[Federal Register: June 4, 1999 (Volume 64, Number 107)]
[Notices]
[Page 30105-30191]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04jn99-137]
[[Page 30105]]
_______________________________________________________________________
Part II
Department of Education
_______________________________________________________________________
Privacy Act of 1974; Systems of Records; Notice
[[Page 30106]]
DEPARTMENT OF EDUCATION
Privacy Act of 1974; Systems of Records
AGENCY: Department of Education.
ACTION: Notice of new, amended, altered and deleted systems of records.
-----------------------------------------------------------------------
SUMMARY: The Acting Chief Information Officer for the Department of
Education publishes this notice of New, Amended, Altered and Deleted
Systems of Records. On May 14, 1998, the President directed executive
departments and agencies to, among other things, review all systems for
accuracy, completeness and to ensure that all routine uses are needed
and consistent with the purposes for which the records were collected
in each system. This document is a result of that review.
DATES: Comments on the proposed routine uses for the systems of records
included in this notice must be received by the Department on or before
July 6, 1999. The Department filed a report describing the new and
altered systems of records covered by this notice with the Chair of the
Committee on Governmental Affairs of the Senate, the Chair of the
Committee on Government Reform and Oversight of the House, and the
Administrator of the Office of Information and Regulatory Affairs,
Office of Management and Budget (OMB) on May 14, 1999. The changes made
in this notice will become effective after the 30-day period for OMB
review of the systems expires on June 14, 1999; unless OMB gives
specific notice within the 30 days that the changes are not approved
for implementation or requests an additional 10 days for its review.
The routine uses become effective 30 days after publication unless they
need to be changed as a result of public comment or OMB review. The
Department will publish any changes to the routine uses.
ADDRESSES: All comments on the proposed routine uses should be
addressed to Bill Burrow, Office of Chief Information Officer, Acting
Information Management Group Leader, U.S. Department of Education, Room
5624 Regional Office Building, 400 Maryland Avenue, SW., Washington, DC
20202-4580. Telephone: 202-401-0250. Comments may also be sent through
the Internet to:
Comments@ed.gov
You must include the term ``System of Records'' in the subject line of
the electronic comment.
All comments submitted in response to this notice will be available
for public inspection, during and after the comment period, in Room
5624 Regional Office Building, 7th and D Streets, S.W., Washington, DC,
between the hours of 8 a.m. and 4:30 p.m., Eastern time, Monday through
Friday of each week except Federal holidays.
On request the Department supplies an appropriate aid, such as a
reader or print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking docket for this notice. An individual with a disability who
wants to schedule an appointment for this type of aid may call (202)
205-9265 or (202) 260-0250. An individual who uses a TDD may call the
Federal Information Relay Service at 1-800-877-8339 between 8 a.m. and
8 p.m., Eastern Time, Monday through Friday.
FOR FURTHER INFORMATION CONTACT: Bill Burrow, Office of Chief
Information Officer, Acting Information Management Group Leader, U.S.
Department of Education, Room 5624 Regional Office Building, 400
Maryland Avenue, SW., Washington, DC 20202-4580. Telephone: 202-401-
0250. Individuals who use a telecommunications device for the deaf
(TDD) may call the Federal Information Relay Service (FIRS) at 1-800-
877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through
Friday.
Individuals with disabilities may obtain this document in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION:
Electronic Access to This Document
Anyone may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or
Portable Document Format (PDF) on the World Wide Web at either of the
following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the PDF you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the previous sites. If you
have questions about using PDF, call the U.S. Government Printing
Office toll free at 1-888-293-6498.
Anyone may also view these documents in text copy only on an
electronic bulletin board of the Department. Telephone: (202) 219-1511
or, toll free, 1-800-222-4922. The documents are located under Option
G--Files/Announcements, Bulletins and Press Releases.
Note: The official version of this document is the document
published in the Federal Register.
Introduction
In a memorandum dated May 14, 1998, President Clinton directed
executive departments and agencies (agencies) to conduct a thorough
review for accuracy and completeness of all agency systems of records.
The President specifically directed agencies to consider changes in
technology, function and organization that may have made the systems
out of date and to review the routine uses published in the system
notices to make sure that they continue to be necessary and compatible
with the purposes for which they were collected. He also directed
agencies to identify systems that may not have been described in a
notice published in the Federal Register and to publish notices for any
changes to the agency systems of records and report to the Office of
Management and Budget within one year regarding the results of their
efforts.
The Act (5 U.S.C. 552a)(e)(4) requires the Department to publish in
the Federal Register this notice of changes to systems of records
managed by the Department. The Department's regulations implementing
the Act are contained in the Code of Federal Regulations (CFR) in 34
CFR part 5b.
The Privacy Act of 1974 (Privacy Act), 5 U.S.C. 552a, applies to
information about individuals that contain individually identifiable
information and that may be retrieved by a unique identifier associated
with each individual, such as a name or social security number. The
information about each individual is called a ``record'' and the
system, whether manual or computer-driven, is called a ``system of
records.'' The Act requires each agency to publish notices of systems
of records in the Federal Register and to prepare reports to the Office
of Management and Budget (OMB) whenever the agency publishes a new or
``altered'' system of records. A system is considered altered whenever
certain fundamental changes are made to the system such as changing
from a manual to automated system of records or whenever certain
disclosures, called ``routine uses,'' are changed in the system of
records.
Most of the changes made by this notice are technical in nature,
reflecting the current name and address of the office responsible for
each system. Every effort has been made to update the notices to make
them more ``reader friendly,'' dispensing with traditional bureaucratic
language. As part of that process, all the routine uses have been
updated and, where the Department
[[Page 30107]]
intends to apply the same routine use to more than one system, the same
language is used for all systems that use the routine use. The intent
is not to substantively change any of the routine uses but to make them
clearer and consistent. However, because the Department is applying
these revisions to all of its systems of records, the Chief Information
Officer decided to treat all systems included in this notice as altered
systems of records.
Many of the system notices included in this Federal Register notice
have not been updated since they were published in a Federal Register
compilation of Department system notices on April 20, 1982. As a
result, revisions are needed to accurately describe the current systems
of records.
Deleted Systems
The Department identified 22 systems to be deleted after finding
that they are either no longer needed to administer the Department's
programs or activities or that they duplicate other systems maintained
by the Department or other agencies such as the Office of Personnel
Management. The numbers for these systems are based on the
identification system used by the Department up to this date.
18-07-0002 Congressional Correspondence.
18-11-0005 Safety Management Information System (Department of
Education Accident, Injury and Illness Reporting System).
18-11-0007 Applicants for Employment Records.
18-11-0010 Employee Alcoholism, Drug Abuse and Emotional Problem
Counseling and Referral Records.
18-11-0011 Employee Appraisal Program Records.
18-11-0012 Executive Development Records System.
18-11-0018 Personnel Records in Operating Offices.
18-11-0019 Special Employment Programs.
18-11-0020 Suitability for Employment Records.
18-11-0025 Employee Suggestion Program Records.
18-20-0001 Fund for the Improvement of Postsecondary Education;
FIPSE Field Readers to Review Proposals for the Department.
18-40-0002 Registry of Deaf-Blind Children/Regional-National.
18-40-0003 Students Participation in Deaf-Blind Programs Under
Centers and Services for Deaf-Blind Children.
18-40-0004 Parent Participants in Deaf-Blind Programs Provided by
Regional Centers for Deaf-Blind Children.
18-40-0005 Participant Waiting List for Projects Serving Severely
Handicapped Children and Youth.
18-40-0006 Participants of Projects Serving Severely Handicapped
Children and Youth.
18-40-0007 Participants in Workshops Concerning Severely
Handicapped Children and Youth.
18-40-0009 Selective Service Registration Compliance File.
18-40-0021 Student Financial Assistance--Compliance Files.
18-40-0032 Record of Advances of Funds for Employees Traveling for
the Department of Education.
18-40-0038 National Science Scholars Program.
18-42-0065 NIE Outside Experts.
New Numbering System
The Department establishes a new numbering system for its systems
of records. The following list identifies each system notice published
in this document based on the new numbering system.
18-01-01 Secretary's Communication Control System.
18-01-02 Education Senior Management Biographies.
18-02-01 Even Start Performance Information Reporting System and
Experimental Design Study.
18-03-01 Debarment and Suspension Proceedings Under Executive Order
12549, the Drug-Free Workplace Act, and the Federal Acquisition
Regulations.
18-03-02 Education's Central Automated Processing System (EDCAPS).
18-03-03 Receivables Management System.
18-03-04 Files and Lists of Potential and Current Consultants,
Grant Application Reviewers, Peer Reviewers, and Site Visitors.
18-04-01 Freedom of Information, Correspondence and Case Files.
18-04-02 Freedom of Information Act and Privacy Act Tracking
System.
18-05-01 Departmental Parking Control Policy.
18-05-02 Family Educational Rights and Privacy Act (FERPA) and
Protection of Pupil Rights Amendment (PPRA) Record Systems.
18-05-03 Federal Personnel Payroll System.
18-05-04 Discrimination Complaints Records System.
18-05-05 Grievances Filed Formally Under the Administrative
Grievance Procedures.
18-05-06 Grievance Records Filed Under Procedures Established by
Labor-Management Negotiations.
18-05-07 Unfair Labor Practice Records.
18-05-08 Official Time Records of Union Officials and Bargaining
Unit Employees at the Department of Education.
18-05-09 Voluntary Leave Transfer Program.
18-05-10 General Performance Appraisal System (GPAS).
18-05-11 Training Registration and Information System (TRAINS).
18-05-12 Grievances Filed Informally through the Informal Dispute
Resolution Center (IDR).
18-06-01 Federal Advisory Committee Membership Files.
18-06-02 Telephone Directory/Locator System.
18-06-03 Presidential Scholars Files of Selected Participants.
18-07-01 Congressional Members' Biographies.
18-07-02 Congressional Grant Notification Control System.
18-08-01 Case Information System.
18-08-02 Complaint Files and Log.
18-09-01 Administrative Claims.
18-09-02 OGC-Attorney Applicant Files.
18-09-03 Employee Conduct--Government Ethics.
18-09-04 Litigation Files, Administrative Complaints, and Adverse
Personnel Actions.
18-10-01 Investigative Files of the Inspector General.
18-10-02 Investigatory Material Complied for Personnel Security and
Suitability Purposes.
18-10-03 OIG Non-Federal Auditor Referral, Suspension, and
Debarment File.
18-10-04 Hotline Complaint Files of the Inspector General.
18-11-01 Federal Student Aid Application File.
18-11-02 Recipient Financial Management System.
18-11-03 Student Financial Assistance Validation File.
18-11-04 Student Financial Assistance-- Student Complaint Files.
18-11-05 Title IV Program Files.
18-11-06 National Student Loan Data System.
18-11-07 Student Financial Assistance Collection Files.
18-11-08 Student Account Management System. (Previously published
in the Federal Register of June 1, 1999).
18-11-09 Postsecondary Education Participants System (PEPS).
18-12-01 Title IV Foreign Language and Area Studies Program.
18-12-02 Fulbright-Hays Doctoral Dissertation Research Abroad,
Fulbright-Hays Faculty Research Abroad, and Fulbright-Hays Seminars
Abroad.
18-12-03 Jacob K. Javits Fellows System.
18-12-04 Title VI International Research and Studies Program.
18-13-01 National Center for Education Statistics Longitudinal
Studies and the School and Staffing Surveys.
18-13-02 National Center for Education Statistics Affidavits of
Nondisclosure.
18-13-03 National Center for Education Statistics' National
Assessment of Educational Progress.
18-13-04 Outcomes of Diversity in Higher Education Surveys.
18-14-01 Educationally Disadvantaged Students Attending Private
Schools Served Through Bypass Contracts.
18-14-02 Fellowships for Indian Students--Applications and Awards.
18-15-01 Bilingual Education Graduate Fellowship Program.
New Systems of Records
Of the systems identified in the preceding list, the following
systems of records have been identified as new:
[[Page 30108]]
18-02-01 Even Start Performance Information Reporting System and
Experimental Design Study.
18-04-02 Freedom of Information Act and Privacy Act Tracking
System.
18-05-09 Official Time Records of Union Officials and Bargaining
Unit Employees at the Department of Education.
18-05-10 Voluntary Leave Transfer Program.
18-05-11 General Performance Appraisal System (GPAS).
18-05-12 Training Registration and Information System (TRAINS).
18-07-01 Congressional Members' Biographies.
18-07-01 Congressional Grant Notification Control System.
18-11-07 Student Account Manager.
18-11-08 Postsecondary Education Participants System (PEPS).
18-12-03 Title VI International Research and Studies Program.
18-13-04 Outcomes of Diversity in Higher Education Surveys.
18-15-01 Bilingual Education Graduate Fellowship Program.
The following systems of records are in the current compilation of
systems of records and continue to be necessary for operation of
Department programs or activities. However, technical issues delayed
their inclusion in this publication. The Department will publish
revised notices for these systems as soon as the technical issues can
be resolved.
18-05-03 Federal Personnel Payroll System.
18-06-03 Presidential Scholars Files of Selected Participants.
18-11-04 Student Financial Assistance--Student Complaint Files.
18-11-06 National Student Loan Data System.
Dated: May 14, 1999.
Thomas P. Skelly,
Acting Chief Information Officer.
The Chief Information Officer of the U.S. Department of Education
publishes notice of the following systems of records managed by the
Department:
18-01-01
SYSTEM NAME:
Secretary's Communications Control System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Executive Secretariat, Office of the Secretary, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7C114,
Washington, DC 20202. See the Appendix at the end of this system notice
for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records about individuals who have contacted
the Secretary, Deputy Secretary, Senior Officers or other officials of
the Department for whom the Department controls responses.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes the following types of records: (1) The
official correspondence files of each principal office within the
Department, and where applicable, a principal office's component
office, specifically the hard copies of official documents and
electronic images of certain incoming and outgoing documents; (2)
control information from the Secretary's, Deputy Secretary's, Senior
Officers' and other officials' correspondence that include a subject
narrative, the name of the organization drafting the response and the
type of action required from the Department; and (3) records of
responses to some telephone inquiries where officials determine that a
written response should be controlled.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
This system of records is maintained to account for the
correspondence received by the Department, including correspondence
regarding individual concerns and complaints regarding programs
administered by the Secretary.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Government and Privacy Organization Disclosure. The Department
may disclose records to governmental entities and private organizations
as necessary to resolve complaints, provide guidance, respond to
requests for documents and information, and address concerns regarding
those entities and organizations.
(2) Congressional Disclosure. The Department may disclose records
to a member of Congress from the record of an individual in response to
an inquiry from the member made at the written request of that
individual. The member's right to the information is no greater than
the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c) or (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, any component of the Department;
or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her official capacity where
the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosure. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in litigation or an administrative
proceeding in which the Department has an interest is relevant and
necessary to the litigation or proceeding, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b) (12): The Department may
disclose to a consumer reporting agency
[[Page 30109]]
information regarding a claim by the Department which is determined to
be valid and overdue as follows: (1) The name, address, taxpayer
identification number and other information necessary to establish the
identity of the individual responsible for the claim; (2) the amount,
status and history of the claim; and (3) the program under which the
claim arose. The Department may disclose the information specified in
this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained
in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which
these disclosures may be made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard copy filed in standard file
cabinets; those stored electronically are located on computer disks and
on backup media.
RETRIEVABILITY:
Files are indexed and retrievable by subject, name of the
individual or by the document's control number that is assigned at the
time the correspondence is logged into the Department.
SAFEGUARDS:
All physical access to the Department of Education sites are
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge. During working hours, direct access to the file cabinets is
limited to authorized staff. During non-working hours, the rooms in
which the file cabinets are located are locked and only those
individuals with access to those rooms can access the hard copies of
records.
The computer systems employed by the Department of Education offer
a high degree of resistance to tampering and circumvention.
RETENTION AND DISPOSAL:
Hard copy records are transferred to the Washington National
Records Center one year after cutoff then transferred to the National
Archives and Records Administration 10 years after cutoff. Control
records on computer are stored indefinitely. Electronic images are
retained based on regular records disposal or retention policies
identical to hard copies.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Secretariat, Office of the Secretary, 400 Maryland
Avenue, SW., Room 7C114, Washington, DC 20202. See Appendix the end of
this system notice for additional system managers.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice. You should
indicate your name, the date of the subject documents and reasonable
description of the subject matter of the issue involved. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
To gain access to records regarding you in this system of records,
follow the Notification Procedure described above. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice, and reasonably
identify the record and specify the information to be contested. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Records are derived from documents addressed to or by the
Secretary, the Deputy Secretary, Senior Officials or other officials of
the Department.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-01-01
Additional System Locations and System Managers
Director, Correspondence & Communication Control Unit, Office of the
Executive Secretariat, Office of the Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7C114, Washington, DC
20202.
Management Analyst, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room
4E213, Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Staff Assistant, Office of the Deputy Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7W210, Washington, DC
20202.
Program Management Analyst, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey Avenue,
NE., Room 602, Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 3W337, Washington, DC 20202.
Operations Officer, Office of General Counsel, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6E353, Washington, DC
20202.
Staff Assistant, Office of Intergovernmental and Interagency
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 5E317, Washington, DC 20202.
Director, Congressional Affairs, Office of Legislation and
Congressional Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E301, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Deputy Director, Office of Public Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7E231, Washington, DC
20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 4090, Washington, DC 20202.
18-01-02
SYSTEM NAME:
Education Senior Management Biographies.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Secretary, Office of Public Affairs (OPA), U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7E200,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on Department of Education
(Department)senior management officials, including the Secretary,
Deputy Secretary, Under Secretary, General Counsel, and Assistant
Secretaries.
[[Page 30110]]
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of a short biography and a standard portrait
photograph, both of which the senior Department official may elect to
provide. The biography includes the official's name, title, office, and
a brief overview of the duties performed at the Department.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301
PURPOSES(S):
The information contained in this system is made available to the
public and staff of the Department who have an interest in seeing the
photographs or reading the background information on senior Department
officials.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) General Interest Disclosure. The records in this system may be
released to the public who have an interest in the background or
photographs or both of Department senior officials.
(2) Media Disclosure. The Department may disclose records in this
system for use by the news media and education organizations when
preparing articles, interviews or presentations at meetings with senior
Department officials.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system notice.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The biographies and photographs are available in electronic format
on the Department's Internet website (http://www.ed.gov). Hard copies
of the biographies and photographs are kept in file cabinets in OPA and
in the individual offices of the respective Department senior
officials.
RETRIEVABILITY:
The biographies and photographs are indexed by the officials' last
names in alphabetical order. The general public is encouraged to access
this information via the Department's website (http://www.ed.gov). Hard
copies are retrieved by the last name of the senior Department
official.
SAFEGUARDS:
No safeguards are in place since the Department senior management
officials agree to the release of this information to the general
public.
RETENTION AND DISPOSAL:
Paper copies of biographical information of senior level officials
are transferred to the National Archives and Records Administration for
permanent preservation at the end of each calendar year. Electronic
copies of biographical information are periodically updated as
circumstances warrant due to promotions, reassignments, resignations
and death.
SYSTEM MANAGER AND ADDRESS:
Deputy Director, Office of Public Affairs (OPA), U.S. Department of
Education, 400 Maryland Avenue, SW., 7E200, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
title and office at the time your biographical information was
submitted. Requests for notification about an individual must meet the
requirements of the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager and provide the information described above in the
Notification Procedure.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record, contact the system
manager. Any requests to amend a record must meet the regulations at 34
CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from the Offices of the
Secretary, the Deputy Secretary, the Under Secretary, the General
Counsel and the Assistant Secretaries.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-02-01
SYSTEM NAME:
Even Start Performance Information Reporting System and
Experimental Design Study.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Division of the Planning and Evaluation Service, Office of
Elementary and Secondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
Fu Associates, Ltd., 2300 Clarendon Boulevard, Suite 1400,
Arlington, VA 22201.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on the families and individuals
(parents and children) who are participants in the study.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of the names and addresses of the program
participants as well as their responses to interview questions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 6369.
PURPOSE(S):
The information in this system is used for the following purposes:
(1) To fulfill the requirement in the Even Start legislation for
evaluation of the effectiveness of the Even Start program; (2) To
respond to the requirements of the Government Performance and Results
Act (GPRA) to report out annually on indicators of program performance;
(3) To meet the evaluation requirements of the Education Department's
General Administrative Regulations (EDGAR) which stipulate that all
grantees conduct annual evaluations; (4) To provide performance data
useful to local, State, and Federal administrators, legislators, and
policy-makers for program improvement and policy development; (5) To
improve on performance indicators that can be used to review the
program's implementation and impact; (6) To add to the knowledge base
on the effects of family literacy programs by investigating the
relationships between program processes and outcomes; (7) To provide
evaluation data that can serve as a base on which additional evaluation
studies that might be funded separately could build; and (8) To provide
an analysis of changes over time in areas such as the types of families
served by Even Start, the nature of Even Start projects, and the
estimated gains made by adults and children while in the program.
[[Page 30111]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(2) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(3) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(4) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(5) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(6) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system notice.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Department maintained records on CD-ROM and the contractor
maintains data for this system on computers and in hard copy.
RETRIEVABILITY:
Records in this system are indexed by a number assigned to each
individual which is cross referenced by the individual's name on a
separate list.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge.The computer system employed by the Department
[[Page 30112]]
offers a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on
a ``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Records are maintained and disposed of in accordance with the
Department of Education's Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of the Planning and Evaluation Service, Office
of the Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Responses from program participants.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-01
SYSTEM NAME:
Debarment and Suspension Proceedings under Executive Order (E.O.)
12549, the Drug-Free Workplace Act, and the Federal Acquisition
Regulation.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
For records regarding actions under E.O. 12549 against individuals
who are involved in nonprocurement transactions related to Department
of Education programs, actions under the Drug-Free Workplace Act, and
actions under the FAR 9.4: Contracts & Purchasing Office, Office of the
Chief Financial Officer, U.S. Department of Education, Seventh and D
Streets, SW., Room 3600, ROB-3, Washington, DC 20202-4249.
For records regarding actions under E.O. 12549 against an
individual certified public accountant or principals of a CPA firm:
Planning, Analysis, and Management Services, Office of Inspector
General, U.S. Department of Education, 330 C Street, SW., Room 4022,
Switzer Building, Washington, DC 20202-1510.
For records regarding actions under E.O. 12549 against principals
of institutions of higher education, principals of lenders, or
principals of guarantee agencies: Administrative Actions and Appeals
Division, Institutional Participation and Oversight Service, Office of
Student Financial Assistance Programs, U.S. Department of Education,
Seventh & D Streets, SW., Room 3082, ROB-3, Washington, DC 20202-5267.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Principals undergoing debarment or suspension proceedings and
principals that have been debarred or suspended. Principals are
officers, directors, owners, partners, key employees, or other persons
who have a critical influence on or substantive control over a covered
transaction, whether or not employed by a participant. A participant is
any person who submits a proposal for, enters into, or reasonably may
be expected to enter into a covered transaction. A covered transaction
is described in the Department's regulations at 34 CFR 85.110(a)(1).
