Pia

PRIVACY IMPACT ASSESSMENT (PIA)
PRESCRIBING AUTHORITY: DoD Instruction 5400.16, "DoD Privacy Impact Assessment (PIA) Guidance". Complete this form for Department of Defense
(DoD) information systems or electronic collections of information (referred to as an "electronic collection" for the purpose of this form) that collect, maintain, use,
and/or disseminate personally identifiable information (PII) about members of the public, Federal employees, contractors, or foreign nationals employed at U.S.
military facilities internationally. In the case where no PII is collected, the PIA will serve as a conclusive determination that privacy requirements do not apply to
system.
1. DOD INFORMATION SYSTEM/ELECTRONIC COLLECTION NAME:

Science, Mathematics, and Research for Transformation Scholarship-for-Service Program, National Defense Education Program
3. PIA APPROVAL DATE:

2. DOD COMPONENT NAME:

Under Secretary of Defense for Research and Engineering

SECTION 1: PII DESCRIPTION SUMMARY (FOR PUBLIC RELEASE)
a. The PII is: (Check one. Note: Federal contractors, military family members, and foreign nationals are included in general public.)
From members of the general public

From Federal employees

from both members of the general public and Federal employees

Not Collected (if checked proceed to Section 4)

b. The PII is in a: (Check one.)
New DoD Information System

New Electronic Collection

Existing DoD Information System

Existing Electronic Collection

Significantly Modified DoD Information System
c. Describe the purpose of this DoD information system or electronic collection and describe the types of personal information about individuals
collected in the system.

The purpose of this DoD information system is to enable SMART officials to select qualified applicants to be awarded SMART scholarships
and monitor scholar progress and status through the program. The system is also used as a management tool for statistical analysis, tracking,
reporting, evaluating program effectiveness and conducting research. Information stored about SMART applicants and scholars include full
name and any other names used; Social Security Number (including truncated versions of SSN); home and mailing addresses; home and cell
phone numbers, and school and alternate email addresses.
Additional information collected into the system includes SMART Program identification number; resumes and/or curricula vita;
publications; U.S. Citizenship; Selective Service registration status; birth date; employment status; state and country of birth; employment
status; race/ethnicity; gender; veterans preference; information on academic background; and program information such as academic status;
assessment test scores; copies of transcripts; financial and disability information; projected and actual graduation dates; service commitment
start and end dates; and projected and actual award amounts.
SMART support staff enters other program information unique to each scholar that includes projected and actual service commitment start
and end dates, projected and actual award amounts, and security clearance status.
d. Why is the PII collected and/or what is the intended use of the PII? (e.g., verification, identification, authentication, data matching, mission-related use,
administrative use)

As required by the government, the SMART service agreement includes a field for the scholar’s SSN because if a scholar does not fulfill
their service commitment to the DoD, the SSN is a requirement for the government to initiative debt collection; therefore, it is necessary
that the SSN number be provided. Additionally, by the Internal Revenue Service (IRS), the SSN is used as an identity credential pursuant to
regulations since some of the monies provided to the participants is considered taxable income and therefore, must be reported by the IRS
by providing scholars an IRS form 1099-MISC. The SSN is a required field on the MISC-1099. Therefore, it is necessary that the SSN be
provided.
e. Do individuals have the opportunity to object to the collection of their PII?

Yes

No

(1) If "Yes," describe the method by which individuals can object to the collection of PII.
(2) If "No," state the reason why individuals cannot object to the collection of PII.

