rivers

Director, Human Resources Statistics Program

National Science Foundation

4201 Wilson Boulevard

Suite 965 S

Arlington, VA 22230

Phone: (703) 292-7773

Email: [email protected]


Robert Sivinski

Statistician

Office of Management and Budget

725 17th Street, NW

Washington, DC 20503

Phone: (202) 395-1205

Email: [email protected]


David Smole
Specialist in Education Policy
Congressional Research Service
101 Independence Avenue SE, Mailstop 7440
Washington, DC 20540
Phone: (202) 707-0624
Email: [email protected]


Chris Sutherland

Education Business Analyst

U.S. Department of Veterans Affairs

810 Vermont Avenue NW

Washington, DC 20420

Phone: (202) 273-5400

Emails: [email protected]


U.S. Department of Education, NCES


Sharon Boivin
Senior Research and Policy Analyst

Commission on Evidence-based Policymaking (CEP)
U.S. Census Bureau
4600 Silver Hill Road

Suitland, MD 20746
Phone: (202) 579-7448
Email: [email protected]

Peggy Carr
Acting Commissioner
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4061
Washington, DC 20202
Phone: (202) 245-6168
Email: [email protected]

Chris Chapman
Associate Commissioner
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4054
Washington, DC 20202
Phone: (202) 245-7103
Email: [email protected]

Elise Christopher
Statistician
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4005
Washington, DC 20202
Phone: (202) 245-7098
Email: [email protected]


Tracy Hunt-White
Education Statistician
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4007
Washington, DC 20202
Phone: (202) 245-6507
Email: [email protected]

Kashka Kubzdela
OMB Liaison
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP)
Washington, DC 20202
Phone: (202) 245-7377
Email: [email protected]

Gail Mulligan
Longitudinal Surveys Branch Chief
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4178
Washington, DC 20202
Phone: (202) 245-8413
Email: [email protected]


Richard Reeves

Program Director

U.S. Department of Education, NCES

550 12th Street SW

Potomac Center Plaza (PCP), Room 4134

Washington, D.C. 20202

Phone: (202) 245-7690

Email: [email protected]


David Richards

BPS Project Officer

U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4037
Washington, DC 20202
Phone: (202) 245-6202
Email: [email protected]


Marilyn Seastrom

Chief Statistician

U.S. Department of Education, NCES

550 12th Street SW

Potomac Center Plaza (PCP), Room 4063

Washington, DC 20202

Phone: (202) 245-7766

Email: [email protected]


Sean Simone
Statistician
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP)

Washington, DC 20202
Phone: (202) 245-7631
Email: [email protected]

Ted Socha
Mathematical Statistician
U.S. Department of Education, NCES
550 12th Street SW
Potomac Center Plaza (PCP), Room 4004
Washington, DC 20202
Phone: (202) 245-7071
Email: [email protected]


RTI International


Jennifer Cooney
Statistician
RTI International
3040 East Cornwallis Road

P.O. Box 12194

Research Triangle Park, NC 27709
Phone: (919) 485-5570
Email: [email protected]


Erin Dunlop-Velez

Research Education Analyst

RTI International

701 13th Street NW

Suite 750

Washington, DC 20005

Phone: (202) 974-7879

Email: [email protected]


Harper Haynes

Education Analyst

RTI International

3040 Cornwallis Road P.O. Box 12194

Research Triangle Park, NC 27709

Phone: (919) 541-6205

Email: [email protected]


Natasha Janson

Director, B&B:16/17

RTI International

3040 East Cornwallis Road

P. O. Box 12194

Research Triangle Park, NC 27709

Phone: (919) 316-3394

Email: [email protected]


Laura Knapp

Director, Education Research

RTI International
3040 East Cornwallis Road

P.O. Box 12194

Research Triangle Park, NC 27709
Phone: (919) 541-7014
Email: [email protected]


T. Austin Lacy

Research Education Analyst

RTI International

3040 East Cornwallis Road

P.O. Box 12194

Research Triangle Park, NC 27709

Phone: (919) 990-8386

Email: [email protected]


Emilia Peytcheva

Research Survey Methodologist

RTI International

3005 Boardwalk Street

Suite 105

Ann Arbor, MI 48108

Phone: (734) 213-6159

Email: [email protected]


Nicole Tate

Research Education Analyst

RTI International

3040 East Cornwallis Road

P.O. Box 12194

Research Triangle Park, NC 27709

Phone: (919) 316-3357

Email: [email protected]


Jennifer Wine

Senior Director, Program in Education Survey Design

RTI International

3040 East Cornwallis Road

P.O. Box 12194

Research Triangle Park, NC 27709

Phone: (919) 541-6870

Email: [email protected]












Appendix B
Confidentiality for Administrative Record Matching





B.1 Develop Linkages with Administrative Data Sources

Linkages will be developed with existing data sources to supplement the 2016/17 Baccalaureate and Beyond Longitudinal Study (B&B:16/17) main study collection. NCES recognizes the value added to the B&B:16/17 data file with the addition of data from specific administrative data sources as certain data, such as specific financial aid amounts and associated dates, can only be accurately obtained from sources other than the student. Our postsecondary studies, including the National Postsecondary Student Aid Study (NPSAS) and the Beginning Postsecondary Students Study (BPS), have included file merges with many existing sources of valuable data, including the Department of Education’s (ED’s) Central Processing System (CPS), the data collected for the Free Application for Federal Student Aid (FAFSA), and the National Student Loan Data System (NSLDS). Also, data is bought from the National Student Clearinghouse (NSC), a third-party vendor. For this study, we plan to perform file merges with the following datasets: CPS, NSLDS, and NSC.