Individuals receiving grants subject to requirements under the Drug-
Free Workplace Act. Individual contractors undergoing debarment or
suspension proceedings and contractors that have been debarred or
suspended. Contractors covered by this system of records are
individuals that directly or indirectly submit offers for or are
awarded, or may reasonably be expected to submit offers for or be
awarded, a government contract, or who conduct business, or may
reasonably be expected to conduct business with the Department as an
agent or representative of another contractor.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains documents including written referrals, communications
between the Department and the respondent, intra-agency and inter-
agency communications regarding proposed or completed debarments or
suspensions, and a record of any findings from debarment or suspension
proceedings against individuals under E.O. 12549, the Drug-Free
Workplace Act, and the FAR 9.4.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive Order 12549, Debarment and Suspension; secs. 5151-5160 of
the Drug-Free Workplace Act; and the Federal Acquisition Regulation, 48
CFR part 9, subpart 9.4, Debarment, Suspension, and Ineligibility; Pub.
L. 103-355, sec. 2455.
PURPOSE(S):
Information contained in this system of records is used to protect
the Federal Government from the actions prohibited under the Department
of Education (Department) debarment and suspension regulations, Drug-
Free Workplace regulations, and the FAR; make decisions regarding
debarments and suspensions; and ensure that other Federal agencies give
effect to debarment or suspension decisions rendered by the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under
a computer matching agreement.
(1) Litigation Disclosure. In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (2), (3), and (4) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of Department in his or her individual capacity
where the Department of Justice has agreed to provide or arrange for
representation for the employee; or
[[Page 30113]]
(iv) Any employee of Department in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where Department determines that the
litigation is likely to affect the Department or any of its components.
(2) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice or attorneys engaged by the Department of Justice is relevant
and necessary to litigation and is compatible with the purpose for
which the records were collected, the Department may disclose those
records as a routine use to the Department of Justice.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, individual or entity designated by
the Department or otherwise empowered to resolve disputes is relevant
and necessary to the administrative litigation and is compatible with
the purposes for which the records were collected, the Department may
disclose those records as a routine use to the adjudicative body,
individual or entity.
(4) Opposing counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the counsel, representative
or witness.
(5) Disclosure to the General Services Administration. The
Department makes information contained in this system of records
available to the General Services Administration for inclusion in the
Lists of Parties Excluded from Federal Procurement or Nonprocurement
Programs.
(6) Disclosure to the Public. The Department provides information
to persons inquiring about individuals who have been debarred or
suspended by the Department as necessary to enforce debarment and
suspension actions.
(7) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, tribal, or
local, charged with the responsibility of investigating or prosecuting
such violation or charged with enforcing or implementing the statute,
or executive order or rule, regulation, or order issued pursuant
thereto.
(8) FOIA Advice Disclosure. In the event the Department deems it
desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act,
disclosure may be made to the Department of Justice for the purpose of
obtaining its advice.
(9) Contract disclosure. If the Department contracts with an entity
for the purpose of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records as a routine use to those employees. Before
entering such a contract, the Department shall require the contractor
to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m)
with respect to the records in the system.
(10) Research Disclosure. Where the appropriate official of the
Department determines that an individual or organization is qualified
to carry out specific research, that official may disclose information
from this system of records to that researcher solely for the purpose
of carrying out that research. The researcher shall be required to
maintain Privacy Act safeguards with respect to such records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are kept in file folders in locked file cabinets.
RETRIEVABILITY:
The records are indexed by the names of the individuals.
SAFEGUARDS:
All physical access to the site where this system of records is
maintained is controlled and monitored by security personnel who check
each individual entering the building for his or her employee badge.
Files are kept in locked file cabinets. Immediate access to these
records is restricted to authorized staff.
RETENTION AND DISPOSAL:
Pending disposal, Debarment and Suspension records are retained at
the system location. The Department will retain and dispose of the
records in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Grants Policy & Oversight Staff, Contracts & Purchasing
Office, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3652, ROB-3, Washington, DC
20202-0498.
Assistant Inspector General for Planning, Analysis, and Management
Services, Office of Inspector General, U.S. Department of Education,
Maryland Avenue, SW., Room 4022, Mary E. Switzer Building, Washington,
DC 20202-1510.
Director, Administrative Actions and Appeals Division,
Institutional Participation and Oversight Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3082, ROB-3, Washington, DC 20202-5267.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual must
provide the system manager his or her name, date of birth and social
security number. Requests for notification about an individual record
must meet the requirements of the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she must contact the system manager and provide information as
described in the notification procedure. Requests for access to an
individual's record must meet the requirements of the regulations at 34
CFR 5b.5. Consistent with 5 U.S.C. 552a(e)(5), the Department retains
the discretion not to disclose records to an individual during the
course of a debarment or suspension proceeding against the individual.
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record in the
system of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change, including
[[Page 30114]]
any supporting documentation. Requests to amend a record must meet the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Department employees involved in the management of grants and
contracts, and other organizations or persons that may have relevant
information regarding participants and their principals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-02
SYSTEM NAME:
Education's Central Automated Processing System (EDCAPS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Recipient System (RS), Payment Management Service & Reporting Unit,
Financial Payments & Cash Management Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.
Financial Management Software System (FMSS), General Ledger Systems
Group, Financial Reporting and Systems Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.
Contracts and Purchasing Support System, Support Services Group,
Contracts and Purchasing Operations, Office of the Chief Financial
Officer, U.S. Department of Education, Seventh & D Streets, SW., Room
3616, ROB-3, Washington, DC 20202-4651. Contracts and Purchasing
Support System (CPSS) National Finance Center, Department of
Agriculture, New Orleans, Louisiana.
Grants Administration and Payments System (GAPS) Grants and
Contract Management System (GCMS) and the Payment Management System
(PMS). The grant application portion of GAPS will be managed by the
Grants Policy & Oversight Staff, Office of the Chief Financial Officer,
GSA Regional Office Building 3, Seventh & D Streets, SW, Room 3652,
Washington, DC 20202-4651. The GAPS payment process will be managed by
Payment Management Service & Reporting Unit, Financial Payments & Cash
Management Operations, Office of the Chief Financial Officer,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals include employees of the Department,
consultants, contractors, grantees, advisory committee members, and
other individuals receiving funds from the department for performing
services for the Department. Although EDCAPS contains information about
institutions associated with individuals, the purpose for which the
Department collects and maintains information under this system of
records, and its usage of this information, pertains only to
individuals protected under the Privacy Act of 1974 (5 U.S.C. 552a).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system contain the individual's name, address,
Social Security number, eligibility codes, detailed and summary
obligation data, reports of expenditures, and grant management data,
including application and close out information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 301.
PURPOSE(S):
The purpose of EDCAPS is to maintain financial and management
records associated with the normal operations of the Department.
Records are used for managing grant and contract awards, making
payments, accounting for goods and services provided and received,
enforcing eligibility requirements, conditions in awards and U.S. law
relating to transactions covered by the system, and defending the
Department in actions relating to those transactions. EDCAPS consists
of four subsystems, as follows:
RS (Recipient System)
RS serves as the recipient database for EDCAPS land the central
repository of recipients having a relationship with the Department
(e.g., receiving grantees.) It maintains core information about a
recipient and tracks reference data to support information on
recipients (e.g., countries, states, and congressional districts).
FMSS (Financial Management Software System)
The purpose of FMSS is to serve as the official general ledger for
the Department. It also performs all funds control checks for all
EDCAPS obligations, either by the GAPS or by a contractor of the
Department. FMSS maintains detailed information about obligations paid
to the contractor and maintains general ledger level balance
information for obligations paid directly by the Department through
GAPS.
GAPS (Grants Administration and Payment System)
The purpose of GAPS is to administer the grants award processing
from planning through closeout including disbursing funds to grants
recipients for certain Department programs. Summary payment data are
returned to FMSS for processing. GAPS maintains a record of grant
awards by the Department, including management information collected
during the award process. Payment information is retrievable in GAPS by
Taxpayer Identification Number (TIN). The TIN for an individual is the
social security number. The name, mailing address and other
characteristic data related to federal grants or institutional loans
are also maintained.
CPSS (Contract and Purchasing Support System)
The purpose of CPSS is to administer the contracts award process
from planning to closeout. CPSS shares information with FMSS. CPSS
maintains a record of contact awards by the Department, including
management information collected during the award process.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
agreement.
(a) Litigation disclosure.
(1) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice is relevant and necessary to litigation and is compatible with
the purpose for which the records were collected, the Department may
disclose those records as a routine use to the Department of Justice.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in such
litigation:
(i) The Department or any component of the Department; or
(ii) Any employee of the Department in his or her official
capacity; or
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice has agreed to represent the
employee; or
[[Page 30115]]
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employer; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(2) Other litigation disclosures. If the Department determine that
disclosure of certain records to a court, adjudicative body before
which the Department is authorized to appear, individual or entity
designated by the Department or otherwise empowered to resolve
disputes, counsel or other representative, or potential witness is
relevant and necessary to litigation and is compatible with the purpose
for which the records were collected, the Department may disclose those
records as a routine use to the court, adjudicative body individual or
entity, counsel or other representative, or witness. Such a disclosure
may be made in the event that one of the parties listed below is
involved in the litigation, or has an interest in the litigation;
(i) The Department or any component of the Department; or
(ii) Any employee of the Department in his or her official
capacity; or
(iii) Any employee of the Department in his or her individual
capacity where the Department has agreed to represent the employee; or
(iv) The United States where the Department determines that
litigation is likely to affect the Department or any of its components.
(b) FOIA advice of disclosure. In the event the Department deems it
desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act or other
authority permitting disclosure of records, disclosure may be made to
the Department of Justice for the purpose of obtaining its advice.
(c) Contract disclosure. The Department may disclose information
from this system of records as a routine use to the private firm or
contractor with which the Department contemplates it will contract or
with which it has contracted for the purpose of performing any
functions or analyses that facilitate or are relevant to an
investigation, audit, inspection, or other inquiry. Such contract or
private firm shall be required to maintain Privacy Act safeguards with
respect to such information.
(d) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation or any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, Tribal, or
local, charged with the responsibility of investigating or prosecuting
such violation or charged with enforcing or implementing the statute,
or executive order or rule, regulation, or order issued pursuant
thereto.
(e) Congressional member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO A CONSUMER REPORTING AGENCY:
Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(e)(4) and the procedures contained in subsection 31 U.S.C.
3711(f). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEMS:
STORAGE:
Records are maintained on microfilm, microfiche, disk packs and
magnetic tapes and stored in a retrievable file system.
RETRIEVABILITY:
Records are indexed by name, or other individual identifier, and
TIN. The records are retrieved by a manual or computer search by
indices.
SAFEGUARDS:
Direct access is restricted to authorized Department staff
performing official duties. Authorized staff are assigned passwords
which must be used for access to computerized data. Also, an additional
password is necessary to gain access to the system. The system-access
password is changed frequently. The data is maintained in a secured-
access area.
RETENTION AND DISPOSAL:
Files are regularly updated. Records are maintained for ten years.
Inactive records are purged from the automated file every five years.
SYSTEM MANAGER(S) AND ADDRESS:
The Registry System is managed by the Payment Management Service &
Reporting Unit, Financial Payments & Cash Management Operations, Office
of the Chief Financial Officer, U.S. Department of Education,
Washington, DC 20202.
The Financial Management Software System is managed by the General
Ledger Systems Group, Financial Reporting and Systems Operations,
Office of the Chief Financial Officer, U.S. Department of Education,
400 Maryland Avenue, SW., Washington, DC 20202.
The Contracts and Purchasing Support System is managed by the
Support Services Group, Contracts and Purchasing Operations, Office of
the Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3616, ROB-3, Washington, DC 20202-4651.
The grant application portion of the Grants Administration and
Payments System will be managed by the Grants Policy & Oversight Staff,
Office of the Chief Financial Officer, U.S. Department of Education,
Room 3652, ROB-3, Washington, DC 20202-4651. The GAPS payment process
will be managed by Payment Management Service & Reporting Unit,
Financial Payments & Cash Management Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 3332, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record pertaining to
him or herself is the system of records, the individual should provide
his or her name and Social Security number to the appropriate system
manager. Such request must meet the requirements in the regulations at
34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she should contact the appropriate system manager and provide
information as described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in the
regulations at 34 CFR 5b.5.
[[Page 30116]]
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record
pertaining to himself or herself that is contained in the system or
records, he or she should contact the appropriate system manager with
the information described in the notification procedure, identify the
specific items requested to be changed, and provide a justification for
such change. A request to amend a record must meet the requirements in
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system will be obtained from applicants
applying for a Department contract, grant, or loan at the time of
application. Information will also be obtained from Department program
offices, employees, consultants, and others performing personnel
services for the Department.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-03
SYSTEM NAME:
Receivables Management System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATIONS:
Office of the Chief Financial Officer, Financial Improvement and
Receivables Group, U.S. Department of Education, 400 Maryland Avenue,
SW., Washington, DC 20202-4330.
Office of the Chief Information Officer, U.S. Department of
Education, Seventh and D Streets, SW., Washington, DC 20202.
Nationwide Credit, Inc., Credit Claims and Collection, 2253
Northwest Parkway, Marietta, GA 30067.
Payco American Corporation, 180 N. Executive Drive, Brookfield, WI
53005-6011.
CSC Credit Services, Inc., 7909 Parkwood Circle, Suite 200,
Houston, TX 77036-6565.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by the system include: Persons billed by the
Department of Education (Department) for materials and services such as
Freedom of Information Act requests and computer tapes of statistical
data, persons ordered by a court of law to pay restitutions to the
Department, individuals who received grants under the Bilingual
Education Fellowship Program and who have not provided evidence to the
Department of fulfilling their work requirements as described in the
Bilingual Education Fellowship Program Contract, individuals who have
received funds through the Rehabilitation Services Administration (RSA)
Scholarship program and who have not provided evidence of fulfilling
their obligations under that program, current and former Department
employees who received overpayments on travel allowances or who
received salary overpayments and the overpayments have not been waived
by the Department, individuals who were overpaid or inappropriately
paid under grant programs administered by the Department other than
Title IV of the Higher Education Act of 1965, as amended (HEA) and
claims against individuals, including orders by a court or other
authority to make restitution for the misuse of Federal funds in
connection with any program administered by the Department.
CATEGORIES OF RECORDS IN THE SYSTEM:
Documents maintained in the system include: activity logs, copies
of checks, contracts, court orders, letters of notice, promissory
notes, telephone logs, and related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Claims Collection Act of 1966; Debt Collection Act of 1982;
and the Debt Collection Improvement Act of 1996.
PURPOSE(S):
The Receivables Management System is a database system that is kept
for servicing general consumer debts owed to the Department and issuing
reports of operations and the status of accounts to the U.S. Department
of Treasury (Treasury) and the Office of Management and Budget. The
receivables are generated from bills to individuals for materials and
services from the Department, claims arising from court-ordered
restitutions for any program administered by the Department, loans and
overpayments to individuals under programs other than the student
financial assistance programs authorized under Title IV of the Higher
Education Act of 1965, as amended.
Records will be used by debt servicing staff to bill debtors to the
Department and collect the debts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. Disclosures under the following routine uses may be made
on a case-by-case basis or, in appropriate circumstances under computer
matching agreements authorized under the Privacy Act of 1974 (5 U.S.C.
552a). Records may be disclosed for the following debt servicing
program purposes:
(a) Program purposes: (1) To verify the identity and location of
the debtor, disclosures may be made to credit agencies and Federal
agencies. (2) To enforce the terms of a loan or where disclosure is
required by Federal law, disclosure may be made to credit agencies,
educational and financial institutions, and Federal, State, or local
agencies.
(b) Debt servicing. Records under routine use may be disclosed to
the United States Department of the Treasury and privately contracted
collection companies for debt servicing.
(c) Litigation disclosure. (1) In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (2), (3) and (4) of this routine use under the
conditions specified in those paragraphs:
(i) The Department, or any component of the Department;
(ii) Any Department employee in his or her official capacity;
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice (DOJ) has agreed to provide or
arrange for representation for the employee;
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(2) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation and is compatible with the purpose for which the records
were collected, the Department may disclose those records as a routine
use to the DOJ.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve disputes is
relevant and necessary to the
[[Page 30117]]
administrative litigation and is compatible with the purpose for which
the records were collected, the Department may disclose those records
as a routine use to the adjudicative body, individual or entity.
(4) Opposing counsel, representatives and witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the counsel, representative
or witness.
(5) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, Tribal, or
local, charged with the responsibility of investigating or prosecuting
this violation or charged with enforcing or implementing the statute,
or executive order or rule, regulation, or order issued pursuant
thereto.
(6) Contract disclosure. If the Department contracts with an entity
for the purpose of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records as a routine use to those employees. Before
entering into a contract, the Department shall require the contractor
to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m)
with respect to the records in the system.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose
individually identifiable information to OMB as necessary to fulfill
CRA requirements.
(8) Employee grievance, complaint or conduct disclosure. Records
may be disclosed if a record maintained in this system of records is
relevant to present or former employee grievance, complaint, discipline
or competence determination proceedings of another agency of the
Federal Government. In this case, the Department may disclose the
record as a routine use in the course of the proceedings if the
disclosure is compatible with the purposes for this system of records.
(9) Labor organization disclosure. Records under this routine use
may be disclosed whenever a contract between a component of the
Department and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(10) Research disclosure. Records under this routine use may be
disclosed whenever an appropriate official of the Department determines
that an individual or organization is qualified to carry out specific
research related to functions or purposes of this system of records.
The official may disclose records from this system of records to that
researcher solely for the purpose of carrying out that research related
to the functions or purposes of this system of records. The researcher
is required to maintain Privacy Act safeguards with respect to these
records.
(11) Freedom of Information Act (FOIA) Advice Disclosure. Records
under this routine use may be disclosed to the DOJ and the OMB in the
event that the Department deems it desirable or necessary in
determining whether particular records are required to be disclosed
under the FOIA.
(12) Disclosure to the Department of Justice. Records may be
disclosed under this routine use to the DOJ from this system of records
as a routine use to the extent necessary for obtaining DOJ advice on
any matter relevant to an audit, inspection, or other inquiry related
to the programs covered by this system.
(13) Congressional member disclosure. The Department may disclose
information from this system of records to a member of Congress from
the record of an individual in response to an inquiry from the member
made at the written request of that individual. The Members' right to
the information is no greater than the right of the individual who
requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records under this system will be kept on paper files in metal file
cabinets and in data files in computers. They are stored in desk top
and mainframe computers with records backed up on magnetic media.
RETRIEVABILITY:
The data will be retrieved by name, loan or case number, or Social
Security number.
SAFEGUARDS:
All physical access to the sites of the Department of Education and
the contractors where this system of records is maintained, are
controlled and monitored by security personnel who check each
individual entering the building for an employee's or visitor's badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department of Education and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
are given a unique user ID. All interactions by individual users with
the system are recorded.
At contractor sites, access to all automated data processing
facilities are restricted by photo identification, sign-in and out
logs, CYPHER locks, or ID card readers. Smoke and fire detection
devices are installed and maintained operational on all facilities
including tape and disk library areas. Physical security of the
building involves restricted access as well as 24-hour security guard
at the ground-floor entrance to the building. Access to building is
obtained through the use of key entry doors. The system permits entry
to an individual only with an access code.
RETENTION AND DISPOSAL:
Records are disposed of in accordance with the National Archives
and Records Administration's General Records Schedule (GRS) 6, items
1a, 10b, and 10c; and GRS 7.
SYSTEM MANAGERS AND ADDRESS:
Director, Financial Improvement and Receivables Group, Office of
the Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3117, Washington, DC 20202-4330.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual should
provide the system manager his or her name, Social Security number,
case or loan number, or other debt identifying number. Requests for
notification about an individual must meet the requirements in the
regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she should contact the system manager and
[[Page 30118]]
provide information described in the notification procedure. Requests
by an individual for access to a record must meet the requirements in
the regulations at 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record in the
system of records, he or she should contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change. Requests to amend a record must meet the requirements of
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from Department program offices, debtors,
court orders, and probation officers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
18-03-04
SYSTEM NAME:
Files and Lists of Potential and Current Consultants, Grant
Application Reviewers Peer Reviewers, and Site Visitors.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
See the Appendix attached to this system notice.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been or may be used by the Department as
consultants, field readers, grant application reviewers, peer reviewers
or site visitors, to review and evaluate various program activities.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, telephone number, title, institutional or agency
affiliation, resume, social security number or other individual
identifier, compensation and/or reimbursement information (if any), and
area(s) of individual expertise of each individual serving as a
consultant, field reader, grant application reviewer or site visitor.
Records of past performance of individuals covered by this notice.
Disability (if special arrangement need to be made).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 1221e-3(a)(1), (b), 1232, and 3474.
PURPOSE(S):
The Department uses the information in this system of records to
determine qualification and fitness of individuals the Department may
use to review and evaluate documents, programs, and projects of the
Department of Education, its grantees and contractors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The Department may disclose personally identifiable information
from this record system for the following purposes:
(1) Congressional member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(2) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, The Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
The Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If The Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Employment, benefit, and contracting disclosure.
(5) For decisions by the Department. A record from this system of
records may be disclosed as a ``routine use'' to a Federal, state, or
local agency maintaining civil, criminal or other relevant enforcement
records or other pertinent records, such as current licenses, if
necessary to obtain a record relevant to an agency decision concerning
the hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit.
(6) For decisions by other Federal agencies. A record from this
system of records may be disclosed to a Federal agency, in response to
its request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a
license, grant, or other benefit by the requesting agency, to the
extent that the record is relevant and necessary to the requesting
agency's decision on the matter.
(7) Employee conduct disclosure. If a record maintained by The
Department is relevant to an employee discipline or competence
determination proceeding of another agency of the Federal Government,
The Department may disclose the record in the course of the proceeding.
(8) Labor organization disclosure. Where a contract between a
component of the Department and a labor organization recognized under
Chapter 71, U.S.C. Title V provides that the agency will disclose
personal records relevant to the organization's mission, records in
this system of records may be disclosed to such an organization.
(9) FOIA advice disclosure. In the event the Department deems it
desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act,
disclosure may be made to the Department of Justice for the purpose of
obtaining its advice.
(10) Contract disclosure. When the Department contemplates that it
will contract with a private firm for the purpose of collating,
analyzing, aggregating or otherwise refining records in this system.
Relevant records will be disclosed to such a contractor. The contractor
shall be required to maintain Privacy Act safeguards with respect to
such records.
[[Page 30119]]
(11) Research disclosure. The Department may, if the disclosure of
a record is compatible with the purpose for which the record was
collected, disclose a record from this system of records as a routine
use to individuals and organizations deemed qualified by the Secretary
to carry out specific research solely for the purpose of carrying out
such research.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file cabinets or card files and (in
limited locations) computer tapes and disks.
RETRIEVABILITY:
By name, title, area(s) of individual expertise, dates served,
institutional or agency affiliation, or social security number of
potential, current or past consultant, field reader, grant application
reviewer, or site visitor.
SAFEGUARDS:
Direct access is restricted to persons designated by system
managers to be responsible for maintenance of file(s) or decisions
regarding selection of consultants, field readers, grant application
reviewers, or site visitors. Automated locations are protected by
requiring a password as well as ID users' code.
RETENTION AND DISPOSAL:
Records regarding an individual are destroyed 5 years after the
last time the Department makes use of the individual's services.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Office, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room
4E213, Washington, DC 20202. See the Appendix to this system notice for
additional system managers.
NOTIFICATION PROCEDURE:
Contact system manager of pertinent organizational component(s) and
provide identification information required under 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
Same as notification procedure above.
RECORD SOURCE CATEGORIES:
Information provided voluntarily by individuals interested in
serving as consultants, field readers, grant application reviewers, or
site visitors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-03-04
Additional System Managers and System Locations
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 3W337, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 4090, Washington, DC 20202.
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202-5247.