The SMART Program Office requires an applicant's PII to evaluate and award SMART scholarships. The Privacy Act Statement, listed on
the application portal and SMART Program website contains the following information:
AUTHORITY: 10 U.S.C. 4093, Science, Mathematics, and Research for Transformation (SMART) Defense Education Program; 10 U.S.C.
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133a, Under Secretary of Defense for Research and Engineering; DoD Directive 5137.02, Under Secretary of Defense for Research and
Engineering (USD(R&E)); DoD Instruction 1025.09, Science, Mathematics, and Research for Transformation Defense Education Program;
and Executive Order 9397, Number System for Federal Accounts Relating to Individual Persons, as amended.
PURPOSE: To collect information from applicants to the SMART Scholarship Program needed to identify and award qualified individuals
for scholarship award.
ROUTINE USES: While the information requested on this form is primarily intended to be used internally, in certain circumstances it may
be necessary to disclose this information externally, pursuant to 5 U.S.C. 552a(b)(3), including: to contractors, grantees, experts, consultants,
students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal
Government when necessary to accomplish an agency function; to academic institutions for the purpose of providing progress reports for
applicants and participants; and to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)) to aid in the collection of outstanding debts owed to the Federal government,
typically to provide an incentive for debtors to repay delinquent Federal government debts by making these debts part of their credit records.
A complete list of routine uses may be found in the applicable Privacy Act System of Records Notice, DUSDA 14, Science, Mathematics,
and Research for Transformation (SMART) Information management System, found at https://dpcld.defense.gov/Portals/49/Documents/
Privacy/SORNs/OSDJS/DUSDA-14.pdf?ver=KO2ZkLWhxB3QCZoRTElMFA%3d%3d
DISCLOSURE: Voluntary; however, failure to provide the requested information may result in the applicant being ineligible to receive a
SMART Scholarship award.
Agency Disclosure Notice: The public reporting burden for this collection of information is estimated to average 8 hours per response,
including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, at [email protected]. Respondents should be aware that notwithstanding any other provisions of law, no
person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB
control number.
f. Do individuals have the opportunity to consent to the specific uses of their PII?

Yes

No

(1) If "Yes," describe the method by which individuals can give or withhold their consent.
(2) If "No," state the reason why individuals cannot give or withhold their consent.

The SMART Scholarship Program Privacy Act Statement must be signed by all applicants to whom scholarship awards have been offered.
There is also a “Media Release” which grants SMART and/or its agents, employees, licensees and/or assignees permission to use, exploit,
adapt, modify, reproduce, distribute, publicly perform and/or display, in any form now known or later developed, a scholar's image or visual
likeness, name, voice, and information related to the scholar’s experience with SMART.
g. When an individual is asked to provide PII, a Privacy Act Statement (PAS) and/or a Privacy Advisory must be provided. (Check as appropriate and
provide the actual wording.)
Privacy Act Statement

Privacy Advisory

Not Applicable

A Privacy Act Statement is provided when an applicant accesses the SMART application instructions via the SMART application portal
manages by Logistics Management Institute (LMI), current cooperative agreement holder. The statement reads as follows:
AUTHORITY: 10 U.S.C. 4093, Science, Mathematics, and Research for Transformation (SMART) Defense Education Program; 10 U.S.C.
133a, Under Secretary of Defense for Research and Engineering; DoD Directive 5137.02, Under Secretary of Defense for Research and
Engineering (USD(R&E)); DoD Instruction 1025.09, Science, Mathematics, and Research for Transformation Defense Education Program;
and Executive Order 9397, Number System for Federal Accounts Relating to Individual Persons, as amended.
PURPOSE: To collect information from applicants to the SMART Scholarship Program needed to identify and award qualified individuals
for scholarship award.
ROUTINE USES: While the information requested on this form is primarily intended to be used internally, in certain circumstances it may
be necessary to disclose this information externally, pursuant to 5 U.S.C. 552a(b)(3), including: to contractors, grantees, experts, consultants,
students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal
Government when necessary to accomplish an agency function; to academic institutions for the purpose of providing progress reports for
applicants and participants; and to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)) to aid in the collection of outstanding debts owed to the Federal government,
typically to provide an incentive for debtors to repay delinquent Federal government debts by making these debts part of their credit records.
A complete list of routine uses may be found in the applicable Privacy Act System of Records Notice, DUSDA 14, Science, Mathematics,
and Research for Transformation (SMART) Information management System, found at https://dpcld.defense.gov/Portals/49/Documents/
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Privacy/SORNs/OSDJS/DUSDA-14.pdf?ver=KO2ZkLWhxB3QCZoRTElMFA%3d%3d
DISCLOSURE: Voluntary; however, failure to provide the requested information may result in the applicant being ineligible to receive a
SMART Scholarship award.
Agency Disclosure Notice: The public reporting burden for this collection of information is estimated to average 8 hours per response,
including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing the burden, to the Department of Defense, Washington Headquarters Services, at [email protected]. Respondents should be aware that notwithstanding any other provisions of law, no
person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB
control number.
h. With whom will the PII be shared through data/system exchange, both within your DoD Component and outside your Component?
(Check all that apply)
Within the DoD Component

Specify.