As described in more detail in Section A.10 of the Supporting Statement Part A, which is a part of this request, the Family Educational Rights and Privacy Act (FERPA) (34 CFR Part 99) allows the disclosure of information without prior consent for the purposes of B&B:16/17 according to 34 CFR §99.31.

Secure Data Transfers. ED’s Institute of Education Sciences (IES) has set up a secure data transfer system (https://transfer.ies.ed.gov/), which uses Secure Sockets Layer (SSL) technology. After FIPS 140-2 validated encryption on the files is performed before upload, the contractor will use this electronic system for submitting data. The data may contain potentially identifying information such as SSNs, names, and dates of birth of study sample members along with their survey ID (different from the ID used in the restricted-use data files).

Data will be received from the IES system as well. The system requires that both parties to the transfer be registered users of the NCES Members Site and that their Members Site privileges be set to allow use of the secure data transfer service as described above. This process will be used for file matching procedures described below, except in instances when the vendor already has a secure data transfer system in place.

B.2 File Merges with ED’s Central Processing System (CPS)

File merges will be performed by the data collection contractor with the CPS data containing federal student aid application information. The merge with CPS can occur at any time for any number of cases, provided that the cases have apparently valid SSNs associated with them. A file will be sent to CPS and, in return, a data file containing all matched students who applied for federal aid will be received. The data collection contractor has programs and procedures in place to prepare and submit files according to rigorous CPS standards, and to receive and process data obtained from CPS.

For matching purposes, a file containing the SSN and the first two letters of the sample member’s last name (but no other information) will be uploaded to the FAFSA secure website. Access to the site for the upload is restricted to authorized users who are registered and provide identification/authentication information (username and password) to the FAFSA data site. The file is retrieved by the Central Processing System or CPS (the FAFSA contractor data system) for linkage. The linked file, containing student aid applications for matched records, is then made available to us only through a secure connection (EdConnect) which also requires user name and password. All CPS files will be processed, edited, and documented for inclusion in the final restricted use file (RUF).

B.3 File Merge with National Student Loan Data System (NSLDS) Disbursement

A file merge will be conducted with the NSLDS to collect federal loan and Pell grant data. The resulting file will contain cumulative amounts for each student’s entire postsecondary education enrollment. IES has set up a secure data transfer system (https://transfer.ies.ed.gov/), which uses Secure Sockets Layer (SSL) technology. The system requires that both parties to the transfer be registered users of the NCES Members Site and that their Members Site privileges be set to allow use of the secure data transfer service. These privileges are set up and carefully controlled by the IES’s Chief Technology Officer (CTO), a service designed by IES specifically for the secure transfer of electronic files containing personally identifying information (i.e., data protected under the Privacy Act or otherwise posing risk of disclosure).This service can be used for NCES-to-Contractor; Contractor-to-Subcontractor; Subcontractor-to-Contractor; and Contractor-to-Other-Agency data transfers. The party uploading the information onto the secure server at NCES is responsible for deleting the file(s) after the successful transfer has been confirmed. Programs have been developed to create the files for the merge and also to read the data received. All matching processes are initiated by the data collection staff providing a file with one record per sample member to be merged.

B.4 File Merge with the National Student Clearinghouse (NSC)

The NSC will be used to purchase the Student Tracker data on institutions attended, enrollment dates, and degree completions for the B&B:16/17 sample. The data collection contractor will first set up an account with NSC which will enable sending and receiving of files securely over encrypted FTPS connections. The file containing personally identifiable information (PII), i.e. name, date of birth, and SSN, will be encrypted using FIPS 140-2 validated encryption tools and then submitted to the Clearinghouse using their secure FTP site. All files received by NSC will be securely stored using FIPS 140-2 validated AES encryption, the US federal encryption standard. Matched files, containing data on enrollment dates, institution names, and degrees completed, will be returned to the data collection contractor using the same encrypted FTPS site.

B.5 Processing Administrative Data

We will send files for matching during data collection, and we may need to match to a source (e.g., CPS or NSLDS) more than once during the main study.

The data from all of these sources, as allowed by the vendor, will be delivered for inclusion on the RUF and will be useful for creating derived variables. In addition to access via the RUF, the derived variables will be available on PowerStats and QuickStats (https://nces.ed.gov/datalab). Both direct-pull and derived variables will be documented thoroughly. Data from CPS will also be useful for purposes of locating the sample.

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