Director, Office of Indian Education, Office of Elementary and
Secondary Education, 400 Maryland Avenue, SW., Room 4300, Portal
Building, Washington, DC 20202-6335.
18-04-02
SYSTEM NAME:
Freedom of Information Act and Privacy Act Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Information Management Group, Office of the Chief Information
Officer, U.S. Department of Education, Seventh and D Streets, Room
5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end of
this notice for additional system locations at Headquarters and
Regional Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals who have submitted or
were the subjects of requests made under the provisions of the Freedom
of Information Act and under the Privacy Act of 1974.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of names, addresses, dates of request and
responses, descriptions or identifications of records requested, amount
of fees paid, if any; payment delinquencies, if any; final
determinations of appeals or denials and summary of log. Copies of
requested records are not maintained in the system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Freedom of Information Act (5 U.S.C. 552) and the Privacy Act
of 1974 (5 U.S.C. 552a).
PURPOSE(S):
This system is used to document and track the status of requests
made under both the Freedom of Information Act and the Privacy Act.
This system is also used to generate the annual report to the
Department of Justice (DOJ) as required by the Freedom of Information
Act and the biennial report to the Office of Management and Budget
(OMB) and Congress as required by the Privacy Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
[[Page 30120]]
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(3) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(5) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in machine-readable media.
RETRIEVABILITY:
Records are retrieved by the name of the individual, the date of
the request, the control tracking number and the associated principal
office.
SAFEGUARDS:
Access to the tracking system requires a user-ID and is strictly
limited to authorized individuals.
RETENTION AND DISPOSAL:
Information in the system is erased after 2 years.
SYSTEM MANAGER(S) AND ADDRESS:
Freedom of Information Officer and Privacy Act Officer, Information
Management Group, Office of the Chief Information Officer, 400 Maryland
Avenue, SW., Room 5624, ROB-3, Washington, DC 20202-2651. See the
Appendix at the end of this notice for a list of FOIA Coordinators.
NOTIFICATION PROCEDURE:
If you wish to inquire whether a record exists regarding you in
this system, you should contact the appropriate system manager.
Inquiries must provide your name, date of the request, name of
organization, and subject matter. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.5.
RECORD ACCESS PROCEDURES:
The Department systems of records that are exempt from certain
Privacy Act requirements may be included in this system as part of a
FOIA/PA case record. Such material retains its exemption if it is
included in this system of records. The section of this notice titled,
``Systems Exempted from Certain Provisions of the Act,'' explains the
exemptions for this system. Individuals wishing to request access to
their records should contact the system manager at the appropriate
office or region where their original Privacy Act and/or Freedom of
Information Act request was sent or from which they received responses
to such requests. Individuals requesting access must comply with the
Department's Privacy Act regulations regarding verification of identity
and access to records 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
The Department systems of records that are exempt from certain
Privacy Act requirements may be included in this system as part of a
FOIA/PA case record. Such material retains its exemption if it is
included in this system of records. The section of this notice titled,
``Systems Exempted from Certain Provisions of the Act,'' explains the
exemptions for this system. Individuals wishing to request amendment to
their records should contact the system manager at the appropriate
office or region where their original Freedom of Information and/or
Privacy Act requests were sent or from which they received responses to
such requests. Individuals must furnish the following information for
their records to be located and identified:
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from the
individual to whom the information applies, officials of the
Department, official Department documents.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Department has claimed exemptions for several of its other
systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6),
and (7). During the course of a FOIA/PA action, exempt materials from
those other systems may become part of the case records in this system.
To the extent that copies of exempt records from those other systems
are entered into these FOIA/PA case records, the office has claimed the
same exemptions for the records as they have in the original primary
systems of records of which they are a part.
Appendix to 18-04-02
FOIA Coordinators
Office of the Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW., 400 Maryland Avenue, SW., Room 7C122, FOB-6,
Washington, DC 20202.
Office of the Chief Financial Officer, U.S. Department of Education,
400 Maryland Avenue, SW., Room 4E223, Washington, DC 20202.
Office of Educational Research and Improvement, 555 New Jersey
Avenue, NW., Room 602E, Capitol Place, Washington, DC 20208.
Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 330 C Street, SW., Room 3613, Switzer
Building, Washington, DC 20202.
Office of Vocational and Adult Education, U.S. Department of
Education, 330 C Street, SW., Room 4064, Switzer Building,
Washington, DC 20202.
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6C142, FOB-6, Washington, DC 20202.
Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 2W211, FOB-6, Washington, DC 20202.
Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 330 C Street, SW., Room 3112, Switzer
Building, Washington, DC 20202.
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW., Room 4200, Switzer Building, Washington, DC 20202.
[[Page 30121]]
Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W341, FOB-6, Washington,
DC 20202.
Office of Public Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E201, FOB-6, Washington, DC 20202.
Office of Student Financial Assistance Programs, U.S. Department of
Education, Seventh and D Streets, SW., Room 4913, ROB-3, Washington,
DC 20202.
Office for Civil Rights, U.S. Department of Education, 330 C Street,
SW., Room 5424, Switzer Building, Washington, DC 20202.
Office of Bilingual Education and Minority Affairs, U.S. Department
of Education, 330 C Street, SW., Room 5616, Switzer Building,
Washington, DC 20202.
Office of Educational Research and Improvement, , U.S. Department of
Education, 400 Maryland Avenue, SW., Room 4W332, FOB-6, Washington,
DC 20202.
Regional FOIA Review Officers
Region I: Deputy Regional Director, OCR, John W. McCormack P.O. and
Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557.
Region II: Regional Director, OCR, 75 Park Place, 12th Floor, New
York NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
3535 Market Street, Room 16350, Philadelphia 19104-3398.
Region IV: Regional Director, OCR, 61 Forsyth Street, SW, Suite
19T40, Atlanta, GA 30303.
Region V: Education Program Specialist, Division of Dissemination,
OSFAP, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Education Program Specialist, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.
Region VII: Education Program Specialist, OSFAP, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: Public Information Specialist, Federal Office Building,
1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: Education Program Specialist, OSFAP, 50 United Nations
Plaza, San Francisco, CA 94102
Region X: Education Program Specialist, OSFAP, Room 3362, Mail Code
10-9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington,
DC 20044.
18-04-02
SYSTEM NAME:
Freedom of Information Act and Privacy Act Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Chief Information Officer, Information Management
Group, U.S. Department of Education, 400 Maryland Avenue, SW, Room
5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end of
this system notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records and related correspondence on
individuals who have submitted: Requests for information under the
provisions of the Freedom of Information Act (5 U.S.C. 552), including
requests for review of initial denials. Requests under the provisions
of the Privacy Act (5 U.S.C. 552a) for records about themselves,
including: Requests for notification of the existence of records about
them. Requests for access to these records. Requests for amendment of
these records. Requests for review of initial denials of such requests
for notification, access, and amendment. Requests for an accounting of
disclosure of records about them.
Note: Since these FOIA/PA case records contain inquiries and
requests regarding any of the Department's other systems of records
subject to the Privacy Act, information about individuals from any
of these other systems may become part of this Freedom of
Information Act and Privacy Act System.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains correspondence and other documents related to
requests by individuals to the Department for: Information under the
provisions of the Privacy Act (5 U.S.C. 552), including requests for
review of initial denials of such requests. Information under the
provisions of the Privacy Act (5 U.S.C. 552a) and requests for review
of initial denials of such requests made under the Department's Privacy
Act regulations, including requests for: Notification of the existence
of records about them. Access to records about them. Amendment of
records about them. Review of initial denials of such requests for
notification, access, or amendment. Requests for an accounting of
disclosure of records about them.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Includes the following with any revisions or amendments: The
Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5
U.S.C. 552a), and the Department's Public Information Regulation (34
CFR part 5).
PURPOSE(S):
These records are maintained to process an individual's request
made under the provisions of the Freedom of Information and Privacy
Acts. The records are also used by the Department to prepare its
reports to OMB and Congress required by the Freedom of Information and
Privacy Acts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information will be released for the purposes cited in Appendix B
of the Department's Privacy Act regulations (34 CFR part 5b).
Disclosure may be made to a Congressional office from the record of an
individual in response to an Inquiry from the Congressional office made
at the request of that individual. In the event of litigation where the
defendant is (a) the Department, any component of the Department, or
any employee of the Department in his or her official capacity; (b) the
United States where the Department determines that the claim, if
successful, is likely to affect directly the operations of the
Department or any of its components; or (c) any Department employee in
his or her individual capacity where the Department of Justice has
agreed to represent such employee. The Department may disclose such
records as it deems desirable or necessary to the Department of Justice
to enable that Department to present an effective defense, provided
such disclosure is compatible with the purpose for which the records
were collected.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not Applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained on machine-readable media and/or as
paper copies in file folders or binders.
RETRIEVABILITY:
For the most part, records are retrieved by the name of the
individual on whom they are maintained, the year of the request, and
the control tracking number. Records are available to FOIA staff
involved in correspondence and investigative processes, including
appeals officials and staff members of the OGC.
SAFEGUARDS:
Records are maintained in Conserva-File cabinets in the Office of
the Department's FOIA Officer and the Privacy Act Officer, and in the
offices of Department personnel whose duties require access. Access to
the FOIAS System, and to the associated paper
[[Page 30122]]
records is strictly limited to these individuals.
RETENTION AND DISPOSAL:
These records will be disposed of 5 years after the date of final
Department action on the case. Records are destroyed by shredding,
burning magnetic erasure, or the equivalent.
SYSTEM MANAGER(S) AND ADDRESS:
Freedom of Information Officer and Privacy Act Officer, Room 5624,
ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202, are responsible
for Departmental records, including both FOIAS and paper records. The
appropriate Assistant Secretary, the General Counsel, the Office of the
Inspector General, and the Secretary's Regional Representatives are the
system managers for the Freedom of Information and Privacy Act records
maintained in their offices.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from
--The individual to whom the information applies. Officials of the
Department. Official Department documents.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Department has claimed exemptions for several of its other
systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6),
and (7). During the course of a FOIA/PA action, exempt materials from
those other systems may become a part of the case records in this
system. To the extent that copies of exempt records from those other
systems are entered into these FOIA/PA case records, the office has
claimed the same exemptions for the records as they have in the
original primary systems of records of which they are a part.
Appendix to 18-04-02
Additional System Locations and System Managers
Region I: Deputy Regional Director, OCR, John W. McCormack PO and
Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557.
Region II: Regional Director, OCR, 75 Park Place, 12th Floor, New
York NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
3535 Market Street, Room 16350, Philadelphia 19104-3398.
Region IV: Regional Director, OCR, 61 Forsyth Street, SW., Suite
19T40, Atlanta, GA 30303.
Region V: Education Program Specialist, Division of Dissemination,
OSFAP, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Education Program Specialist, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.
Region VII: Education Program Specialist, OSFAP, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: Public Information Specialist, Federal Office Building,
1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: Education Program Specialist, OSFAP, 50 United Nations
Plaza, San Francisco, CA 94102.
Region X: Education Program Specialist, OSFAP, Room 3362, Mail Code
10-9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington,
DC 20044.
18-05-01
SYSTEM NAME:
Departmental Parking Control Policy.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Director, Quality Workplace Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Department employees and non-Department carpool members
utilizing parking facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes the following information on all persons
applying for a parking permit: Name, office room number, office phone
number, agency, home address, and automobile license number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
63 Stat. 377;41 CFR 101-20.111.
PURPOSE(S):
The information contained in this system is used to: (1) Provide
standards for apportionment and assignment of parking spaces on
Department-managed and Department-controlled property and on property
assigned to the Department by the General Services Administration or
any other Agency, and (2) allocate and check parking spaces assigned to
government vehicles, visitors, handicapped personnel, executive
personnel, carpool and van pools and others.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS ND THE PURPOSES OF SUCH USE:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Congressional Member Disclosure. The Department may disclosure
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(2) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
[[Page 30123]]
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(3) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored in binders in file cabinets.
RETRIEVABILITY:
Records are filed alphabetically by location.
SAFEGUARDS:
All physical access to the Department of Education site where this
system of records is maintained, is controlled and monitored by
security personnel who check each individual entering the building for
his or her employee or visitor badge.
RETENTION AND DISPOSAL:
Superseded policy materials are maintained by the Director, Quality
Workplace Group for historical purposes. Records at other Department
locations are maintained until the Parking Control purpose has been
met, and the records are then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Quality Work Group (QWG), Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
social security number, agency and office and the location where
Department parking is provided. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
Same as Notification Procedure. Requesters should also reasonably
specify the record contents sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
Contact the system manager at the address specified under
notification procedure above, and reasonably identify the record and
specify the information to be contested. Your request must meet the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system are obtained from reports submitted by
Department Staff, Principal Offices and Regional Offices, GSA-Federal
Management circulars and Federal Property Management Regulations.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-02
SYSTEM NAME:
Family Educational Rights and Privacy Act (FERPA) and the
Protection of Pupil Rights Amendment (PPRA) Record Systems.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Family Policy Compliance Office, Office of Management, U.S.
Department of Education, Room 2W100, Washington, DC 20202-4506.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have made inquiries or who have filed complaints
alleging violations of provisions in FERPA and PPRA; and those who have
commented to the Department on its proposed rules and practices.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of correspondence alleging violations of FERPA
and PPRA as well as comments submitted to the Department on its
proposed rules and practices.
AUTHORITY OF MAINTENANCE OF SYSTEM:
Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and
Protection of Pupil Rights Amendment (20 U.S.C. 1232h).
PURPOSE(S):
Information contained in this system is used to resolve disputes
regarding violations of FERPA and PPRA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Member of Congress Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested.
(2) Educational Agency or Institution. The Department may
disclosure records from this system of records to an educational agency
or institution against which a complaint has been made.
(3) State Educational Agency. The Department may disclose records
to a State educational agency relative to an educational agency or
institution in that State against which a complaint has been filed.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to FERPA or PPRA investigations or
other enforcement responsibilities under FERPA or PPRA;
(6) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
[[Page 30124]]
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(9) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard-copy form filed in standard
lockable file cabinets, or on electronic files in which case document
disks are kept in lockable file cabinets.
RETRIEVABILITY:
Records are indexed under the names of institutions against which
individuals are alleging violations of FERPA.
SAFEGUARDS:
Direct access is restricted to FPCO staff; main files are left in
locked file cabinets when not in use.
RETENTION AND DISPOSAL:
Inquiry records are maintained a minimum of three years; complaint
and investigative records are maintained a minimum of five years after
the case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Family Policy Compliance Office, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2W100, Washington, DC 20202-
4056.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system is obtained from incoming
correspondence, responses and material obtained during the course of
any investigation.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-04
SYSTEM NAME:
Discrimination Complaints Records System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Equal Employment Opportunity Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue SW, Room 2W228,
Washington, DC 20202-4550.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals--employees as well as
applicants for employment--or groups of individuals who have filed
Equal Employment Opportunity (EEO) complaints of discrimination on the
basis of race, color, religion, sex (including sexual harassment or
sexual orientation), national origin, age, disability, or reprisal for
having engaged in a prior EEO activity.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of records concerning the
Department's formal complaints of discrimination processes, including
counselor' reports, the initial allegations and efforts at resolution,
letters or notices to the individual or class agent, materials placed
into the record to support or refute the decision or determination,
statements to witnesses, investigative reports, instructions about
action to be taken to comply with decisions, and related
correspondence, opinions and recommendations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR
1614.
PURPOSE(S):
The Equal Employment Opportunity Group uses the information
contained in this system to adjudicate complaints or appeals, to
provide a basis for a corrective action related to the discrimination
situation and as a data source for management information for
production of descriptive statistics and analytical studies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) Disclosure to OMB, MSPB and EEOC. The Department may disclose
records to the Office of Personnel Management, Merit Systems Protection
Board (including its Office of the Special Counsel), or the Equal
[[Page 30125]]
Employment Opportunity Commission for the purpose of carrying out their
functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event of litigation where one of the
parties listed below is involved in litigation or ADR, or has an
interest in litigation ADR, the Department may disclose certain records
to the parties described in paragraphs (b), (c) and (d) of this routine
use under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to directly affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in file folders and binders inside a
file room centrally situated within the EEOG office.
RETRIEVABILITY:
The records are indexed by formal complaint case numbers, and
cross-referenced by a separate log identifying the names of the
individuals or class agents on whom they are maintained.
SAFEGUARDS:
Access to and use of these records are limited to those persons
whose official duties require access. Physical security of the file
room and entire office area involves lockable entry doors with off-the-
master keys.
RETENTION AND DISPOSAL:
The complaint cases of discrimination may be retired to the Federal
Records Center three years after their final disposition through the
administrative (and judicial, as applicable) processes.
SYSTEM MANAGERS AND ADDRESS:
Director, Equal Employment Opportunity Group, Office of Management,
U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC
20202-4550.
NOTIFICATION PROCEDURE:
If you wish to determine if a record exists regarding you in this
system of records, contact the system manager at the address listed
above. You should include your name, date of birth, Departmental
principal office in which the situation arose, the approximate date,
and the type of action taken. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, follow the procedures described above under Notification
Procedure. You should also reasonably specify the record contents being
sought. Your request must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest information contained in this system of
records, you should contact the system manager at the address listed
above. You should reasonably identify the record and specify the
information to be contested. Your request should satisfy the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from individuals to whom the
record pertains, Department officials or other officials, statements
from employees or other witnesses, official documents pertinent to the
complaint and correspondence from specific organizations or persons.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-05
SYSTEM NAME:
Grievances Filed Formally Under the Administrative Grievance
Procedure.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E200, Washington, DC 20202.
See the Appendix at the end of this system notice for additional
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on non-bargaining unit employees of
the Department regardless of type of appointment, who individually or
as a group, request personal relief in a matter of concern or
dissatisfaction which is subject to the control of Department
management. This includes former employees of the Department for whom a
remedy can be provided as well as applicants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information or documents relating to the grievance and personal
relief sought, materials used in consideration of the grievance, and
correspondence related to disposition of the grievance, including but
not limited to the formal grievance, fact finder's report, final
decision, and all other related documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302.
PURPOSE(S):
The information contained in this system is to consider and settle
matters of dissatisfaction or concern of covered individuals.
[[Page 30126]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written
[[Page 30127]]
request of that individual. The member's right to the information is no
greater than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy stored in file folders, on
computers and in handwritten logs for Human Resources. Summary data of
records are also maintained in a computerized tracking system.
RETRIEVABILITY:
Records are indexed alphabetically by organization and year.
SAFEGUARDS:
Access to and use of these records are limited to those persons
with a ``need-to-know'' and whose official duties require such access.
Personnel screening is employed to prevent unauthorized disclosure.
Computers are password protected for individuals with access. All data
bases are designed with stringent security measures to control
individual users' ability to access and alter records within the
system.
RETENTION AND DISPOSAL:
Records are retained for three (3) years after the grievance case
is closed, and are then destroyed, as set forth in the General Records
Schedule 1, Civilian Personnel Records, Item 30(a).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2W300,
Washington, DC 20202. See the Appendix at the end of this system notice
for additional system managers.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
RECORD SOURCE CATEGORIES:
Information in this system of records is supplied from the
following sources: Directly by the individual filing the grievance,
from information supplied by the individual, by testimony of witnesses,
employee representatives, Department employees or officials.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-05-05
Additional System Locations and System Managers
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Washington, DC
20202.
Employee Relations Team, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E233, Washington, DC
20202-4737.
U.S. Department of Education, Regional Personnel Office O'Neill
Federal Building, 10 Causeway Street, Room 1095 Boston, MA 02222.
U.S. Department of Education, Regional Personnel Office 75 Park
Place, 12th Floor, New York, NY 10007.
U.S. Department of Education, Regional Personnel Office 3535 Market
Street, Room 16300, Philadelphia, PA 19104.
U.S. Department of Education, Regional Personnel Office 61 Forsyth
Street, SW, Suite 18T55, Atlanta, GA 30303.
U.S. Department of Education, Regional Personnel Office 111 N. Canal
Street, Room 1084, Chicago, IL 60606.
U.S. Department of Education, Regional Personnel Office 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.
U.S. Department of Education, Regional Personnel Office 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.
U.S. Department of Education, Regional Personnel Office 1244 Speer
Boulevard, Room 353, Denver, CO 80204-3582.
U.S. Department of Education, Regional Personnel Office 50 United
Nations Plaza, Room 207, San Francisco, CA 94102-4987.
U.S. Department of Education, Regional Personnel Office 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.
18-05-06
SYSTEM NAME:
Grievance Records Filed under Procedures Established By Labor-
Management Negotiations.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on present and past bargaining unit
employees of the Department covered by the Collective Bargaining
Agreement between the Department and American Federation of Government
Employees Council 252.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of a variety of records relating to
an employee's grievance filed under procedures established by labor-
management negotiations including employee's name, Social Security
number, grade, job title, testimony of witnesses, material placed into
the record to support the decision, the arbitrator's decision, the
arbitrator's report, and a record of an appeal to the Federal Labor
Relations Authority.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7101.
PURPOSE(S):
The information in this system is used to make determinations and
to document a decision made on a grievance filed by an employee under
the negotiated grievance procedures. Information from this system may
be used by Department officials for preparing statistical summary or
management reports.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the
[[Page 30128]]
Act, under a computer matching agreement.
(1) Agency Disclosure. The Department may disclose information from
this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
(8) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, The
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy and a list of individual names
is maintained in electronic media.
RETRIEVABILTY:
Records are retrievable by file number which are cross-referenced
by individual names.
SAFEGUARDS:
When not in use by authorized persons, these records are stored in
metal file cabinets stored within the secured suite of the Labor
Relations Group. Access to and use of these records are limited to
personnel who have a need for the records in the performance of their
duties.
RETENTION AND DISPOSAL:
Records are destroyed 5 years after final resolution of case.
SYSTEM MANAGER(s) AND ADDRESS:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Ave., SW., Room 2C136,
Washington, DC 20202-4754.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management
[[Page 30129]]
component and/or individual against whom the grievance was filed. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained directly from
information supplied by the individual; testimony of witnesses, union
officials, or by Department officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-07
SYSTEM NAME:
Unfair Labor Practice Records.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on present and past Department
employees and union officials.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of a variety of records relating to
an unfair labor practice charge including the employee's name, Social
Security number, grade, job title, employment history and a variety of
work and personnel records associated with the charges and required
under proceedings established by 5 U.S.C. 7101 and Department of Labor
Regulations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7101.
PURPOSES:
The information in this system is used in the processing,
investigation and litigation of unfair labor practice charges that may
be filed by the AFGE Council 252, any of the AFGE Local offices located
at Department Headquarters and each of 10 regional offices and by
bargaining unit employees of the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Agency Disclosure. The Department may disclose information from
this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
1(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy and a list of individual names
are kept on electronic media.
RETRIEVABILITY:
Records are retrievable by file number which are cross-referenced
by individual names.
SAFEGUARDS:
When not in use by authorized persons, these records are stored in
metal file cabinets stored within the secured suite of the Labor
Relations Group. Access to and use of these records are limited to
personnel who have a need for the records in the performance of
official duties.
[[Page 30130]]
RETENTION AND DISPOSAL:
According to the Records Retention Schedule of the NARA, records
are maintained for 5 years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Labor Relations Group, U.S. Department of Education, 400
Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of record, the unfair labor practice charges as
specified by the complainant, and management component against which
the charge was filed. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATAGORIES:
Information in this system of records is:
(1) Supplied directly by the individual; or
(2) Derived from information supplied by the individual; or
(3) Supplied by testimony of witnesses; or
(4) Supplied by Department officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISISIONS OF THE ACT:
None.