Army, Navy, Air Force Sponsoring Facilities

Other DoD Components (i.e. Army, Navy, Air Force)

Specify.

Other DoD Sponsoring Facilities

Other Federal Agencies (i.e. Veteran’s Affairs, Energy, State)

Specify.

State and Local Agencies

Specify.

Contractor (Name of contractor and describe the language in
the contract that safeguards PII. Include whether FAR privacy
clauses, i.e., 52.224-1, Privacy Act Notification, 52.224-2,
Privacy Act, and FAR 39.105 are included in the contract.)

Specify.

Other (e.g., commercial providers, colleges).

Specify.

i. Source of the PII collected is: (Check all that apply and list all information systems if applicable)
Individuals

Databases

Existing DoD Information Systems

Commercial Systems

Other Federal Information Systems

j. How will the information be collected? (Check all that apply and list all Official Form Numbers if applicable)
E-mail

Official Form (Enter Form Number(s) in the box below)

In-Person Contact

Paper

Fax

Telephone Interview

Information Sharing - System to System

Website/E-Form

Other (If Other, enter the information in the box below)

DD3067 2-15
k. Does this DoD Information system or electronic collection require a Privacy Act System of Records Notice (SORN)?
A Privacy Act SORN is required if the information system or electronic collection contains information about U.S. citizens or lawful permanent U.S. residents that
is retrieved by name or other unique identifier. PIA and Privacy Act SORN information must be consistent.
Yes

No

If "Yes," enter SORN System Identifier

DUSDA 14

SORN Identifier, not the Federal Register (FR) Citation. Consult the DoD Component Privacy Office for additional information or http://dpcld.defense.gov/
Privacy/SORNs/
or
If a SORN has not yet been published in the Federal Register, enter date of submission for approval to Defense Privacy, Civil Liberties, and Transparency
Division (DPCLTD). Consult the DoD Component Privacy Office for this date

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If "No," explain why the SORN is not required in accordance with DoD Regulation 5400.11-R: Department of Defense Privacy Program.

l. What is the National Archives and Records Administration (NARA) approved, pending or general records schedule (GRS) disposition authority
for the system or for the records maintained in the system?
(1) NARA Job Number or General Records Schedule Authority.

NI-330-09-3

(2) If pending, provide the date the SF-115 was submitted to NARA.

(3) Retention Instructions.

Temporary: Participant information will be deleted/destroyed 6 years and 3 months after completion of service commitment or upon
repayment of funds. Records of individuals not chosen for participation in the program will be deleted when 3 years old. DoD Sponsoring
Facilities will delete/destroy upon termination of affiliation.
m. What is the authority to collect information? A Federal law or Executive Order must authorize the collection and maintenance of a system of
records. For PII not collected or maintained in a system of records, the collection or maintenance of the PII must be necessary to discharge the
requirements of a statue or Executive Order.
(1) If this system has a Privacy Act SORN, the authorities in this PIA and the existing Privacy Act SORN should be similar.
(2) If a SORN does not apply, cite the authority for this DoD information system or electronic collection to collect, use, maintain and/or disseminate PII.
(If multiple authorities are cited, provide all that apply).
(a) Cite the specific provisions of the statute and/or EO that authorizes the operation of the system and the collection of PII.
(b) If direct statutory authority or an Executive Order does not exist, indirect statutory authority may be cited if the authority requires the
operation or administration of a program, the execution of which will require the collection and maintenance of a system of records.
(c) If direct or indirect authority does not exist, DoD Components can use their general statutory grants of authority (“internal housekeeping”) as
the primary authority. The requirement, directive, or instruction implementing the statute within the DoD Component must be identified.

n. Does this DoD information system or electronic collection have an active and approved Office of Management and Budget (OMB) Control
Number?
Contact the Component Information Management Control Officer or DoD Clearance Officer for this information. This number indicates OMB approval to
collect data from 10 or more members of the public in a 12-month period regardless of form or format.
Yes

No

Pending

(1) If "Yes," list all applicable OMB Control Numbers, collection titles, and expiration dates.
(2) If "No," explain why OMB approval is not required in accordance with DoD Manual 8910.01, Volume 2, " DoD Information Collections Manual:
Procedures for DoD Public Information Collections.”
(3) If "Pending," provide the date for the 60 and/or 30 day notice and the Federal Register citation.

OMB 0704-0466

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