18-05-08
SYSTEM NAME:
Official Time Records of Union Officials and Bargaining Unit
Employees at the Department of Education.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202-4754. See the
Appendix at the end of this system notice for additional system
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on current and former Department
professional and nonprofessional employees who are non-temporary, non-
schedule C, non-supervisory and non-managerial employees and union
officials who report use of official time as defined under the Federal
Service Labor-Management Relations Statute, 5 U.S.C. 7101.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of the individual employees'
Department Flexible Schedule Certification Form and the electronic
transcript of the number of hours attributable for each pay period into
an active accounting of total hours used by each individual employee to
be reported to authorized Executive Branch agencies and to the Congress
as requested.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
Federal Service Labor Management Relations Statute (FSLMRS), 5
U.S.C. 7101.
PURPOSES:
The information contained in this system is used to determine
compliance with the collective bargaining agreement between the U.S.
Department of Education and the American Federation of Government
Employees' Council of Education Locals, No. 252 under the FSLMRS and to
produce reports as may be required by the Congress.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATAGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Agency Disclosure. The Department may disclose information from
this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department
[[Page 30131]]
determines that disclosure of certain records to a party, counsel,
representative or witness in an administrative proceeding is relevant
and necessary to the litigation, the Department may disclose those
records as a routine use to the party, counsel, representative or
witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEMS:
STORAGE:
Records are maintained in hard copy and electronic media after
transcription from hard copy.
RETRIEVABILITY:
Records are retrievable by name.
SAFEGUARDS:
Records are stored in electronic databases stored in secured rooms
with access limited to those whose official duties require access.
RETENTION AND DISPOSAL:
According to the National Archives and Records Administration's
General Records Schedules, records are maintained for 5 years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2C136,
Washington, DC 20202-4754.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management component or individual
or both against whom the grievance was filed. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is:
(1) Supplied directly by the individual, or
(2) Supplied by union officials, or
(3) Supplied by Department officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-05-08
Additional system Locations
Employee Relations Team, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E233, Washington, DC
20202-4737.
Informal Dispute Resolution Center, Office of Hearings and Appeals,
U.S. Department of Education, L'Enfant Plaza, Room 2100A,
Washington, DC 20202.
Regional Personnel Office, U.S. Department of Education, O'Neill
Federal Building, 10 Causeway Street, Room 1095, Boston, MA 02222.
Regional Personnel Office, U.S. Department of Education, 75 Park
Place, 12th Floor, New York, NY 10007.
Regional Personnel Office, U.S. Department of Education, Wanamaker
Building, 100 Penn Square East, Suite 503, Philadelphia, PA 10107.
Regional Personnel Office, U.S. Department of Education, 61 Forsyth
Street, SW, Suite 8T55, Atlanta, GA 30303.
Regional Personnel Office, U.S. Department of Education, 111 N.
Canal Street, Room 1084, Chicago, IL 60606.
Regional Personnel Office, U.S. Department of Education, 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.
Regional Personnel Office, U.S. Department of Education, 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.
Regional Personnel Office, U.S. Department of Education, 1244 Speer
Boulevard, Room 353, Denver, CO 80204-3582.
Regional Personnel Office, U.S. Department of Education, 50 United
Nations Plaza, Room 207, San Francisco, CA 94102-4987.
Regional Personnel Office, U.S. Department of Education, 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.
18-05-09
SYSTEM NAME:
Voluntary Leave Transfer (VLT) Program.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on Department of Education employees
seeking voluntary donations of annual leave from other federal
employees in order to cover leave shortfalls brought about by
documented medical emergencies.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of written applications of employees seeking
assistance from the program, medical statements certifying need, agency
approvals or denials, leave donation records, leave transfer records,
supervisor/timekeeper approvals, payroll notification records, leave
program termination records, and other related documents. Most of these
records contain individual Social Security numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Pub. L. 100-566; 5 CFR 630.913.1.
PURPOSE(S):
The information contained in this system is used for the purposes
of determining program eligibility and for documenting voluntary
transfers of leave to program recipients.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program Disclosures. The Department may disclose records to (1)
the Office for Personnel Management in order to respond to requests for
information or other official inquiries;
[[Page 30132]]
and (2) the staff of the Department of Interior responsible for
preparation of payroll documents,
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to the Department decision concerning
the hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
DISCLOSURE TO CONSUMER PROTECTION AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored in file folders in a manual filing system.
RETRIEVABILITY:
Records are retrievable by name of program recipient.
SAFEGUARDS:
Access to and use of these records are limited to personnel whose
official duties require such access. Personnel screening is employed to
prevent unauthorized disclosure.
RETENTION AND DISPOSAL:
Records are retained for one year after the end of the year in
which the file is closed and are then destroyed.
SYSTEM MANAGER AND ADDRESS:
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management component and/or
individual against whom the grievance was filed. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system
[[Page 30133]]
manager at the above address. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is provided by the individual
to whom it applies, is derived from information he or she supplied or
is obtained from information supplied by others.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THIS ACT:
None.
18-05-10
SYSTEM NAME:
General Performance Appraisal System (GPAS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E300, Washington, DC 20202-
4737. See the Appendix at the end of this system notice for additional
system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The U.S. Department of Education (Department), General Performance
Appraisal System (GPAS) contains the performance appraisal of all
Department employees in General Schedule (GS), General Merit (GM),
Administratively Determined (AD), and prevailing rate plans.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Department GPAS software holds two categories of data on
employees participating in Department's performance appraisal process.
These records include:
(1) Personnel data, such as name, social security number,
organizational entity, supervisor, position title, series and grade;
and
(2) Performance appraisal data: GPAS Employee Performance
Agreement, evaluation standards, list of evaluators, scores and
comments.
Hard copies of an employee's GPAS Employee Performance Agreement,
Rating of Record, and any required comments are maintained in an
Employee Performance File (EPF). These files are located in cabinets in
a locked secure room with Department employees' Official Personnel
Folders.
Hard copies of the ``Summary Evaluation and Comments Reports'', are
generated by the GPAS System/Group Administrator. These reports are
treated with utmost confidentiality. They are provided to the
employee's supervisor and shared with the employee, approving official
and with other appropriate management employees on a ``need-to-know''
basis. The GPAS System/Group Administrator retains a hard copy of the
Summary and Comments Reports for each employee for one year.
The GPAS System/Group Administrator maintains hard copies of the
feedback and comments reports for one year.
Hard copies of the GPAS Employee Performance Agreement, Rating of
Record, and any required comments are maintained in the employee's
Employee Performance File for four years.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 43; Title 5, Code of Federal Regulations (CFR), part 430,
Performance Management, subparts A and B.
PURPOSE(S):
The information in this system is used to generate feedback reports
on employees which are taken into consideration when the employee's
supervisor provides the summary rating incorporated in the ``Rating of
Record,'' which is the official rating document placed in an employee's
Employee Performance File (EPF).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purpose for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under
a computer matching agreement.
(1) Employment-Related Disclosures. The Department may disclose
records to Department supervisors and other management personnel on a
``need-to-know'' basis. The records may be used as a basis for, or in
conjunction with, Reduction-in-Force, performance-based actions,
within-grade actions, adverse actions, decisions regarding retention of
employees during probationary period, recognition, promotions,
reassignments and other appropriate personnel actions. When the
Official Personnel Folder (OPF) and EPF of a GPAS employee are sent to
another agency or to the National Personnel Records Center, the
Servicing Personnel Office shall include all Ratings of Record that are
four years old or less, any required comments, and the associated GPAS
Employee Performance Agreements in the EPF.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecute responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c) and (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
[[Page 30134]]
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to an
arbitrator or another agency of the Federal Government if the record is
relevant to one of the following proceedings regarding a present or
former employee of the Department: complaint, grievance, discipline or
competence determination proceedings. The disclosure may only be made
during the course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURES TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Department GPAS electronic records reside on a single dedicated
computer that is housed in a secure area. The GPAS System Administrator
retains for one year a hard copy of each employee's ``Summary Appraisal
Report,'' ``Summary Evaluation Report,'' and any Comments Reports.
These are housed in locked file cabinets in the GPAS unit at the
Department. Hard copies of Ratings of Records, GPAS Employee
Performance Agreements and any related required comments are stored in
an employee's EPF in a locked room.
RETRIEVABILITY:
The GPAS records may be retrieved by an employee's name or social
security number.
SAFEGUARDS:
All physical records are maintained in locked file cabinets.
Employees have access to the GPAS software at their workstations,
controlled by passwords that the employees designate. If individuals
walk into employees' work area while employees are using the GPAS
software, the software includes a Hide key so that the evaluations will
not be compromised. System and group administrators maintain the GPAS
software. These individuals are the only individuals who have access to
the entire database. They do not have employees' passwords, but have
the ability to change the passwords upon request.
The database is protected by stringent security mechanisms that
include a combination of hardware, operating system, application
software, database software, and procedures. All physical access to the
Department site, and the sites of Department contractors where this
system of records are maintained, is controlled and monitored by
security personnel who check each individual entering the building for
his or her employee or visitor badge.
[[Page 30135]]
RETENTION AND DISPOSAL:
An employee's records remain in the GPAS database until employment
with the Department is terminated. Some data is housed temporarily in
the GPAS database during each of the Department's annual and midpoint
reviews or surveys during which new data is entered directly into the
GPAS system by the employee and their evaluation team members and
accumulates over the course of the review process. An employee's GPAS
Employee Performance Agreement, which identifies their performance
elements and standards, and the ``Rating of Record,'' Department's
official performance review document, are kept in the employee's EPF
for four years. If the employee leaves the Department prior to the end
of the 4 years, the GPAS records are forwarded to either the National
Personnel Records Center or the agency to which the employee
transferred.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., FB-6, Room 2E300,
Washington, DC 20202-4737. See the Appendix at the end of this system
notice for additional system managers.
NOTIFICATION PROCEDURE:
If an employee wishes to determine whether a record exists
regarding them in the system of records, the employee should provide
the system manager with his name (including all names used) and social
security number. The request must meet the requirements of the
regulations at Title 5, Code of Federal Regulations, part 34 Sec. 5b.5,
including proof of identity. The employee may present a request in
person at any of the locations identified for this system of records or
address it to the appropriate system manager.
RECORD ACCESS PROCEDURES:
If you wish to gain access to the records regarding you in this
system of records, you should contact the system manager at the above
address. Your request must meet the regulations at 34 CFR 5b.5,
including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record, you should contact
the system manager at the above address. Your request must meet the
regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system comes from the Department's
integrated personnel/payroll system, the employees, supervisors, and
evaluation team members.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-05-10
Additional System Locations and System Managers
Regional Personnel Officer, Human Resources Group, U.S. Department
of Education, 61 Forsyth Street, SW., Suite 18T55, Atlanta, GA
30303.
Regional Personnel Officer, Human Resources Group, U.S. Department
of Education, 111 N. Canal Street, Room 1084, Chicago, IL 60606.
Regional Personnel Officer, Human Resources Group, U.S. Department
of Education, 50 United Nations Plaza, Room 207, San Francisco, CA
94102-4987.
18-05-11
SYSTEM NAME:
Training Registration and Information System (TRAINS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Training and Development Center, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2W210,
Washington, DC 20202. See Appendix at the end of this system notice for
additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
TRAINS contains records of employees who register to attend
training classes within the Department or who request training with an
outside vendor for which approval and payment is required.
CATEGORIES OF RECORDS IN THE SYSTEM:
TRAINS consists of records relating to an employee's applications
for, and participation in, Department training classes (internal
training) and training courses, conferences, or other training-related
activities offered by vendors or government agencies outside the
Department (external training). In addition to the employee's name, the
system contains the employee's Social Security Account Number, position
level, pay plan, grade, series, organization in which employed,
building/room/telephone number, service completion date, supervisor's
name, training requests, record of whether the employee attended or did
not attend the internal class, and record of approval by principal
office and cost of the external training, conference or training-
related activity. For internal training use, TRAINS has tables of
course names and categories required to set up internal training
classes and report the statistics on training offerings (numbers of
attendees for specific courses during specific date parameters, for
example). TRAINS also contains tables of users' identification
information, building addresses, room locations, and vendor names and
addresses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 4103 (1994).
PURPOSE(S):
TRAINS is used for the following purposes: (1) To track course
enrollments; (2) provide course rosters; (3) to produce attendance
records for employees who attend internal training classes; (4) to
produce reports on individual employees' training activities; (5) to
produce reports on training activities conducted by individual
organizations within the Department; and (6) by employees to request
approval to attend training activities conducted outside the
Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this notice without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency,
[[Page 30136]]
whether foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained on a networked computer server with
backup procedures standard to all Department servers. Individual
offices may maintain a hard copy of the training requests. Since
entries are made and stored electronically, any hard copy records are
kept following the procedures and/or requirements of the individual
principal office. The Training and Development Center maintains hard
copies of data such as signed class rosters only until the TRAINS
database is updated.
RETRIEVABILITY:
The system is indexed by Social Security number. The Training and
Development Center staff, designated
[[Page 30137]]
employees, and contractors who support the staff can access data in the
system by employee name. Data for reports are retrievable by
information from tables such as organization code and identifying codes
for course names.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge. The computer system employed by the Department of
Education offers a high degree of resistance to tampering and
circumvention. This security system limits data access to Department of
Education and contract staff on a ``need-to-know'' basis, and controls
individual users' ability to access and alter records within the
system. All users of this system of records are given a unique user ID
with personal identifiers. At a program/server level all interactions
by individual users with the system are recorded. Utilities within the
program can identify users' last logon and record changes made in
registrations. There are four categories of individuals who have some
access to this system: training coordinators, executive officers, TDC
staff and designated employees and contractors who support TDC
activities and system administrators.
RETENTION AND DISPOSAL:
Records of individuals are in the system indefinitely. Employees
whose names are no longer in the personnel database are marked for
archiving within the system. A utility is available to reactivate the
records of an employee who returns to the Department.
SYSTEM MANAGER(s) AND ADDRESS:
Training and Development Group Director, Training and Development
Center, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W210, Washington, DC 20202-4614.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the training coordinator for your
principal office and provide the training coordinator with your name
and social security number. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity. You may
also present your request in person at any of the locations identified
for this system of records which include your specific organization or
address your request to the system manager at the address listed above.
RECORD ACCESS PROCEDURES:
You may request a copy of your student transcript from TRAINS
through the training coordinator for that organization. Managers may
request reports that may include the names of employees in that
organization from the training coordinator or principal office for that
organization. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the information in this system pertaining to
you, you should contact the system manager at the above address. You
will need to provide specific information concerning any errors or
omissions. It should be noted that not all employee training is entered
into TRAINS and therefore cannot be tracked on the student transcript.
Questions about external training for which there is no record must be
addressed to the appropriate principal office.
RECORD SOURCE CATEGORIES:
The employee database is a subset of information from the
Department's employee payroll database. This provides the employee
Social Security number, name, grade, job series, and service completion
date. Locator information (building/room/phone number) is updated
manually from employee-provided information. Supervisor's name is
updated manually from employee-provided information. All information
regarding external training requests are provided by the employee
requesting the training.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-05-11
Additional System Locations
Capital Place, 555 New Jersey Avenue, NW., Washington, DC 20208.
Mary E. Switzer Building, 330 C Street, SW., Washington, DC 20202.
L'Enfant Plaza, 2100 Corridor, Washington, DC 20202.
ROB-3, 7th and D Streets, SW., Washington, DC 20202.
Portals Building, 1250 Maryland Avenue, SW., Washington, DC 20202.
Region I, McCormack Post Office & Courthouse, Boston, MA 02109.
Region II, 75 Park Place, New York, NY 10007.
Region III, The Wanamaker Building, 100 Penn Square East, Room 502,
Philadelphia, PA 19107.
Region IV, 61 Forsyth Street, SW, Atlanta, GA 30303.
Region V, 111 North Canal Street, Chicago, IL 60606.
Region VI, 1999 Bryan Street, Dallas, TX 75201.
Region VII, 10220 North Executive Hills Blvd., Kansas City, MO
64153.
Region VII, 7505 Tiffany Springs Parkway, Kansas City, MO 64153.
Region VIII, 1244 Speer Boulevard, Denver, CO 80204.
Region VIII, 1391 N. Speer Boulevard, Denver, CO 80204.
Region IX, 50 United Nations Plaza, San Francisco, CA 94102.
Region X, 915 Second Avenue, Seattle, WA 98174.
Region X, 1000 Second Avenue, Seattle, WA 98174.
18-05-12
SYSTEM NAME:
Grievances Filed Informally Through the Informal Dispute Resolution
Center (IDR Center).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Informal Dispute Resolution Center, Office of Hearings and Appeals,
Office of Management, U.S. Department of Education, L'Enfant Plaza,
Room 2100 A, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on non-bargaining unit employees of
the Department regardless of type of appointment, who individually or
as a group, request personal relief in a matter of concern or
dissatisfaction which is subject to the control of Department
management. This includes former employees of the Department for whom a
remedy can be provided, as well as applicants.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of IDR Center files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302.
PURPOSE(S):
The information contained in this system is to consider and settle
matters of dissatisfaction or concern of covered individuals.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the
[[Page 30138]]
consent of the individual if the disclosure is compatible with the
purposes for which the record was collected. These disclosures may be
made on a case-by-case basis or, if the Department has complied with
the computer matching requirements of the Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The
[[Page 30139]]
Department may disclose records to OMB as necessary to fulfill CRA
requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy. Summary data of records are
also maintained in a computerized tracking system.
RETRIEVABILITY:
IDR Center records are indexed by docket number.
SAFEGUARDS:
Access to and use of these records are limited to those persons
with a ``need-to-know'' and whose official duties require such access.
Personnel screening is employed to prevent unauthorized disclosure.
Computers are password protected for individuals with access. All data
bases are designed with stringent security measures to control
individual users' ability to access and alter records within the
system.
RETENTION AND DISPOSAL:
The IDR Center records are retained for 4 years after resolution of
the case, as set forth in the General Records Schedule 1, Civilian
Personnel Records, Item 25(a), 30(a).
SYSTEM MANAGER(s) AND ADDRESS:
Director, Informal Dispute Resolution Center, U.S. Department of
Education, 400 Maryland Avenue, SW., Suite 2100 A, L'Enfant Plaza,
Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Act regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
RECORD SOURCE CATEGORIES:
Information in this system of records is supplied from the
following sources: Directly by the individual filing the grievance,
from information supplied by the individual, by testimony of witnesses,
employee representatives and/or Department employees/officials.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-06-01
SYSTEM NAME:
Federal Advisory Committee Membership Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Committee Management, Office of Intergovernmental and Interagency
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room
5E330, Washington, DC 20202-3571.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been or are presently members of or are being
considered for membership on advisory committees or other committees
within the jurisdiction of the Department of Education.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system consists of one or more of the following:
Name, title, sex, place and date of birth, home address, business
address, organizational affiliation, phone numbers, fax numbers, e-mail
addresses, degrees held, general educational background, ethnic
background, resume, curriculum vitae, dates of term on advisory
committee, status on advisory committee, reason for leaving advisory
committee, previous or current membership on other advisory committee,
special qualifications of the individual for the advisory committee or
other membership, source who recommended the individual for membership
on advisory and miscellaneous correspondence. Additionally, memoranda
justifying the individual's selection are included in the file in cases
in which the individual has served repetitively on advisory committees,
has not had a one-year break in service on advisory, or where various
statutory or other requirements for advisory committee membership
cannot be met.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Advisory Committee Act, as amended, (U.S.C.A. Appendix 2).
PURPOSE(S):
The information in this system is used to evaluate and select
individuals for membership on advisory committees or other committees
within the jurisdiction of the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Reporting Disclosures. The Department may disclose a record to
the President, the Office of Management and Budget, the General
Services Administration or to the General Accounting Office in order to
complete its reporting requirements under 41 CFR part 101-6.
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant
[[Page 30140]]
and necessary to litigation or ADR, the Department may disclose those
records as a routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard-copy filed in file cabinets and/or
index cards.
RETRIEVABILITY:
For the most part records are maintained in an alphabetical index
by name of the committees. Records from the system are available to the
staffs of the respective Advisory Committees and other Department staff
on a ``need-to-know'' basis. Uses include special administrative
reports; quarterly alphabetical listings of past, present and
recommended members of Advisory Committees; and other administrative
needs.
SAFEGUARDS:
Direct access to records is restricted to authorized personnel
through locked files, rooms, and buildings, as well as building pass
and security guard sign-in systems.
RETENTION AND DISPOSAL:
Retention is variable from one year to permanent retention
depending upon the type of record, e.g., names of former members of
advisory committees are retained permanently. Certain records are
disposed of by referral to the Federal Records Center. Others are
disposed of as trash by the system manager or office of security
depending upon the confidentiality of the information contained on the
record.
SYSTEM MANAGER(S) AND ADDRESS:
Committee Management Officer, Office of Intergovernmental and
Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 5E330, Washington, DC 20202-3571.
NOTIFICATION PROCEDURE:
Same as above.
RECORD ACCESS PROCEDURES:
Same as notification procedures. Requestors should also reasonable
specify the record contents, being sought. These access procedures are
in accordance with Department Regulations (34 CFR 5b.5(a)(2)).
CONTESTING RECORD PROCEDURES:
Contact the official at the address specified under notification
procedures, and reasonably identify the record and specify the
information to be contested. (These procedures are in accordance with
Department Regulations (34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The vast majority of information contained in records on
individuals is obtained directly from the individual. Other information
in the form of references and recommendations is obtained from other
private individuals, program personnel, biographical reference books,
private organizations, former employees, regional office of the
Department, Members of Congress, and other government sources.
Additionally the system of records contains information about
members of the public who have requested that they receive various
publications through the inclusion of their names and addresses on
various mailing lists.
Information maintained on those individuals who have requested
participation on mailing lists is limited to name and mailing address,
information maintained on individuals who are past, present, or
recommended
18-06-02
SYSTEM NAME:
Telephone Directory/Locator System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Information Resource Center, Intergovernmental and Interagency
Affairs, U.S. Department of Education, Room 5E233, 400 Maryland Avenue,
SW., Washington, DC 20202-0498.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on current employees of the
Department, vendors or other Federal employees located in Department
operating offices and facility complexes.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains records such as first and last names, titles,
agency office addresses, program and principal office agency mailing
addresses, telephone numbers, fax numbers, e-mail addresses, and
standard administrative codes for departmental employees and other
individuals with access rights to the Department's Intranet. Names,
phone numbers, principal and program offices, office addresses
(building name, address, room number, region), and e-mail addresses are
available via the Department's website.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 40 U.S.C. 486(c).
PURPOSE(S):
Records are used to develop and maintain current employee locator
and directory listings. The locator listings are used by the Department
information centers, employees, mail rooms, and others specifically for
the purpose of locating employees and for routing mail. The directory
listings are used to produce departmental telephone directories on an
as needed basis.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
[[Page 30141]]
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:
Records are stored on hard drives, computer printouts, and in hard
copy.
RETRIEVABILITY:
Records are retrievable by first and last name, principal office
name, telephone number, and a keyword search field.
SAFEGUARDS:
Only authorized personnel have access to master lists and the
ability to make permanent changes.
RETENTION AND DISPOSAL:
Data is edited by each employee online in real time. Therefore data
can change or be deleted each day. Once the employee leaves the
Department, all data is deleted from the database as the database only
houses the most current Departmental employee location data.
SYSTEM MANAGER(S) AND ADDRESS:
Locator Administrator(s), Information Resource Center,
Intergovernmental and Interagency Affairs, U.S. Department of
Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC 20202-
0498.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record regarding you exists in
this system, contact the system manager at the address provided above.
Your request must meet the requirements of the regulations at 34 5b.5,
including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system,
contact the system manager. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you,
contact the system managers. Your request must meet the requirements of
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from individual employee,
the Information Resource Center and the Chief Information Office.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-07-01
SYSTEM NAME:
Congressional Members' Biographies System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Legislative Affairs Office, Office of the Assistant Secretary for
Legislation and Congressional Affairs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records about all members of Congress.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains biographical files on congressional members
consisting of the Member's name, title, state and district he or she
represents, date of appointment to Congress, date of birth, place of
birth, educational background, previous employment including political
offices, House or Senate committee assignments, political support
scores, how he or she voted on key education legislation, brief
personal background and education interests pertaining to the
Department of Education, names of universities and colleges located in
each House member's district, and a brief description of the district
or state in which the Member of Congress represents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 3412(e).
PURPOSE(S):
The information in this system is used by the Secretary of
Education and any departmental staff who need background information of
a Member of Congress while preparing for hearings and meetings.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purpose for which the record was
[[Page 30142]]
collected. The member's right to the information is no greater than the
right of the individual who requested it.
(1) Contact Disclosures. The Department may disclose records
contained in this system to individuals and entities (including
educational institutions) that the Department contacts while
formulating and enforcing education policies.
(2) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy individual files stored in
standard four-drawer file cabinets and also in electronic format on a
hard drive accessible by staff of the Office for Legislation and
Congressional Affairs.
RETRIEVABILITY:
Records are indexed alphabetically by last name.
SAFEGUARDS:
Files are maintained in the Office of Legislation and Congressional
Affairs and requests are honored on a ``need-to-know'' basis only. All
physical access to the Department of Education site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge.
The computer system employed by the Department of Education offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to Department of Education and
contract staff on a ``need-to-know'' basis, and controls individual
users' ability to access and alter records within the system. All users
of this system of records are given a unique user ID with personal
identifiers. All interactions by individual users with the system are
recorded.
RETENTION AND DISPOSAL:
Records are constantly updated as circumstances warrant relative to
the activities of Congress.
SYSTEM MANAGER(s) AND ADDRESS:
Office of Legislation and Congressional Affairs, Legislative
Affairs Office, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 7E301, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from Congressional Quarterly, Inc., The
Almanac of American Politics, Roll Call Newspapers, on-line biographies
and press releases of Members of Congress, and the Office of
Postsecondary Education at the U.S. Department of Education.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-07-02
SYSTEM NAME:
Congressional Grant Notification Control System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Congressional Outreach, Office of Legislation and Congressional
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room
7E301, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The Congressional Grant Notification Control System contains
records about members of Congress.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of direct inquiries and letters of support
concerning discretionary grants from Members of Congress.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE:
The information in this system is used to provide responses to
inquiries from Members of Congress regarding discretionary grant
notification.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records without the consent of
the individual if the disclosure is compatible with the purpose for
which the record was collected and only as needed to perform one or
more of the following routine uses:
(1) Inter-Agency Disclosure. Inquiries that do not pertain to the
Department, but fall under the jurisdiction of another Federal agency,
are transferred to that Agency with a request that a direct response be
provided to the correspondent.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution.
(a) In the event of litigation where one of the parties listed
below is involved in litigation or ADR, the Department may disclose
such records as it deems desirable or necessary to the Department of
Justice (DOJ) to enable DOJ to effectively represent such party,
provided such disclosure is compatible with the purpose for which the
records were collected.
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(iv) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine used to the DOJ.
[[Page 30143]]
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard copy filed in standard file
cabinets.
RETRIEVABILITY:
Records are indexed alphabetically by grant title.
SAFEGUARDS:
Records are kept in the responsible grant notification team
member's office. All physical access to the Department's site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department and contract staff on a ``need-to-
know'' basis, and controls individual users' ability to access and
alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. All interactions
by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Records are maintained for two years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Congressional Outreach, Office of Legislation and
Congressional Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E301, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager at the above address
with the name of the Member of Congress who corresponded with the
Department, the name of the referenced constituent, the grant title,
and the date of the correspondence. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identification.
RECORD ACCESS PROCEDURES:
Same as the Notification Procedure.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record pertaining to you,
contact the system manager at the address noted above, and reasonably
identify the record and specify the information to be contested. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system is provided by the correspondent and
by the agency that prepares the final response.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-08-01
SYSTEM NAME:
Case Information System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office for Civil Rights, U.S. Department of Education, Mary E.
Switzer Building, 330 C Street, SW., Room 5074, Washington, DC 20202.
See the Appendix at the end of this system notice for additional system
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals or groups of
individuals who have made civil rights complaints to the Office for
Civil Rights (OCR).
CATEGORIES OF RECORDS COVERED BY THE SYSTEM:
This system lists the names of cases, characteristics of individual
civil rights complaints, and critical events in the OCR's processing of
civil rights complaints.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et seq.;
Title IX of the Education Amendments of 1972, 20 U.S.C. 1681, et seq.;
sec. 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, et seq.; Age
Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; and Title II of
the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.
PURPOSE(S):
The Office for Civil Rights uses this system for the following
purposes:
(1) To report the status of individual complaints to OCR managers
and staff for tracking the progress of individual cases and provide
information used to prepare summaries of case processing activities;
and
(2) To report to Congress, other agencies, or to the public to
explain or document the work it has accomplished.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure to Congress, Other Agencies, or the Public. The
Department may disclose summary information derived from this system of
records to Congress, other agencies, and the public to describe the
kinds of work OCR has done, or to document the work it has
accomplished.
(2) Disclosure to Recipients of Federal Financial Assistance,
Witnesses, or Consultants. The Department may disclose information from
this system of records to recipients of federal financial assistance,
witnesses, or consultants when it determines that such release would
assist OCR in resolving a civil rights complaint or in obtaining
additional information or expert advice relevant to the investigation.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation of information that is relevant to any
[[Page 30144]]
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c), and (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department or one of its
components determines that disclosure of certain records to an
adjudicative body before which the Department or one of its components
is authorized to appear, an individual or entity designated by the
Department or otherwise empowered to resolve or mediate disputes is
relevant and necessary to the administrative litigation, the Department
may disclose those records as a routine use to the adjudicative body
individual, or entity.
(d) Parties, Counsels, Representatives, and Witnesses. If the
Department or one of its components determines that disclosure of
certain records to a party, counsel, representative or witness in an
administrative proceeding is relevant and necessary to the litigation,
the Department or its component may disclose those records as a routine
use to the party, counsel, representative or witness.
(6) Freedom of Information Act Advice Disclosure. The Department
may disclose records to the Department of Justice if the Department
determines that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under the FOIA.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(8) Congressional Member Disclosure. The Department may disclose
individual records to a member of Congress from the record of an
individual in response to an inquiry from the member made the written
request of that individual. The member's right to the information is no
greater than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are kept in magnetic media.
RETRIEVABILITY:
Records are indexed by case or complaint number, by the name or
address of a complainant, the name of the entity against which the
complaint was made, its subject matter, or by the stage to which
investigation or other case processing has proceeded.
SAFEGUARDS:
The system is maintained on personal computers located in OCR
offices. Information in the system is transmitted between its offices
on OCR's internal communication network. Access to OCR offices is
controlled, and available only to OCR staff and authorized visitors.
OCR staff authorized to access the system receive individual user
identification and passwords. The system additionally limits data
access by type of user and limits users' ability to alter records
within the system.
Similar records made before December, 1993 were entered in a
different format, no longer in use. These historic records are stored
on magnetic tape. A single employee assigned to OCR headquarters can
access them.
RETENTION AND DISPOSAL:
Records are retained indefinitely. Disposal is by electronic
erasure when no longer needed for Department use.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Assistant Secretary for Policy, Office for Civil Rights,
U.S. Department of Education, 400 Maryland Avenue SW., Room , Switzer
Building, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
indicated above. You must provide the name of the institution and
complainant to which the case pertains and the case number, if known.
Requests must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records pertaining to you, follow the
notification procedure described above. You must also reasonably
specify the record contents sought.
Request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest any records regarding you, contact the
official at the address specified under notification procedures,
reasonably identify the record and specify the information to be
contested. Requests to amend a record must meet the requirements of the
regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Records are derived from information in complaint investigation
files.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[[Page 30145]]
Appendix to 18-08-01
Additional System Locations
OCR, Boston Office, J.W. McCormack Post Office and Court House
Building, Room 222, Boston, MA 02109-4557.
OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007.
OCR, Philadelphia Office, 100 Penn Square East, Suite 515,
Philadelphia, PA 19107.
OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL
60606-7204.
OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East,
Suite 750, Cleveland, OH 44114-2611.
OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth
Street SW, Suite 19T70, Atlanta, GA 30303.
OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.
OCR, Kansas City Office, 10220 N. Executive Hills Boulevard, Kansas
City, MO 64153-1367.
OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite
300, Denver, CO 80204-3582.
OCR, San Francisco Office, Old Federal Building, 50 United Nations
Plaza, Room 239, San Francisco, CA 94102.
OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second
Avenue, Room 3310, Seattle, WA 98174-1099.
OCR, District of Columbia Office, PO Box 14620, Washington, DC
20004-4620.
18-08-02
SYSTEM NAME:
Complaint Files and Log.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office for Civil Rights, U.S. Department of Education, Mary E.
Switzer Building, 330 C Street, SW., Room 5074, Washington, DC 20202.
See the Appendix at the end of this system notice for additional system
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on individuals or groups of
individuals who have made civil rights complaints to the Office for
Civil Rights (OCR).
CATEGORIES OF RECORDS COVERED BY THE SYSTEM:
This system consists of records relating to complaints to the
Office for Civil Rights including:
(1) Names, addresses, and telephone numbers of complainants,
complaint allegations, results of investigations;
(2) Correspondence related to the complaint. The material may
include copies of correspondence sent by OCR to others, correspondence
received by OCR, records of telephone conversations, copies of e-mail
or other written communications;
(3) Investigator and attorney memoranda;
(4) Interview notes or transcriptions, and witness statements;
(5) Documents gathered during an investigation, including
photographs of persons or things, portions of a recipient institution's
records, and a complainant's or other individuals' scholastic, medical,
or employment records; and
(6) Charts, prepared exhibits, or other analytical materials
prepared by OCR staff or by consultants retained by OCR.
AUTHORITY FOR MAINTENACE OF THE SYSTEM:
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et seq.;
Title IX of the Education Amendments of 1972, 20 U.S.C. 1681, et seq.;
sec. 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, et seq.; Age
Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; and Title II of
the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.
PURPOSE(S):
The Office for Civil Rights uses this system for the following
purposes:
(1) To determine and to document whether there was discrimination
against the complainant or others;
(2) To record the steps taken to resolve a case;
(3) To store materials gathered, developed, or received during the
processing of a case; and
(4) To document the steps taken to resolve a case.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure to Congress, other Agencies, or the Public. The
Department may disclose summary information derived from this system of
records to Congress, other agencies, and the public to describe the
kinds of work OCR has done, or to document the work it has
accomplished.
(2) Disclosure to Recipients of Federal Financial Assistance,
Witnesses, or Consultants. The Department will release information
contained in this system of records to recipients of federal financial
assistance, witnesses, or consultants when it determines that such
release would assist OCR in resolving a civil rights complaint or in
obtaining additional information or expert advice relevant to the
investigation.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation of information that is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c), and (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
[[Page 30146]]
(c) Administrative Disclosures. If the Department or one of its
components determines that disclosure of certain records to an
adjudicative body before which the Department or one of its components
is authorized to appear, an individual or entity designated by the
Department or otherwise empowered to resolve or mediate disputes is
relevant and necessary to the administrative litigation, the Department
may disclose those records as a routine use to the adjudicative body
individual, or entity.
(d) Parties, counsels, representatives, and witnesses. If the
Department or one of its components determines that disclosure of
certain records to a party, counsel, representative or witness in an
administrative proceeding is relevant and necessary to the litigation,
the Department or its component may disclose those records as a routine
use to the party, counsel, representative or witness.
(6) Freedom of Information Act Advice Disclosure. The Department
may disclose records to the Department of Justice if the Department
determines that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under the FOIA.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(8) Congressional Member Disclosure. The Department may disclose
individual records to a member of Congress from the record of an
individual in response to an inquiry from the member made the written
request of that individual. The member's right to the information is no
greater than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records in this system are contained in file folders.
RETRIEVABILITY:
The records in this system are indexed by and retrievable by the
name of the case or the complaint number.
SAFEGUARDS:
OCR keeps case files in lockable cabinets located in lockable
storage rooms. Access to offices in which storage rooms are located is
restricted to OCR staff and authorized visitors.
RETENTION AND DISPOSAL:
Pursuant to the Department's Record Disposition Schedules, files at
the Headquarters Office will be transferred to the Federal Records
Center (FRC) after the case has been inactive for five years. Files at
the regional offices are transferred to the FRC after the file has been
inactive for two years. All files are destroyed fifteen years after the
end of the fiscal year in which the case is resolved.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Assistant Secretary for Civil Rights, U.S. Department of
Education, 400 Maryland Avenue, SW., Room , Switzer Building,
Washington, DC 20202.
RECORD SOURCE CATEGORIES:
Records are derived from information in complaint investigation
files.
NOTIFICATION PROCEDURES:
This system is exempted from 5 U.S.C. 552a (e)(4)(G) pursuant to 34
CFR 5b.11(c)(2)(iii).
RECORD ACCESS PROCEDURES:
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34
CFR 5b.11(c)(2)(iii).
CONTESTING RECORD PROCEDURES:
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34
CFR 5b.11(c)(2)(iii).
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Secretary has by regulations exempted the Complaint Files and
Log, Office for Civil Rights from the following provisions of the
Privacy Act pursuant to 5 U.S.C. 552(k)(2) (civil enforcement):
(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.
(2) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification
of and access to records and correction or amendment of records.
(3) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only
relevant and necessary information.
(4) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records. These exemptions are stated
in 34 CFR 5b.11. As indicated in 34 CFR 5b.11(c)(2), individuals will
be provided information from this record system except when in
accordance with the provisions of 5 U.S.C. 552a(k)(2), unless:
(1) Disclosure of such information would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence, or
(2) If the information was obtained prior to September 28, 1975,
disclosure of such information would reveal the identity of the source
under an implied promise that the identity of the source would be held
in confidence.
Appendix to 18-08-02
Additional System Locations and System Managers
OCR, Boston Office, J.W. McCormack Post Office and Court House
Building, Room 222, Boston, MA 02109-4557.
OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007.
OCR, Philadelphia Office, 100 Penn Square East, Suite 515,
Philadelphia, PA 19107.
OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL
60606-7204.
OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East,
Suite 750, Cleveland, OH 44114-2611.
OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth
Street SW, Suite 19T70, Atlanta, GA 30303.
OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.
OCR, Kansas City Office, 10220 N. Executive Hills Boulevard, Kansas
City, MO 64153-1367.
OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite
300, Denver, CO 80204-3582.
OCR, San Francisco Office, Old Federal Building, 50 United Nations
Plaza, Room 239, San Francisco, CA 94102.
OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second
Avenue, Room 3310, Seattle, WA 98174-1099.
OCR, District of Columbia Office, PO Box 14620, Washington, DC
20004-4620.
18-09-01
SYSTEM NAME:
Administrative Claims.
SECURITY CLASSIFICATION:
None.
[[Page 30147]]
SYSTEM LOCATION:
Office of General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, Room 6E301, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records about Department employees, recipients
of Federal assistance under Department funded programs, and members of
the public who have a claim against the Department or against whom the
Department has a claim under the Federal Torts Claims Act, Military
Personnel and Civilian Employees Claims Act, Federal Claims Collection
Act or Act for Waiver of Overpayment of Pay.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains information that is pertinent to the
particular claim being asserted, including accident reports, hospital
records, charges for medical service; certifications of overpayments,
audits of payroll accounts during period of overpayments, earning and
leave statements; claims officers memorandum, final determinations made
on claims, identity of debtors and information pertaining to how debts
arose.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Torts Claims Act (28 U.S.C. 2671-2680, 1346(b); Waiver of
Overpayment of Pay Act (5 U.S.C. 5584; Military Personnel and Civilian
Employees Claims Act, 31 U.S.C. 240 et seq.; Federal Claims Collection
Act, 31 U.S.C. 951-953.
PURPOSE(S):
The information in this system is used to adjudicate claims between
the U.S. and private parties.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program Disclosure. The Department may disclose information to
Federal, State, and local law enforcement agencies, private
individuals, private and public hospitals, allegedly negligent parties,
private attorneys, insurance companies, the United States Attorney and
other Federal officials and agencies, individual law enforcement
officers, and tribal officials for the purpose of investigating,
settling, or litigating claims.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
the Department or otherwise empowered to resolve or mediate disputes is
relevant and necessary to the administrative litigation, the Department
may disclose those records as a routine use to the adjudicative body,
individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(6) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(7) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the
[[Page 30148]]
written request of that individual. The member's right to the
information is no greater than the right of the individual who
requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in legal size files in filing cabinets.
RETRIEVABILITY:
Records can be retrieved by the name of the non-Government party,
whether claimant, plaintiff, or alleged debtor. In some instances,
these records are retrievable by cross reference to index cards,
containing name of the party involved and the subject matter.
SAFEGUARDS:
Office buildings in which files are kept are locked after the close
of the business day. These files are only accessible to General Counsel
staff.
RETENTION AND DISPOSAL:
The records are maintained in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
The General Counsel, Office of the General Counsel, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC
20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system comes from a number of sources
including private individuals, private and public hospitals, doctors,
law enforcement agencies and officials, private attorneys, accident
reports, third parties, claimants for beneficiaries and their
relatives, other Federal agencies, State and local governments,
agencies and instrumentalities.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-09-02
SYSTEM NAME:
OGC Attorney Applicant Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on current Attorney Applicants for
positions in the Office of the General Counsel.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Attorney Applicant system consists of a variety of records
relating to persons applying for attorney positions. These records
contain information about an individual's birth date; home address;
telephone number; Social Security number; educational background (e.g.,
law schools attended and grades); past work experience; writing samples
furnished on request; recommendations from past employers and academic
officials.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 3301 et seq.
PURPOSE(S):
The information in this system is used to evaluate the
qualifications of those individuals who apply for attorney positions in
the Office of the General Counsel.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
[[Page 30149]]
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in file folders, alphabetized by name,
and in some cases the records are separated by individual law school
affiliation and by the date the application is received. In some
instances records are located in lockable conserva-file cabinets and in
a locked secured room with access limited to those officials whose
duties require access. In other instances records are maintained in
file rooms or with other Office of General Counsel files.
RETRIEVABILITY:
These records are retrievable by name.
SAFEGUARDS:
Access is limited to those Department officials whose duties
require access.
RETENTION AND DISPOSAL:
These records are retained in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
The General Counsel, U.S. Department of Education, Office of the
General Counsel, 400 Maryland Avenue, SW., Room 6E301, Washington, DC
20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records comes from the individual to
whom it applies, law school officials and past employers.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-09-03
SYSTEM NAME:
Employee Conduct--Government Ethics.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Ethics Counsel Division, Office of the General Counsel, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 6E231,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information about current and past Department
employees who have requested or received advice or guidance in subject
matter areas relating to employee conduct.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains information relating to acceptance or offer of
gifts, entertainment and favors, outside employment; financial
interests; use of government funds, property or official information;
partisan political activity; or other matters relating to employee
conduct.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
18 U.S.C. 202, 203, 205, 207, 208, 209; Executive Order 11222; and
5 CFR parts 735, 104; 34 CFR Part 73.
PURPOSE(S):
The information in this system is used in providing advice or
guidance in subject matter areas relating to employee conduct.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. May
disclose information to any Federal, State, local, or foreign agency or
other public authority responsible for enforcing, investigating, or
prosecuting violations of administrative, civil, or criminal law or
regulation if that information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility within the
receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed
[[Page 30150]]
to provide or arrange for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are kept in legal size files in filing cabinets.
RETRIEVABILITY:
These records are retrievable by name in most cases. In some
instances, these records are retrievable by cross-reference to index
cards containing the name of the party involved and the subject matter.
SAFEGUARDS:
These records are only accessible to General Counsel staff. Office
buildings in which these records are maintained are locked after the
close of the business day.
RETENTION AND DISPOSAL:
The records are maintained for an indefinite duration.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant General Counsel, Ethics Counsel Division, Office of the
General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW,
Room 6E231, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department of Education's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-09-04
SYSTEM NAME:
Litigation Files, Administrative Complaints, and Adverse Personnel
Actions.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The individuals on whom records are maintained in this system are
individuals who are involved in litigation with the Department or the
United States (regarding matters within the jurisdiction of the
Department) either as plaintiffs or as defendants in both civil and
criminal matters, and individuals who either file administrative
complaints initiated by the Department, except claims which are the
subjects of records maintained in the Administrative Claims System.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain information pertaining to the subject matter
of the litigation, administrative complaint, or adverse personnel
action. Such records would include complaints, litigation reports,
administrative transcripts, various litigation documents, investigative
materials, correspondence, briefs, court orders and judgments, and in
cases where personal injury is involved, evaluations by physician
specialists.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The authority for maintaining this system are the various statutes,
regulations, rules or orders pertaining to the subject matter of the
litigation, administrative complaint or adverse personnel action,
(e.g., Civil Rights Act, Federal Torts Claim Act).
PURPOSE(S):
The information in this system is used for litigating civil cases,
criminal cases and administrative complaints to which the Department or
the United States is a party.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
[[Page 30151]]
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records consist of legal size files stored in file cabinets.
RETRIEVABILITY:
These records are retrievable by name of the plaintiff or the first
plaintiff if there is more than one, or by the name of the first
defendant if the plaintiff is the United States. In the case of adverse
personnel actions, records are retrievable by name of the individual
involved.
SAFEGUARDS:
Office buildings in which these records are maintained are locked
after the close of the business day. These records are only accessible
by General Counsel staff.
RETENTION AND DISPOSAL:
These records are maintained in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
The General Counsel, Office of the General Counsel, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC
20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information for this system is obtained through a number of
sources including the exchange of legal pleadings, documents, formal
and informal discovery, program offices and component agencies, private
attorneys, State and local governments, their agencies and
instrumentalities, and officers of other Federal agencies and the
individuals involved.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-10-01
SYSTEM NAME:
Investigative Files of the Inspector General.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Inspector General, U.S. Department of Education, 330 C
Street,
[[Page 30152]]
SW., Room 4004, Switzer Building, Washington, DC 20202-1500. See the
Appendix at the end of this system notice for additional system
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories include current and former Department of Education
employees and individuals who have any relationship to financial
assistance or other educational programs administered by the Department
of Education, or to management concerns of the Department, including
but not limited to: grantees, subgrantees, contractors, subcontractors,
program participants, recipients of Federal funds or federally insured
funds, and officers, employees or agents of institutional recipients or
program participants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigation files pertaining to violations of criminal laws,
fraud, waste, and abuse with respect to administration of Department
programs and operations, and violations of employee Standards of
Conduct as set out in 34 CFR part 73.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3)
and 5 U.S.C. 301.
PURPOSE(S):
Pursuant to the Inspector General Act, the system is maintained for
the purposes of: (1) Conducting and documenting investigations by the
OIG or other investigative agencies regarding Department of Education
programs and operations and reporting the results of investigations to
other Federal agencies, other public authorities or professional
organizations which have the authority to bring criminal prosecutions
or civil or administrative actions, or to impose other disciplinary
sanctions; (2) documenting the outcome of OIG investigations; (3)
maintaining a record of the activities which were the subject of
investigations; (4) reporting investigative findings to other
Department of Education components for their use in operating and
evaluating their programs or operations, and in the imposition of civil
or administrative sanctions; and (5) acting as a repository and source
for information necessary to fulfill the reporting requirements of the
Inspector General Act, 5 U.S.C. Appendix 3, 5.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected, under the following routine uses:
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information from this system of records as a
routine use to any Federal, State, local, or foreign agency or other
public authority responsible for enforcing, investigating, or
prosecuting violations of administrative, civil, or criminal law or
regulation where that information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility of the
receiving entity.
(2) Disclosure to Public and Private Entities to Obtain Information
Relevant to Department of Education Functions and Duties. The
Department may disclose information from this system of records as a
routine use to public or private sources to the extent necessary to
obtain information from those sources relevant to a Department
investigation, audit, inspection or other inquiry.
(3) Disclosure for Use in Employment, Employee Benefit, Security
Clearance, and Contracting Decisions.
(4) For Decisions by the Department. The Department may disclose
information from this system of records as a routine use to a Federal,
State, local, or foreign agency maintaining civil, criminal or other
relevant enforcement or other pertinent records, or to another public
authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance or
retention of a security clearance, the letting of a contract, or the
issuance or retention of a license, grant, or other benefit.
(5) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose information from this system
of records as a routine use to a Federal, State, local, or foreign
agency or other public authority or professional organization, in
connection with the hiring or retention of an employee or other
personnel action, the issuance or retention of a security clearance,
the reporting of an investigation of an employee, the letting of a
contract, or the issuance or retention of a license, grant or other
benefit.
(6) Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as Amended (``HEA''). The Department may
disclose information from this system of records as a routine use to
any accrediting agency which is or was recognized by the Secretary of
Education pursuant to the HEA; to any guaranty agency which is or was a
party to an agreement with the Secretary of Education pursuant to the
HEA; or to any agency which is or was charged with licensing or legally
authorizing the operation of any educational institution or school
which was eligible, is currently eligible, or may become eligible to
participate in any program of Federal student assistance authorized by
the HEA.
(7) Litigation Disclosure.
(a) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice is relevant and necessary to litigation and is compatible with
the purpose for which the records were collected, the Department may
disclose those records as a routine use to the Department of Justice.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in the
litigation:
(i) The Department, or any component of the Department;
(ii) Any employee of the Department in his or her official
capacity;
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice has agreed to represent the
employee; or
(iv) The United States, where the Department determines that the
litigation is likely to affect the Department or any of its components.
(8) Other Disclosure. If the Department determines that disclosure
of certain records to a court, adjudicative body before which the
Department is authorized to appear, individual or entity designated by
the Department or otherwise empowered to resolve disputes, counsel or
other representative, or potential witness is relevant and necessary to
litigation and is compatible with the purpose for which the records
were collected, the Department may disclose those records as a routine
use to the court, adjudicative body, individual or entity, counsel or
other representative, or witness. Such a disclosure may be made in the
event that one of the parties listed below is involved in the
litigation, or has an interest in the litigation:
(i) The Department, or any component of the Department;
(ii) Any employee of the Department in his or her official
capacity;
(iii) Any employee of the Department in his or her individual
capacity where the Department has agreed to represent the employee; or
[[Page 30153]]
(iv) The United States, where the Department determines that the
litigation is likely to affect the Department or any of its components.
(9) Disclosure to Contractors and Consultants. The Department may
disclose information from this system of records as a routine use to a
private firm with which the Department contemplates it will contract or
with which it has contracted for the purpose of performing any
functions or analyses that facilitate or are relevant to an OIG
investigation, audit, inspection, or other inquiry. Such contractor or
private firm shall be required to maintain Privacy Act safeguards with
respect to such information.
(10) Debarment and Suspension Disclosure. The Department may
disclose information from this system of records as a routine use to
another Federal agency considering suspension or debarment action where
the information is relevant to the suspension or debarment action.
(11) Disclosure to the Department of Justice. The Department may
disclose information from this system of records as a routine use to
the Department of Justice, to the extent necessary for obtaining its
advice on any matter relevant to Department of Education operations.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Computer Matching Disclosure. The Department may disclose
information from this system of records as a routine use to a Federal,
State, local, or foreign agency, or other public authority, for use in
computer matching programs to prevent and detect fraud and abuse in
benefit programs administered by any agency, to support civil and
criminal law enforcement activities of any agency and its components,
and to collect debts and overpayments owed to any agency and its
components.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained on index cards, investigative reports,
microcomputer disks, computer mainframe files and computer-printed
listings.
RETRIEVABILITY:
The records are retrieved by manual or computer search of
alphabetical indices or cross-indices. Indices list names of
individuals, companies and organizations.
SAFEGUARDS:
Written documents and computer disks are maintained in secure
rooms, in security-type safes or in bar-lock file cabinets with
manipulation-proof combination locks. Computer mainframe files are on-
line in guarded, combination-locked computer rooms.
RETENTION AND DISPOSAL:
Investigative files are retained and disposed of in accordance with
the Department's Records Disposition Schedules (ED/RDS, Part 16). The
ED/RDS may be obtained by writing to the System Manager at the address
below.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigation Services, Office of
the Inspector General, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4200, Switzer Building, Washington, DC 20202-1510.
NOTIFICATION PROCEDURE:
See ``system exempted,'' below. As provided in 34 CFR 5b.11(b)(2)
and (c)(1), the notification procedure is not applicable to criminal
investigative files except at the discretion of the Inspector General.
To the extent that this procedure may apply to criminal investigative
files, it is governed by 34 CFR 5b.5. The notification procedure is
applicable to non-criminal investigative files under the conditions
defined by 34 CFR 5b.11(c). Under those conditions it is governed by 34
CFR 5b.5.
RECORD ACCESS PROCEDURES:
See ``system exempted,'' below. As provided in 34 CFR 5b.11(b)(2)
and (c)(1), the record access procedure is not applicable to criminal
investigative files except at the discretion of the Inspector General.
To the extent that this procedure may apply to criminal investigative
files, it is governed by 34 CFR 5b.5. The record access procedure is
applicable to non-criminal investigative files under the conditions
defined by 34 CFR 5b.11(c). Under those conditions it is governed by 34
CFR 5b.5.
CONTESTING RECORD PROCEDURES:
Not applicable. See ``system exempted,'' below.
RECORD SOURCE CATEGORIES:
Departmental and other Federal, State and local government records;
interviews of witnesses; documents and other material furnished by non-
governmental sources. Sources may include confidential sources.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(j)(2), the Secretary has by regulation exempted the Investigative
Files of the Inspector General from the following subsections of the
Privacy Act:
5 U.S.C. 552a(c)(3)--access to accounting of disclosure;
5 U.S.C. 552a(d)(1)-(4) and (f)--procedures for notification of,
access to, and correction or amendment of records;
5 U.S.C. 552(e)(3)--notice to an individual who is required to
provide information to the Department;
5 U.S.C. 552a(e)(4)(G), (H)--inclusion of information on Department
procedures on notification of, access to, correction or amendment of
records, in the system of records notice.
These exemptions are stated in 34 CFR 5b.11.
Appendix to 18-10-01
Additional System Locations
Office of Inspector General, U.S. Department of Education, Room 512,
P.O. Box 2142, Boston, MA 02106.
Office of Inspector General, U.S. Department of Education, 75 Park
Place, 12th Floor, New York, NY 10007.
Office of Inspector General, U.S. Department of Education, The
Wanamaker Building, 100 Penn Square East, Suite 502, Philadelphia,
PA 19107.
Office of Inspector General, U.S. Department of Education, Atlanta
Federal Center, 61 Forsyth Street, Room 18T71, Atlanta, GA 30303.
Office of Inspector General, U.S. Department of Education, 111 N.
Canal Street, Suite 940, Chicago, IL 60606-7204.
Office of Inspector General, U.S. Department of Education, 1999
Bryan Street, Suite 2630, Dallas, TX 75201-6817.
Office of Inspector General, U.S. Department of Education, 2nd
Floor, 10220 North Executive Hills Blvd., Kansas City, MO 64153-
1367.
Office of Inspector General, U.S. Department of Education, 501 W.
Ocean Blvd. #1200, Long Beach, CA 90802.
18-10-02
SYSTEM NAME:
Investigatory Material Compiled for Personnel Security and
Suitability Purposes.
SECURITY CLASSIFICATION:
None.
[[Page 30154]]
SYSTEM LOCATION:
Security Program Staff, Office of Inspector General, U.S.
Department of Education, 600 Independence Avenue, SW., Washington, DC
20202-1510.
U.S. Office of Personnel Management, Investigations Group, P.O. Box
886, Washington, DC 20044-0886.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants seeking employment with the Department of Education
(Department), former and current employees of, and other persons and
entities doing business with, the Department.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain investigative information pertaining to
current and former Department employees, current and former contractor
personnel, and current employees of entities making offers to the
Department for purposes of doing business. This information regards
individuals' character, conduct, and loyalty to the United States as
relevant to their association with the Department. These records may,
as appropriate to the individual being investigated, include the
following types of information: (1) Documentation as to his or her
arrests and convictions for violations of the law. (2) Reporting as to
interviews held with the individual, his or her present and former
supervisors, co-workers, associates, neighbors, educators, etc. (3)
Correspondence relating to adjudication matters involving the
individual. (4) Reports of inquiries made of law enforcement agencies
for information about the individual contained in the agencies records.
(5) Information provided by organizations having association with the
individual, such as employers, educational institutions attended,
professional or fraternal or social organizations to which the
individual is or was a member, etc. (6) Reports of action following an
Office of Personnel Management (OPM) investigation or a Federal Bureau
of Investigation Section 8(d) full field investigation. (7) Other
information developed from the previous sources.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive Orders 10450, 10577, and 12968; as amended.
PURPOSE(S):
Records in this system are maintained to provide the Inspector
General and other responsible Department officials with information to
assist them in making individual personnel determinations concerning
suitability for Federal employment, security clearances, access to
classified information or restricted areas, and evaluations as to
suitability for performance under Federal contracts or other agreements
with the Federal Government. Incidental to this purpose, for those
investigations conducted by the OIG, these records may also be
disclosed to other Federal and non-Federal investigatory agencies to
protect the public or Federal interest, or both.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department may disclose information in a record in this system
of records without the consent of the individual if the disclosure is
compatible with the purpose for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching agreement.
(1) Program Purpose: To public or private sources to the extent
necessary to obtain information to be included in this system of
records.
(2) To officials and employees of a Federal, State, or local
governmental entity in response to its request in connection with the
issuance of security clearances or the conduct of security or
suitability investigations of individuals seeking employment,
licensure, other benefits, or to perform contractual services, or to
otherwise associate with the governmental entity.
(3) To a Federal, State, local, or foreign entity or other public
authority responsible for the investigation, prosecution, enforcement,
or implementation of a statute, rule, regulation, or order, when a
record on its face or in combination with any other information
indicates a violation or potential violation of law (whether civil,
criminal, or regulatory in nature) if that information is relevant to
any enforcement, regulatory, investigative, or prosecutive
responsibility of the receiving entity. It is OIG policy not to
disclose records under this routine use that pertain to those questions
for which the OIG has promised confidentiality under Standard Form 85P,
Questionnaire for Public Trust Positions.
(4) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(5) Litigation Disclosure. To parties pertaining to litigation
disclosure as follows:
(a) In the event that one of the following parties is involved in
litigation, or has an interest in litigation, the Department may
disclose certain records to the parties described in the following
paragraphs b, c, and d of this routine use under the conditions
specified in those paragraphs:
(i) The Department or any of its components.
(ii) Any Department employee in his or her official capacity.
(iii) Any employee of the Department in his or her official
capacity where the Department of Justice (Justice) has agreed to
provide or arrange for representation of the employee.
(iv) Any employee of the Department in his or her individual
capacity where the Department has agreed to represent the employee.
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the Department of Justice (DOJ). If the
Department determines that disclosure of certain records to the DOJ or
attorneys engaged by DOJ is relevant and necessary to litigation and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to DOJ.
(c) If the Department determines that disclosure of certain records
to an adjudicative body before which the Department is authorized to
appear, individual, or entity designated by the Department or otherwise
empowered to resolve disputes is relevant and necessary to the
administrative litigation and is compatible with the purpose for which
the records were collected, the Department may disclose those records
as a routine use to the adjudicative body, individual, or entity.
(d) If the Department determines that disclosure of certain records
to an opposing counsel, representative, or witness in an administrative
proceeding is relevant and necessary to the litigation and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the counsel,
representative, or witness.
(6) Freedom of Information Act (FOIA) Advice Disclosure. To the
Department of Justice for the purpose of obtaining advice regarding the
releasability of records maintained in
[[Page 30155]]
this system of records under the FOIA and the Privacy Act of 1974.
(7) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
the individual. The member's right to the information is no greater
than the right of the individual who requested it.
(8) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to the intelligence agencies of the
Department of Defense, the National Security Agency, the Central
Intelligence Agency, and the Federal Bureau of Investigation for use in
intelligence or investigation activities.
POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in folders secured in fire resistant safes
with manipulation proof combination locks, or in metal lock-bar file
cabinets with three position combination locks, and in a computer
database.
RETRIEVABILITY:
Records are alphabetically indexed by name of the individual
subject of the file. Retrieval is made by the name, date of birth, and
social security number of the individual on whom they are maintained.
SAFEGUARDS:
Folders are maintained and secured in fire resistant safes with
manipulation proof combination locks, or in metal file cabinets secured
by three position combination locks. All records, including those
records that are maintained on the computer database, are in limited
access rooms with keyless cipher locks. All employees are required to
have an appropriate security clearance before they are allowed access,
on a ``need-to-know'' basis, to the records. Computer databases are
kept on a local area network that is not connected to any outside
network including the Internet. Database accessibility is restricted to
hard wire network connection from within the office or via modem.
Authorized log-on codes and passwords prevent unauthorized users from
gaining access to data and system resources. All users have unique log-
on codes and passwords. The password scheme requires that users must
change passwords every 90 days and may not repeat the old password. Any
individual attempting to log on who fails is locked out of the system
after three attempts. Access after that time requires intervention by
the system manager.
RETENTION AND DISPOSAL:
Most background investigative records are maintained for five years
after the individual separates from his or her departmental association
if subject to Executive Orders 12968 and 10450, as amended. Reports of
background investigations conducted by the Office of Inspector General
are retained for 15 years, plus the current year of the most recent
investigative activity, in accordance with OPM guidance. The records
are disposed of by electronic erasure, shredding, or burning.
SYSTEM MANAGER(S) AND ADDRESS:
Security Officer, Office of Inspector General, U.S. Department of
Education, 600 Independence Avenue, SW, Washington, DC 20202-1510.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual must
provide the system manager with his or her name, date of birth, social
security number, signature, and the address to which the record
information should be sent. Requests for notification about an
individual must meet the requirements of the regulations in 34 CFR
5b.5.
RECORD ACCESS PROCEDURE:
If an individual wishes to gain access to a record in this system,
he or she must contact the system manager and provide information as
described in the notification procedure.
CONTESTING RECORD PROCEDURE:
If an individual wishes to change the content of a record in the
system of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item or items to be changed, and provide a written
justification for the change, including any supporting documentation.
Requests to amend a record must meet the requirements of the
regulations in 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information contained in this system of records is obtained from:
(a) Investigative and other record material furnished by other
Federal entities, other departmental components, State, local, and
foreign governments;
(b) Applications and other personnel and security forms;
(c) Personal investigation, written inquiry, interview, or the
electronic accessing of computer databases of sources, such as the OPM
system of records known as Personnel Investigations Records (OPM/
Central-9), employers, educational institutions, references, neighbors,
associates, police departments, courts, credit bureaus, medical
records, probation officials, prison officials, newspapers, magazines,
periodicals, and other publications; and
(d) Confidential sources.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
As indicated in 34 CFR 5b.11, individuals will be provided
information from this record system unless, in accordance with the
provisions of 5 U.S.C. 552a(k)(5)--(1) Disclosure of that information
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence; or (2) The information was obtained prior
to September 27, 1975 and disclosure of that information would reveal
the identity of a source who provided information under an implied
promise that the identity of the source would be held in confidence.
18-10-03
SYSTEM NAME:
Non-Federal Auditor Referral, Suspension, and Debarment File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Audit Services, Office of Inspector General, U.S. Department of
Education, 330 C Street, SW., Room 4200, Switzer Building, Washington,
DC 20202-1510.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Auditors and audit firms not employed by the Federal government
whom the Office of Inspector General has referred to State boards of
accountancy or professional associations and/or suspended or debarred
for violations of generally accepted auditing standards or generally
accepted government auditing standards in connection with audits of
federally assisted education programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to the audit activity which led to the
referral, suspension or debarment action, including the referral,
suspension or debarment documents; and records on the status of each
referral.
[[Page 30156]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3,
4(a)(1) and 4(b)(1)(C)) and 34 CFR part 85, the Nonprocurement
Debarment and Suspension Regulations.
PURPOSE(S):
This system of records is maintained for the general purpose of
enabling the OIG to fulfill the requirements of section (4)(b)(1)(C) of
the Inspector General Act of 1978, 5 U.S.C. Appendix 3, 4(b)(1)(C)
which requires Federal Inspectors General, including the Department
Inspector General, to take appropriate steps to assure that any work
performed by non-Federal auditors complies with the standards
established by the Comptroller General. Records are used to document
OIG actions with regard to open and closed referrals, suspensions or
debarments by the OIG; to produce statistical data; and to share
information with Federal, State and professional organizations which
are also responsible for maintaining or monitoring adherence to audit
standards.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
As provided in the Education Department's Privacy Act regulations
(34 CFR 5b.1(j)), the following routine uses are authorized without the
consent of the individual, but only for a purpose which is compatible
with the purpose for which the record was collected:
(1) Audit oversight and referral disclosure. A record from this
system of records may be disclosed to other Federal agencies, the
General Accounting Office, State agencies responsible for audit
oversight, and the American Institute of Certified Public Accountants
to make referrals regarding inadequate audits performed by independent
auditors, to track the result of proceedings against those auditors,
and to inform these agencies if prior referrals have been made under
this routine use.
(2) Suspension and debarment disclosure. A record from this system
of records may be disclosed, as authorized under section 3 of Executive
Order 12549 for purposes of suspending and debarring an auditor
pursuant to 34 CFR part 85.
(3) Disclosure to auditee. A record from this system of records may
be disclosed to the auditee which was the subject of audit oversight by
the Department OIG.
(4) Engagement disclosure. A record from this system of records may
be disclosed to a contractor or grantee of the Department or other
participant in Department programs which may be contemplating engaging
the firm or individual named in the record to perform auditing or
related services pertaining to federally assisted education programs,
unless the entities to which the Assistant Inspector General for Audit
Services has made a referral under routine use number 1, decline to
take action against the auditor or act to exonerate the auditor.
(5) Disclosure to Public and Private Entities To Obtain
Information. A record from this system of records may be disclosed to
public or private sources to the extent necessary to obtain information
from those sources relevant to an OIG audit oversight activity,
referral action, suspension and debarment action, investigation, audit,
inspection, or other activity.
(6) Enforcement disclosure. In the event that any records from this
system of records, either alone or in combination with any other
information, indicate a violation or potential violation of criminal or
civil law or regulation, the Department may disclose information from
this system of records as a routine use to any Federal, State, local,
or foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
of the receiving entity.
(7) Disclosure to the Department of Justice. A record may be
disclosed from this system of records to the Department of Justice to
the extent necessary for obtaining its advice on any matter relevant to
an OIG investigation, audit, inspection, or other inquiry related to
the responsibilities of the OIG.
(8) Hiring/contracting disclosure.
(a) The Department. A record from this system of records may be
disclosed as a routine use to a Federal, State, or local agency
maintaining civil, criminal or other relevant enforcement records or
other pertinent records, such as current licenses, if necessary to
obtain a record relevant to an agency decision concerning the hiring or
retention of an employee to perform audit services, the issuance of a
security clearance, or the letting or continuation of a contract to
perform audit services by the Department or by any recipient of Federal
funds administered by the Department or its agent.
(b) Other Federal agencies. A record from this system of records
may be disclosed to a Federal agency, in connection with the hiring or
retention of an employee to perform audit services, the issuance of a
security clearance, the letting or continuation of a contract to
perform audit services by the agency or by any recipient of Federal
funds, or the issuance of a license, grant, or other benefit by the
recipient agency.
(9) Litigation disclosure.
(a) Disclosure to the Department of Justice. A record from this
system of records may be disclosed to the Department of Justice if the
record is relevant and necessary to litigation. Such a disclosure may
be made in the event that one of the parties listed below is involved
in the litigation, or has an interest in the litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the Department in his or her official
capacity;
(iii) Any Department employee in his or her individual capacity
where the Justice Department has agreed to represent such employee; or
(iv) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Other litigation disclosure. A record from this system of
records may be disclosed to a court or adjudicative body, to a party,
counsel or witnesses, in the course of the litigation or related
settlement proceedings. Such disclosure may be made in the event that a
person or entity listed below is a party to the litigation, or has an
interest in the litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the agency in his or her official capacity;
(iii) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(iv) The United States, where the agency determines that litigation
is likely to affect the agency or any of its components.
(9) Congressional member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(10) Employee grievance, complaint or conduct disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: Complaint, grievance, discipline or competence
[[Page 30157]]
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(11) Contract disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file folders and/or microcomputer disk.
RETRIEVABILITY:
Records are indexed and retrieved by name of individuals, firms or
other professional associations.
SAFEGUARDS:
Records are secured in file cabinets and are locked in offices
after office hours.
RETENTION AND DISPOSAL:
Records are maintained and destroyed in accordance with the
Department's Records Disposition Schedule (ED/RDS, Part 16). A copy of
the ED/RDS can be obtained from the system manager at the address
below.
SYSTEM MANAGER(S) AND ADDRESSES:
Assistant Inspector General for Audit Services, Office of Inspector
General, U.S. Department of Education, 400 Maryland Avenue, SW.,
Switzer Building, Washington, DC 20202-1510.
NOTIFICATION PROCEDURE:
Individuals wishing to know if they are named in this system of
records must submit a written request to the system manager. Requests
must reasonably specify the system of records containing the
information and the particular record contents being sought. For a
complete statement of notification procedures, see the regulations, 34
CFR 5b.5.
RECORD ACCESS PROCEDURES:
Individuals wishing to gain access to a record in this system of
records must submit a written request to the system manager. Requests
must reasonably specify the system of records containing the
information, the particular record contents being sought, and the
reason for the request. For a complete statement of notification
procedures, see the regulations, 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
Individuals desiring to contest information contained in a record
in this system of records should contact the system manager. Requests
must be made either in writing or in person, and must specify: (1) The
system of records from which the record is to be retrieved; (2) the
particular record which the requestor is seeking to amend; (3) whether
a deletion, an addition, or a substitution is being sought; and (4) the
reason(s) for the requested change(s). Requestors may wish to include
in their requests any appropriate documentation supporting the
requested change(s). For a complete statement of contesting record
procedures, see the regulations, 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information contained in the system will be obtained principally
from OIG employees. Information regarding the status of referral
actions will be obtained from the appropriate State licensing board and
professional organizations to which the referral was made.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-10-04
SYSTEM NAME:
Hotline Complaint Files of the Inspector General.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW., Room 4116, Switzer Building, Washington, DC 20202-1510.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories include individuals who are sources of information or
have made complaints to the OIG Hotline, individuals who allegedly have
knowledge regarding wrongdoing affecting the programs and operations of
the Department, and individuals about whom complaints and allegations
have been made concerning wrongdoing involving the programs and
operations of the Department of Education. These individuals may
include, but are not limited to, current and former Department
employees, grantees, subgrantees, contractors, subcontractors, program
participants, recipients of Federal funds or federally insured funds,
and officers, employees, or agents of institutional recipients or
program participants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system contain information obtained from
complainants who report allegations of wrongdoing relating to
Department of Education programs and operations. Specific data may
include name and address (if available) of the complainant, the date
the complaint was received, the affected program area, the nature and
subject of the complaint, and any additional contacts and specific
comments provided by the complainant. In addition, information on the
OIG disposition of the complaint is included in the system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app.
3.
PURPOSES:
Pursuant to the Inspector General Act, the system is maintained for
the purposes of maintaining a record of complaints and allegations
received concerning Department of Education programs and operations and
concerning the disposition of those complaints and allegations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education may disclose information contained in a
record in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected, under the following routine uses:
(1) Disclosure for Use by Other Law Enforcement Agencies. In the
event that any records from this system of records, either by
themselves or in combination with any other information, indicate a
violation or potential violation of criminal or civil law or
regulation, the Department may disclose information from this system of
records as a routine use to any Federal, State, local, or foreign
agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
of the receiving entity.
(2) Litigation Disclosure.
[[Page 30158]]
(a) Introduction. In the event that one of the following parties is
involved in litigation, or has an interest in litigation, the
Department may disclose certain records to the parties described in
paragraphs (2), (3), and (4) of this routine use under the conditions
specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of the Department in his or her individual
capacity if the Department of Justice has agreed to provide or arrange
for representation for the employee; or
(iv) Any employee of the Department in his or her individual
capacity if the agency has agreed to represent the employee; or
(v) The United States if the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice or attorneys engaged by the Department of Justice is relevant
and necessary to litigation, the Department may disclose those records
as a routine use to the Department of Justice.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear or to an individual or an entity
designated by the Department or otherwise empowered to resolve disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Opposing Counsels, Representatives, and Witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative, or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the counsel, representative, or
witness.
(3) Disclosure to Public and Private Entities to Obtain Information
Relevant to the Department's OIG Functions and Duties. The Department
may disclose information from this system of records as a routine use
to public or private sources to the extent necessary to obtain
information from those sources relevant to a Department of Education/
OIG investigation, audit, inspection, or other inquiry.
(4) Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as amended (HEA). The Department may
disclose information from this system of records as a routine use to
any accrediting agency that is or was recognized by the Secretary of
Education pursuant to the HEA, to any guarantee agency that is or was a
party to an agreement with the Secretary of Education pursuant to the
HEA, or to any agency that is or was charged with licensing or legally
authorizing the operation of any educational institution or school that
was eligible, is currently eligible, or may become eligible to
participate in any program of Federal student assistance authorized by
the HEA.
(5) Disclosure to the Department of Justice. The Department may
disclose information from this system of records as a routine use to
the Department of Justice to the extent necessary for obtaining its
advice on any matter relevant to an OIG investigation, audit,
inspection, or other inquiry related to the responsibilities of the
OIG.
(6) Congressional Disclosure. The Department may disclose records
to a member of Congress from the record of an individual in response to
an inquiry from the member made at the written request of that
individual. The member's right to the information is no greater than
the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in complaint files, computer mainframe
files, and computer-printed listings.
RETRIEVABILITY:
Hard copy records are organized by and retrievable by the assigned
Hotline number. The computer files are indexed and retrievable by
Hotline number, name of complainant, and the name of the subject or
subjects.
SAFEGUARDS:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises to which access is limited to
those persons whose official duties require access. Computer terminals
are secured in controlled areas that are locked when unoccupied. Access
to automated records is limited to authorized personnel who must use a
password system to gain access.
RETENTION AND DISPOSAL:
Hotline records not resulting in investigations are destroyed when
five years old, in accordance with the Department's Records Disposition
Schedules (ED/RDS, part 16). Investigative case files are destroyed 10
years after close-out in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 16).
SYSTEM MANAGER AND ADDRESS:
Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4106, Switzer Building, Washington, DC 20202-1510.
NOTIFICATION PROCEDURE:
See Systems Exempted. As provided in 34 CFR 5b.11(f), the
notification procedures are not applicable to Hotline files except at
the discretion of the Inspector General. The notification procedures
are applicable to non-criminal files only under the conditions in 34
CFR 5b.11(f)(2). To the extent these procedures apply to the Department
of Education Hotline Complaint Files, they are governed by 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
See Notification Procedure.
CONTESTING RECORD PROCEDURES:
Not applicable. See Systems Exempted.
RECORD SOURCE CATEGORIES:
Complainants who include, but are not limited to, current and
former employees of the Department, employees of other Federal
agencies, employees of State and local agencies, private individuals,
and officers and employees of non-governmental organizations that are
involved with Department programs, contracts, or funds or have
knowledge about Department programs, contracts, or funds.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Secretary has by regulations exempted the Hotline Complaint
Files of the Inspector General from the following provisions of the
Privacy Act:
(1) Pursuant to 5 U.S.C. 552a(j)(2):
(a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of a record.
(b) 5 U.S.C. 552a(c)(4), regarding notification to outside parties
and agencies of correction or notation of dispute made in accordance
with 5 U.S.C. 552a(d).
(c) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification
or access to
[[Page 30159]]
records and correction or amendment of records.
(d) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and
necessary information.
(e) 5 U.S.C. 552a(e)(2), regarding collection of information from
the subject individual.
(f) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to
provide a record to the Department.
(g) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
(h) 5 U.S.C. 552a(e)(5), regarding maintaining records with
requisite accuracy, relevance, timeliness, and completeness.
(i) 5 U.S.C. 552a(e)(8), regarding service of notice on subject
individual if a record is made available under compulsory legal process
if that process becomes a matter of public record.
(j) 5 U.S.C. 552a(g), regarding civil remedies for violation of the
Privacy Act.
(2) Pursuant to 5 U.S.C. 552a(k)(2):
(a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.
(b) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification
of and access to records and correction or amendment of records.
(c) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only
relevant and necessary information.
(d) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
These exemptions are stated in 34 CFR 5b.11.
18-11-01
SYSTEM NAME:
Federal Student Aid Application File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Application & Pell Processing Systems Division, Office of Student
Financial Assistance Programs, U.S. Department of Education, Seventh
and D Streets, SW., Room 4621, ROB-3, Washington, DC 20202-5459.
Federal Student Aid Application Processing Center, Iowa City, IA
52240.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on students applying for Federal
student financial assistance under Title IV of the Higher Education Act
of 1965 (HEA).
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of the name, address, birth date, Social
Security number, and financial data necessary to identify applicants,
verify applicant data, and calculate their expected family
contributions for Federal student financial assistance. In addition,
information on the student's prior Pell Grant awards and student loan
status from the National Student Loan Data System (NSLDS) database is
maintained in the system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV of the Higher Education Act of 1965, as amended.
PURPOSE(S):
Information contained in this system is maintained for the purposes
of: (1) Determining an applicant's eligibility for the Federal student
financial assistance programs authorized by title IV of the HEA; (2)
Maintaining a record of the data supplied by those requesting
assistance; (3) Documenting the results of an applicant's need analysis
and Pell Grant eligibility; (4) Reporting the results of the need
analysis and Pell Grant eligibility determination to applicants,
postsecondary institutions, and State agencies designated by the
applicant, and to other Departmental and investigative components for
use in operating and evaluating the title IV, HEA programs and in the
imposition of criminal, civil or administrative sanctions; and (5)
Acting as a repository and source for information necessary to fulfill
the requirements of title IV of the HEA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USERS:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure to institutions of postsecondary education. The
Department may disclose identifying information, financial data, and
expected family contributions of applicants to those institutions of
postsecondary education (or their designated agents) in which the
applicants plan to enroll or are enrolled. Disclosure of such
information is made only to postsecondary institutions that are listed
by the applicant on the Federal Student Aid Application file.
(2) Disclosure to State agencies. The Department may disclose the
data described in paragraph (1) to State agencies having agreements
with the Secretary for purposes of coordinating student aid.
(3) Disclosure to parents and spouses. The Department, upon
request, may disclose information that is provided by parents or
spouses on the application form to those individuals.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(6) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
[[Page 30160]]
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(9) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Original applications are maintained in standard Federal Records
Center boxes in locked storage rooms within the facility of the
Application for Federal Student Aid Processor. Computerized applicant
records are maintained on magnetic tape reels, cartridges and hard
disks in the computer facility and locked storage rooms within the
Federal Student Aid Application Central Processing Center. Microfiche
records maintained in the Washington, DC office are locked in standard
file cabinets.
RETRIEVABILITY:
Records are indexed by Social Security number and the first two
letters of the applicant's last name.
SAFEGUARDS:
Records are available to staff of the Student Financial Assistance
Programs (including appropriate contract support staff). The Department
will mail an Electronic Access Code (EAC) directly to certain students
who have used the World Wide Web to electronically file a Free
Application for Federal Student Aid (FAFSA). The student uses the EAC
to complete their renewal Free Application for Federal Student Aid
(FAFSA) via the Internet. Physical access to the data systems housed
within the facility is controlled by a computerized badge reading
system, and the entire complex is patrolled by security personnel
during nonbusiness hours. The computer system employed by the
Department offers a high degree of resistance to tampering and
circumvention. Multiple levels of security are maintained within the
computer system control program. This security system limits data
access to Department and contract staff on a ``need-to-know'' basis,
and controls individual users' ability to access and alter records
within the system. All users of this system of records are given a
unique user ID with personal identifiers. All interactions by
individual users with the system are recorded.
RETENTION AND DISPOSAL:
Original records are maintained and stored in a Federal Records
Center. Grant aid records are kept for a period not to exceed fifteen
years after payment or audit of the grantee, whichever comes sooner;
and loan records are kept three years after cancellation or repayment
of a loan, in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Application & Pell Processing Systems Division, Office of
Student Financial Assistance Programs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 4621, ROB-3, Washington, DC 20202-5459.
NOTIFICATION PROCEDURE:
A copy of the applicant's record, known as the Student Aid Report,
is mailed to the applicant's home address after the application
information has been processed. If you wish to determine whether a
record exists regarding you in the system of records, contact the
system manager and provide you name, date of birth, and Social Security
number or call 1-800-4-FED-AID (1-800-433-3243) and give the same
information. Requests for notification about whether the system of
records contains information about an individual must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the Notification
Procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to change the content of a record in the system of
records (for the current Free Application for Federal Student Aid
(FAFSA)), contact the system manager with the information described in
the Notification Procedure, identify the specific items to be changed,
and provide a justification for the change. Requests to amend a record
must meet the requirements of regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Applicants for Federal student financial aid provide the
information
[[Page 30161]]
used in this system by filing a Free Application for Federal Student
Aid (FAFSA) with the Department of Education. (For students who have
access to the Internet, the Free Application for Federal Student Aid
(FAFSA) is available on the world wide web (located at
www.fafsa.ed.gov). Although students using the web site are required to
send in a paper signature page and students must update their
information each year, applying electronically using the Internet is
less burdensome than applying on paper.)
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-11-02
SYSTEM NAME:
Recipient Financial Management System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Central Computer Facility, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on all Pell Grant Recipients.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of the names, addresses, birth dates, Social
Security numbers, financial data, and status of award for Pell Grant
recipients.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV-A of the Higher Education Act of 1965.
PURPOSE(S):
The information in this system is used to prepare processed student
payment data for submission to schools or their agents in order to
verify payments made to students.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program Disclosures. Any information from this system of
records, including personal information obtained from other agencies
through computer matching programs, may be disclosed to any third party
through a computer matching program in connection with an individual's
application or qparticipation in any grant or loan program administered
by the Department. Purposes of these disclosures may be to determine
program eligibility and benefits, enforce the conditions and terms of
the loan or grant, permit the servicing and collecting of the loan or
grant, counsel the individual in repayment efforts, investigate
possible fraud and verify compliance with program regulations, locate a
delinquent or defaulted debtor, and initiate legal action against an
individual involved in program fraud or abuse.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information necessary
to establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the
information specified in this paragraph under 5 U.S.C. 552a(b)(12) and
the procedures contained in subsection 31 U.S.C. 3711(f). A consumer-
reporting agency to which these disclosures may be made is defined at
31 U.S.C.3701 (a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Origination and disbursement reports are now stored electronically.
Decrease award and audit reports are maintained in hard copy.
RETRIEVABILITY:
Records are indexed by institution and by recipient name and Social
Security number within school.
SAFEGUARDS:
Direct access is restricted to authorized staff. A computerized
badge reading system controls physical access to the records housed
within the facility.
RETENTION AND DISPOSAL:
Original copies are maintained until fiscal year funds are closed
out and then are stored at the Federal Records Center.
[[Page 30162]]
SYSTEM MANAGER(S) AND ADDRESS:
Director, Student Aid Origination Team, Programs Systems Service,
400 Maryland Avenue, SW., Washington, DC 20202.
NOTIFICATION PROCEDURE:
A student who has received a Federal Pell Grant, should presume
that a record exists. If you wish to determine whether a record exists
regarding you in the system of records, contact the system manager and
provide your name, social security number and date of birth. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, you should
contact the system manager and provide information as described in the
Notification Procedure. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to change the content of a record in the system of
records, you should contact the system manager with the information
described in the Notification Procedure, identify the specific items to
be changed and provide a written justification for the change. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from origination and
disbursement records provided by the school or its agent to the
Department of Education.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-11-03
SYSTEM NAME:
Student Financial Assistance Validation File.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Debt Collection, Division of Certification and Program Review,
Office of Student Financial Assistance Programs, U.S. Department of
Education, Seventh and D Streets, SW., Room 4520, ROB-3, Washington, DC
20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on applicants and recipients of
student financial assistance.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of student financial assistance application,
award and servicing forms and documentation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV of the Higher Education Act of 1965.
PURPOSE(S):
The information in this system is used to determine program
eligibility and benefits, enforce the conditions and terms of the loan
or grant, permit the servicing and collecting of the loan or grant,
counsel the individual in repayment efforts, investigate possible fraud
and verify compliance with program regulations, locate a delinquent or
defaulted debtor, and initiate legal action against an individual
involved in program fraud or abuse.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Program Disclosures. Any information from this system of
records, including personal information obtained from other agencies
through computer matching programs, may be disclosed to any third party
through a computer matching program in connection with an individual's
application or participation in any grant or loan program administered
by the Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts, investigate
possible fraud and verify compliance with program regulations, locate a
delinquent or defaulted debtor, and initiate legal action against an
individual involved in program fraud or abuse.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is
[[Page 30163]]
determined to be valid and overdue as follows: (1) The name, address,
taxpayer identification number and other information necessary to
establish the identity of the individual responsible for the claim; (2)
the amount, status, and history of the claim; and (3) the program under
which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in subsection 31 U.S.C. 3711(f). A consumer
reporting agency to which these disclosures may be made is defined at
31 U.S.C.3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in standard file cabinets.
RETRIEVABILITY:
Records are indexed by name.
SAFEGUARDS:
Access is restricted to authorized staff only and files are
maintained in locked cabinets.
RETENTION AND DISPOSAL:
Records are maintained until resolved and then transferred to the
Federal Records Center.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Certification and Program Review, Office of
Student Financial Assistance Programs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 4520, ROB-3, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from application data,
incoming correspondence and related material, obtained during course of
investigation; Program System Service (PSS), National Student Loan Data
Systems Division (NSLDS).
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-11-05
SYSTEM NAME:
Title IV Program Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Program System Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202-5258.
Computer Sciences Corporation, Meridan, Connecticut.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on the following individuals:
(1) Individuals who apply for Federal financial student aid;
(2) Recipients of Pell Grants;
(3) Recipients of Federal Direct Student Loans; and
(4) Borrowers whose loan defaulted or borrower died, became
disabled or had a loan discharged in bankruptcy under the Federal
Direct Student Loan Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains records regarding the amount of Pell Grant
applicant receives; applicant's demographic background, loan, and
educational status; family income; Social Security number; address and
telephone number; and employment information on borrowers and co-
signers; default claim number; amount of claim; information pertaining
to locating a borrower; collection and repayment history; information
pertaining to the amount of the loan and repayment obligation;
forbearance; cancellation; disability; and deferment information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as
amended (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a,
1087aa-hh).
PURPOSE(S):
The information maintained in this system is used for the purposes
of determining program eligibility and benefits, verifying the identity
of the individual, enforcing the conditions and terms of the loan or
grant, permitting the servicing and collecting of the loan or grant,
counseling the individual in repayment efforts, investigating possible
fraud and verifying compliance with program regulations, locating a
delinquent or defaulted debtor or locating a recipient owing an
overpayment on a grant, initiating legal action against an individual
involved in program fraud, abuse, or noncompliance, and enforcing Title
IV requirements against schools, lenders, and guaranty agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records without the consent of
the individual if the disclosure is compatible with the purpose for
which the record was collected under the following routine uses:
(1) Program Disclosures. ED may disclose records for the following
program purposes:
(a) To verify the identity of the applicant, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, contractors,
business and personal associates and consumer reporting agencies.
(b) To determine program eligibility and benefits, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, contractors,
business and personal associates and consumer reporting agencies.
(c) To facilitate default reduction efforts by program
participants, disclosures may be made to guaranty agencies, educational
and financial agencies or institutions, Federal, State or local
agencies, consumer reporting agencies, contractors and hearing
officials.
(d) To enforce the conditions or terms of the loan, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and
[[Page 30164]]
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.
(e) To enforce the conditions or terms of the grant, disclosures
may be made to educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.
(f) To permit servicing, collecting or accepting the loan,
disclosures may be made to guaranty agencies, educational and financial
agencies or institutions, Federal, State or local agencies, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and hearing officials.
(g) To permit collecting overpayment on grants, disclosures may be
made to, educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.
(h) To counsel the borrower in repayment efforts, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, contractors and Federal, State or local agencies.
(i) To investigate possible fraud and verify compliance with loan
program regulations, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials.
(j) To investigate possible fraud and verify compliance with grant
program regulations, disclosures may be made to educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(k) To locate a delinquent or defaulted borrower, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.
(l) To locate an individual who owes a refund on a grant,
disclosures may be made to educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.
(m) To issue collection letters to defaulted borrowers, disclosures
may be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.
(n) To issue collection letters to an individual who owes a refund
on a grant, disclosures may be made to educational and financial
agencies or institutions, Federal, State or local agencies, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and hearing officials.
(o) To locate a missing borrower, disclosures may be made to
guaranty agencies, educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.
(p) To locate a missing individual who owes a refund on a grant,
disclosures may be made to educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.
(q) To collect in-file history information and to determine assets
and ability to pay a loan debt, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.
(r) To collect in-file history information and to determine assets
and ability to refund an overpayment, disclosures may be made to
educational and financial agencies or institutions, Federal, State or
local agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials.
(s) To determine last known address, disclosures may be made to
guaranty agencies, educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.
(t) To conduct a salary offset hearing under 34 CFR Part 31,
disclosures may be made to Federal agencies, contractors and hearing
officials.
(u) To prepare for litigation or to litigate collection service and
audit, disclosures may be made to guaranty agencies, Federal, State or
local agencies, contractors and hearing officials.
(v) To initiate a limitation, suspension and termination (LS&T) or
debarment or suspension action, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions and
hearing officials.
(w) To ensure Title IV requirements are met by schools, lenders and
guaranty agencies, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, and hearing officials.
(x) To verify death, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, private parties
such as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
Federal, State or local agencies.
(y) To conduct credit checks, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and Federal, State or local agencies.
(z) To investigate complaints, update files, and correct errors,
disclosures may be made to guaranty agencies, educational and financial
agencies or institutions, Federal, State or local agencies, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and hearing officials.
(2) Feasibility Study Disclosure. Any information from this system
of records may be disclosed to other Federal agencies and to guaranty
agencies to determine whether computer matching programs should be
conducted by the Department regarding an individual's
[[Page 30165]]
application for or participation in any grant or loan program
administered by the Department. Purposes of these disclosures may be to
determine program eligibility and benefits, facilitate default
reduction efforts, enforce the conditions and terms of a loan or grant,
permit the servicing and collecting of the loan or grant, enforce
debarment, suspension, and exclusionary actions, counsel the individual
in repayment efforts, investigate possible fraud and verify compliance
with program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud
or abuse.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
executive order or rule, regulation, or order issued pursuant thereto
if the information is relevant to any enforcement, regulatory,
investigative, or prosecutive responsibility of the receiving entity.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record from this system of records as a routine use to a Federal,
State, or local agency maintaining civil, criminal, or other relevant
enforcement or other pertinent records, such as current licenses, if
the disclosure is necessary to obtain a record the Department believes
may be relevant to a Department decision concerning the hiring,
retention of, or any personnel action concerning an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Licensing Organizations. The Department may disclose information from
this system of records as a routine use to a Federal, State, local, or
foreign agency or other public authority or professional licensing
organization, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(6) Employee Grievance, Complaint or Conduct Disclosure. If a
record maintained in this system of records is relevant to an employee
grievance or complaint or employee discipline or competence
determination proceedings of another party of the Federal Government,
the Department may disclose the record as a routine use in the course
of the proceedings.
(7) Labor Organization Disclosure. Where a contract between a
component of the Department and a labor organization recognized under
Chapter 71, U.S.C. Title V provides that the Department will disclose
personal records relevant to the organization's mission, records in
this system of records may be disclosed as a routine use to such an
organization.
(8) Contract Disclosure. When the Department contemplates that it
will contract with a private firm for the purpose of collating,
analyzing, aggregating, or otherwise refining records or performing any
other function with respect to the records in this system, relevant
records will be disclosed to such a contractor. The contractor shall be
required to maintain Privacy Act Safeguards with respect to such
records.
(9) Disclosure to the Department of Justice. The Department may
disclose information from this system of records as a routine use to
the Department of Justice to the extent necessary for obtaining its
advice on any matter relevant to an audit, inspection, or other inquiry
related to the Department's responsibilities under Title IV of the
Higher Education Act of 1965.
(10) Research Disclosure. When the appropriate official of the
Department determines that an individual or organization is qualified
to carry out specific research, that official may disclose information
from this system of records to that researcher solely for the purpose
of carrying out that research. The researcher shall be required to
maintain Privacy Act Safeguards with respect to such records.
(11) Computer Matching Disclosure. Any information from this system
of records, including personal information obtained from other agencies
through computer matching programs, may be disclosed to any third party
through a computer matching program in connection with an individual's
application for, or participation in, any grant or loan program
administered by the Department. The purposes of these disclosures may
be to determine program eligibility and benefits, enforce the condition
and terms of a loan or grant, permit the servicing and collecting of
the loan or grant, prosecute or enforce debarment, suspension, and
exclusionary actions, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Among other disclosures, this routine use authorizes disclosure to
any other Federal agency, including the Defense Manpower Data Center,
Department of
[[Page 30166]]
Defense, for the purposes of identifying and locating individuals who
are delinquent in their repayment of debts owed to the U.S. Government
under Title IV, HEA programs of the Department, in order to collect the
debts under the provisions of the Debt Collection Act of 1982
(including 31 U.S.C. Chapter 37 and 5 U.S.C. 5514) and 31 CFR Part 31
by voluntary repayment or by administrative or salary offset.
(13) Freedom of Information Act (FOIA) Advice Disclosure. In the
event that the Department deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice or the Office of Management and Budget for the
purpose of obtaining their advice.
(14) Congressional Member Disclosure. The Department may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
the which the record was collected. The member's right to the
information is no greater than the right of the individual who
requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, social security number, and other information necessary to
establish the identity of the individual responsible for the claim; (2)
the amount, status, and history of the claim; and (3) the program under
which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in 31 U.S.C. 3711(f). A consumer reporting agency
to which these disclosures may be made is defined at 15 U.S.C. 1681a(f)
and 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in either hard copy, microfilm, magnetic
tape, or other electronic media.
RETRIEVABILITY:
The file is indexed by Social Security number or name. Data for
loans made under the Federal Direct Student Loan Program, FISL Program,
Federal Perkins Loan (formerly National Direct Student Loan) Program,
Federal Pell Grant Program, and some FFELs are retrievable by Social
Security number.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge.
The computer system employed by the Department of Education offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to Department of Education and
contract staff on a ``need-to-know'' basis, and controls individual
users' ability to access and alter records within the system. All users
of this system of records are given a unique user ID with personal
identifiers. All interactions by individual users with the system are
recorded.
RETENTION AND DISPOSAL:
Records of individual loans may be destroyed five years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant recipients may be
destroyed five years after the fiscal operations report is filed.
Records of Federal Pell Grant recipients may be destroyed five years
after the initial award year has ended, as set forth in appropriate
record retention schedules.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Program Systems Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4640, ROB-3, Washington, DC 20202-5258.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, you should provide to the system manager your
name, date of birth, Social Security number, and the name of the school
or lender from which the loan or grant was obtained. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, you should
contact the system manager and provide information as described in the
Notification Procedure. Requests by an individual for access to a
record must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to change the content of a record in the system of
records, contact the system manager with the information described in
the Notification Procedure, identify the specific items to be changed,
and provide a written justification for the change. Requests to amend a
record must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from reports from borrowers and their
families, lenders, schools, examining or treating physicians,
employers, credit agencies, Federal and State governmental agencies,
and State or private nonprofit guaranty agencies. However, lenders and
guaranty agencies are not a source of information for participants in
the Federal Direct Student Loan Program, since the Department maintains
individual records of borrowers for this program.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-11-07
SYSTEM NAME:
Student Financial Assistance Collection Files.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATIONS:
Program Systems Support, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202-5258. See the Appendix to this
system notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on those individuals who have student
loans made under the Federal Family Education Loan (FFEL) Program:
Stafford Loans (formerly the Guaranteed Student Loan Program (GSL),
including Federally Insured Student Loans (FISL)), Supplemental Loans
for Students (SLS), PLUS Loans (formerly Parental Loans for
Undergraduate Students), and Consolidation Loans; the William D. Ford
Federal Direct Student Loan (Direct Loan) Program (formerly known as
the Stafford/Ford Loan
[[Page 30167]]
Program (SFLP), Federal Direct Unsubsidized Stafford/Ford Loan Program,
Federal Direct Consolidation Loan, and Federal Direct Plus Loans; and
Federal Perkins Loans (formerly National Direct/Defense Student Loans
(NDSL)) and those who are awarded grants under the Pell Grant Program
and the Supplemental Education Opportunity Grant Program (SEOG).
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains records regarding an applicant's demographic
background; loan, repayment history; and educational status; family
income; social security number; address and telephone numbers;
employment information on borrowers and co-signers; collection activity
on accounts; default claim number; amount of claim; information
pertaining to locating a borrower; collection and repayment obligation;
forbearance; cancellation; disability; deferment; administrative wage
garnishment; bankruptcy, death; close school discharge; hearings;
photocopy of all promissory notes; account collection records; and
administrative resolutions and litigations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as
amended, (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a,
and 1087aa-hh).
PURPOSE(S):
The information contained in the records maintained in this system
is used for the purposes of determining program eligibility and
benefits, verifying the identity of the individual, enforcing the
conditions and terms of the loan or grant, permitting the servicing and
collecting of the loan or grant, counseling the individual in repayment
efforts, investigating possible fraud and verifying compliance with
program regulations, locating a delinquent or defaulted debtor or
locating a recipient owing an overpayment on a grant, initiating legal
action against an individual involved in program fraud, abuse, or
noncompliance, and enforcing Title IV requirements against schools,
lenders, and guaranty agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program Disclosures. The Department may disclose information
from this system to Federal, State, or local agencies, private parties
such as relatives, present and former employers and creditors, business
and personal associates, guaranty agencies, educational and financial
agencies or institutions, consumer reporting agencies, contractors and
hearing officials for the following purposes: (1) To verify the
identity of the applicant; (2) to determine program eligibility and
benefits; (3) to facilitate default reduction efforts by program
participants; (4) to enforce the conditions or terms of the loan; (5)
to permit servicing, collecting, or accepting the loan; (6) to counsel
the borrower in repayment efforts; (7) to investigate possible fraud
and verify compliance with program regulations; (8) to locate a
delinquent or defaulted borrower; (9) to issue collection letters; (10)
to locate a missing borrower; (11) to collect in-file history
information to determine assets and ability to pay; (12) to determine
last known address; (13) to conduct a salary offset hearing under 34
CFR part 31; (14) to prepare for litigation or to litigate collection
service and audit; (15) to initiate a limitation, suspension, and
termination (LS&T) or debarment or suspension action; (16) to ensure
Title IV requirements are met by schools, lenders, and guaranty
agencies; (17) to verify death; (18) to conduct credit checks; and (19)
to investigate complaints, update files, and correct errors.
(2) Feasibility Study Disclosure. The Department may disclose
information from this system of records to other Federal agencies and
to guaranty agencies to determine whether computer matching programs
should be conducted by the Department regarding an individual's
application for or participation in any grant or loan program
administered by the Department. Purposes of these disclosures may be to
determine program eligibility and benefits, facilitate default
reduction efforts, enforce the conditions and terms of a loan or grant,
permit the servicing and collecting of the loan or grant, enforce
debarment, suspension, and exclusionary actions, counsel the individual
in repayment efforts, investigate possible fraud and verify compliance
with program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud
or abuse.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative
[[Page 30168]]
body before which the Department is authorized to appear, an individual
or entity designated by the Department or otherwise empowered to
resolve or mediate disputes is relevant and necessary to the
administrative litigation, the Department may disclose those records as
a routine use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(9) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(10) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(11) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(12) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(13) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in either hardcopy, microfilm, magnetic
tape, or other electronic media.
RETRIEVABILITY:
Records are retrievable by Social Security number.
SAFEGUARDS:
All physical access to the Department's site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge.
The computer system utilized by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to the Department and contract staff on a ``need-to-
know'' basis, and controls individual users' ability to access and
alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. All interactions
by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Records of individual loans may be destroyed five (5) years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant (SEOG) recipients
may be destroyed five (5) years after the fiscal operations report is
filed. Records of Federal Pell Grant recipients may be destroyed five
(5) years after the initial award year has ended, as set forth in
appropriate record retention schedules.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Program Systems Support, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW.,
[[Page 30169]]
Room 4640, ROB-3, Washington, DC 20202-5258. See the Appendix at the
end of this system notice for additional system managers.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, date
of birth and Social Security number. Requests must meet the
requirements of the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the notification
procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
If you wish to change the content of a record in the system of
records, contact the system manager with the information described in
the notification procedure, identify the specific items to be changed,
and provide a written justification for the change. Requests to amend a
record must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from reports from borrowers and their
families, lenders, schools, examining or treating physicians,
employers, credit agencies, Federal and State governmental agencies,
and State or private nonprofit guaranty agencies. However, lenders and
guaranty agencies are not a source of information for participants in
the Federal Direct Student Loan Program, since the Department maintains
individual records of borrowers for this program.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-11-07
Additional System Managers and System Locations
Raytheon/E-Systems, 6201 I-30, Greenville, TX 75402. Assistant
Regional Administrator, U.S. Department of Education, Region IV,
Division of Claims and Collections, Office of Student Financial
Assistance, 61 Forsyth Street, SW., Rm. 19T89, Atlanta, GA 30303.
Assistant Regional Administrator, U.S. Department of Education,
Region V, Division of Claims and Collections, Office of Student
Financial Assistance, 111 North Canal Street, Suite 1009, Chicago,
Illinois 60605.
Assistant Regional Administrator, U.S. Department of Education,
Region IX, Division of Claims and Collections, Office of Student
Financial Assistance, 50 United Nations Plaza, Room 250, San
Francisco, California 94102.
18-11-08
SYSTEM NAME:
Student Account Manager System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Program Systems Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202. National Computer Systems, 2510
North Dodge Street, Iowa City, Iowa 52240.
Total Systems Services, Inc, 6101 Stone Mill Drive, Columbus, GA;
Golden Retriever System, 8 N. Roosevelt Avenue, Chandler, AZ 85221.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The Student Account Manager System contains student financial
assistance records about students and/or borrowers both who have
applied for loans under any Title IV Federal loan program and students
who have applied for grants under any Title IV Federal grant program.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Student Account Manager System contains records relating to a
student and/or borrower's originated awards and disbursements of Title
IV financial assistance. The system contains three data element types
as outlined below: demographic information, such as student and/or
borrower name, mailing and permanent address, e-mail address, current
and original Social Security number, phone number, date of birth,
student account number; loan and grant funding and award information,
including the Title IV code for the school(s) for which students and/or
borrowers have requested determinations of Federal financial assistance
eligibility, the origination date and I.D., the funding source I.D.,
loan holder, credit limit or award amount; loan and grant transaction
information, including the transaction date, posting date, disbursement
amount, acceptance/rejection field, batch number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Higher Education Act of 1965, Title IV-A through IV-H, as amended,
(20 U.S.C. 1092b).
PURPOSE(S):
This system of records is provided for the purposes of:
(1) Giving students a single point of contact for information,
statements, and customer service concerning their Federal student
financial assistance (loans and grants) from various programs and
sources;
(2) Providing eligible institutions of higher education with a
standardized method for the receipt of Title IV student financial
assistance; and
(3) Creating summary reports for Federal loan and grant funding
sources and program offices for loans and grants delivered through the
Student Account Manager.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program purposes. Records may be disclosed for the following
program purposes:
(a) To report disbursement activity, disclosures may be made to
appropriate guaranty agencies, educational and financial institutions,
and Federal agencies.
(b) To deliver Federal student assistance funds to the educational
institution at which the student is enrolled, disclosures may be made
to that educational institution.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement disclosures. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating
[[Page 30170]]
or prosecuting that violation or charged with enforcing or implementing
the statute, or executive order, rule, regulation, or order issued
pursuant thereto.
(4) Litigation disclosure and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ
(c) Administrative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Employee Grievance, Complaint, or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(12) Congressional member disclosure. The Department may disclose
information to a member of congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in 31 U.S.C. 3711(e). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISCLOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records at the National Computer Systems (NCS) are maintained
on the
[[Page 30171]]
mainframe at the NCS data center in Iowa City, IA and archived onto
magnetic tape. Total System records are maintained on a mainframe
database in Columbus, GA and backed up onto magnetic tapes. Golden
Retriever System records are maintained on a sequel server database in
Chandler, AZ and backed up onto CD-ROM.
RETRIEVABILITY:
Each student and/or borrower's file is indexed by social security
number and the first two characters of their last name.
SAFEGUARDS:
All users of this system are given a unique user ID with a personal
identifier. Student and parent users are assigned an Electronic Access
Code (EAC) through the Federal Student Aid Application Files Privacy
Act system of records number 18-11-01 by which they can access their
accounts. All physical access to the Department's site, and the sites
of Department contractors where this system of records is maintained,
is controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to the Department, agents of the Department
(including schools and funding sources), and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with passwords.
RETENTION AND DISPOSAL:
Federal Loan Records: The Department will retain and dispose of
loan records in accordance with the Department's Records Disposition
Schedules (ED/RDS), Part 10, Item 16. Individual records (applications,
certifications, disbursements, correspondence, and related records) for
Federal loans may be destroyed three years after cancellation,
forgiveness or final repayment of the Loan (ED/RDS, Part 10, Item 16).
Electronic Federal loan records will be kept online and easily
available for 24 months after reconciliation with the funding source,
then retained in accordance with ED/RDS, Part 10, Item 16.
Federal Pell Grant Records: The Department will retain and dispose
of Pell Grant records in accordance with ED/RDS, Part 10, Item 17.
Records of Federal Pell Grant recipients (applications, payment,
correspondence, and related records) will be transferred to a Federal
Records Center after final payment to grantee. Individual Pell Grant
records may be destroyed 15 years after final payment to grantee (ED/
RDS, Part 10, Item 17). Individual records for unapproved Federal Pell
Grant applications will be transferred to a Federal Records Center 120
days after a rejection or withdrawal, and may be destroyed three years
after date of rejection or withdrawal (ED/RDS, Part 10, Item 17(d)).
Electronic Federal Pell Grant records will be kept online and easily
available for 24 months after reconciliation with the funding source,
then retained in accordance with ED/RDS, Part 10, Item 17.
SYSTEM MANAGER(S) AND ADDRESS:
Service Director, Program Systems Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., ROB-3, Room 4640, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual may gain
access to the system via the Internet or by contacting the system
administrator through the Student Account Manager's customer service e-
mail address or toll-free telephone number. (To obtain access to
records by telephone, the student must first authorize telephone access
through the Student Account Manager's website using his or her
Electronic Access Code.) The student must provide the system manager
with his or her name, date of birth, Social Security number, and
Electronic Access Code (EAC). Requests for notification about an
individual must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity. Individuals may also present their
requests in person at any of the locations identified for this system
of records or address their requests to the system manager at the
following address: Program Systems Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., ROB-3, Room 4640, Washington, DC 20202.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she may do so via the Internet, by calling the toll free customer
service phone number using a touch-tone telephone, or by contacting the
system manager through the Student Account Manager's customer service
e-mail address or toll-free telephone number. (To obtain access to
records by telephone, the student must first authorize telephone access
through the Student Account Manager's website using his or her
Electronic Access Code.)
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the contents of a record in the
system of records, he or she may challenge a transaction by contacting
the system manager by telephone or sending written notice to the
Student Account Manager's customer assistance area and providing the
information described in the notification procedure, identifying the
specific item(s) to be changed, and providing a written justification
for the change, including any supporting documentation.
RECORD SOURCE CATEGORIES:
Information is obtained from schools, lenders, guaranty agencies,
students, borrowers, the Title IV Program Files (Privacy Act system of
records number 18-11-05), the Federal Student Aid Application Files
Privacy Act system of records number 18-11-001), the Direct Loan
Origination Center, and the Recipient Funds Management System (RFMS).
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-11-09
SYSTEM NAME:
Postsecondary Education Participants System (PEPS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT
06450.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The PEPS contains records about owners (individuals, either solely
or as partners, and corporate entities), officials, and authorized
agents of postsecondary institutions; members of boards of directors or
trustees of such institutions; employees of foreign entities that
evaluate the quality of education; third-party servicers, including
contact persons.
CATEGORIES OF RECORDS IN THE SYSTEM:
The PEPS contains information regarding the eligibility,
administrative capability, and financial responsibility of
postsecondary schools that participate in the student financial aid
[[Page 30172]]
programs, including the names, taxpayer identification numbers (Social
Security numbers), business addresses, and phone numbers of the
individuals with substantial ownership interests in, or control over,
those institutions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Higher Education Act of 1965, Title IV, as amended, (20 U.S.C.
1088, 1094, 1099c); the Debt Collection Improvement Act of 1996 (31
U.S.C. 7701).
PURPOSE(S):
The information contained in the PEPS is used for the purposes of
determining initial and continuing eligibility, administrative
capability and financial responsibility of postsecondary schools that
participate in the student financial assistance programs, tracking
school changes and maintaining history of this information regarding
schools that have ever applied to participate or participated in these
programs and documenting any need for any protective or corrective
action against a school or individual associated with the school.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records without the consent of
the individual if the disclosure is compatible with the purpose for
which the record was collected and only as needed to achieve a program
objective under the following routine uses:
(1) Program Purposes. The Department may disclose information
contained in the PEPS to appropriate guaranty agencies, educational and
financial institutions, accrediting agencies, State agencies, and
appropriate Federal, State, or local agencies, in order to verify and
assist with the determination of eligibility, administrative
capability, and financial responsibility of postsecondary institutions
that have applied to participate in the student financial assistance
programs.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records in the PEPS, as a routine use, to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
executive order or rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or alternative dispute resolution (ADR), or
has an interest in litigation or ADR, the Department may disclose PEPS
records to the parties described in paragraphs (b), (c) and (d) of this
routine use under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice has agreed to provide or
arrange for representation for the employee; or
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States, where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice is relevant and necessary to litigation, the Department may
disclose those records as a routine use to the Department of Justice.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, or to an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes, is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to that adjudicative body, entity or individual.
(d) Opposing counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the counsel, representative or
witness.
(4) Employment, Benefit and Contracting Disclosure.
(a) For decisions by the Department. The Department may disclose
records to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For decisions by Other Public Agencies and Professional
Organizations. The Department may disclose records to a Federal,
State, local or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit, to the extent that the record is relevant and
necessary to the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in PEPS to another agency of the
Federal government if the record is relevant to a complaint, grievance,
discipline or competence determination proceeding regarding a present
or former employee of the Department. The disclosure may only be made
during the course of the proceeding.
(6) Labor Organization Disclosure. The Department may disclose
records to a labor organization if a contract between the Department
and a labor organization recognized under Title V of the United States
Code, Chapter 71, provides that the Department will disclose personal
records relevant to the organization's mission. The disclosures will be
made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice. The Department may
disclose records to the DOJ to the extent necessary for obtaining DOJ
advice on any matter relevant to an audit, inspection, or other inquiry
related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purpose of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the
[[Page 30173]]
Department shall require the contractor to maintain Privacy Act
safeguards as required under 5 U.S.C. 552a(m) with respect to the
records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (a) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (b) the amount, status, and history of the
claim; and (c) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained on electronic data files on a server.
RETRIEVABILITY:
The records are indexed by the name of the institution or
organization, and may be retrieved by the OPEID of school, EIN (Entity
Identification Number) of the school or entity; or the name or TIN (Tax
Identification Number or social security number) of the individual.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge. The computer system employed by the Department of
Education offers a high degree of resistance to tampering and
circumvention. This security system limits data access to staff of the
Department of Education, guarantors,. accrediting agencies, State
agencies, and Department contractors on a ``need-to-know'' basis, and
controls individual users' ability to access and alter records within
the system. All users of this system of records are given a unique user
ID with personal identifiers. All interactions by individual users with
the system are recorded.
RETENTION AND DISPOSAL:
History records are kept in PEPS indefinitely, or archived. Records
are maintained and destroyed in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Postsecondary Education Participants System, Office of
Student Financial Assistance Programs, U.S. Department of Education,
Seventh and D Streets, SW., Room 4629, ROB-3, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the PEPS, provide the system manager with your name and social security
number. Your request must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity. You may address your request,
or present that request in person, to the system manager at the address
above.
RECORD ACCESS PROCEDURES:
You may gain access to any record in the PEPS that pertain to you
by contacting the system manager and following the procedures for
notification listed above and must meet the requirements of 34 CFR
5b.5.
CONTESTING RECORD PROCEDURES:
You may contest the content of a record in PEPS pertaining to you
by presenting to the system manager, either in writing or in person, a
request to amend or correct that information. The request to amend, or
for an appointment to present an oral request, must be made in writing
mailed to the system manager at the address provided above. The request
must identify the particular record within the PEPS that you wish to
have changed, state whether you wish to have the record amended,
corrected or deleted, and explain the reasons why you wish to have the
record changed.
RECORD SOURCE CATEGORIES:
Information is obtained from applications submitted by institutions
and entities that seek to participate in the student financial
assistance programs and from components of the Department, from other
Federal, State and non-governmental agencies and organizations that
acquire information relevant to the purposes of the PEPS.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-12-01
SYSTEM NAME:
Title VI Foreign Language and Area Studies Fellowships (FLAS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW, Room 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Graduate Students, who have been nominated for FLAS fellowships by
grantee institutions of higher education.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Title VI FLAS Records System consists of a variety of records
relating to an individual's applications for, and participation in, the
FLAS program. In addition to the individual's name, the system contains
the participant's grantee institution, degree status, award period,
amount of the award, language of the award, title of language course
taken, major discipline, career goal, foreign language proficiency
self-
[[Page 30174]]
evaluation, and a brief description and evaluation of the study
program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Higher Education Act of 1965, as amended, Part A, Title VI,
Section 602(b).
PURPOSE(S):
The information contained in this system is used to determine the
eligibility of nominees for FLAS fellowships; to monitor compliance and
accomplishments; and to use the data to demonstrate program
effectiveness.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
Department of Education personnel, field readers, and grantee
institutions use the information to determine the eligibility of
nominees and to monitor the progress of foreign language and area
studies training. Department of Education personnel and AppNet use some
of the data to demonstrate program effectiveness. Disclosure may be
made to the following entities as well:
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor
[[Page 30175]]
to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m)
with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and US Department of Education personnel.
RETRIEVABILITY:
Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
SAFEGUARDS:
All physical access to the Department of Education site, and the
site of Department contractors where this system of records is
maintained, is controlled and monitored by personnel who check each
individual entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department of Education and contract staff grantees on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Hardcopy records are maintained for five years and then destroyed.
Data stored in the electronic data warehouse are maintained until the
need for longitudinal studies to demonstrate program effectiveness is
no longer required.
SYSTEM MANAGER(S) AND ADDRESS:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC
20202-5247.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, the
year of the award, the name of the grantee institution, and language of
the award. Your request must meet the requirements of the regulations
at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
Contact the system manager.
CONTESTING RECORD PROCEDURES:
Contact the system managers.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual and grantee
institutions on approved forms in hardcopy or electronic format.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-12-02
SYSTEM NAME:
Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA),
Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on teachers or prospective teachers
who have been selected to be recipients for Fulbright-Hays awards to
enable them to engage in foreign language and area studies projects
overseas.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Fulbright-Hays Records System consists of a variety of records
relating to an individual's applications for, and participation in, the
Fulbright-Hays DDRA, FRA or SA programs. In addition to the
individual's name, the system contains the participant's address,
telephone number, educational institution, date and place of birth,
citizenship, social security number, veteran's status, names of
accompanying dependents, previous overseas travel, educational and
employment background, student loan default status, a health statement,
transcripts, references, project description and project cost based on
either the cost-of-living in the host country or the annualized salary
of a faculty member, field reader and US Embassy comments, award
documents, and final project reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Mutual Educational and Cultural Exchange Act of 1961, as
amended (22 U.S.C. 2451-2458).
PURPOSE(S):
The information contained in this system is used for the following
purposes: (1) To determine the
[[Page 30176]]
applicants' qualifications, eligibility, suitability and feasibility;
(2) to award benefits for overseas research; (3) to monitor the
progress of the project including its accomplishments; and (4) to
demonstrate the program's effectiveness.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Program Disclosure. The Department may disclose information to
field readers, the U.S. Department of State, U.S. Embassies, binational
commissions, the J. William Fulbright Foreign Scholarship Board,
foreign educators and officials so that the information can be used to
determine the qualifications, eligibility, suitability, feasibility,
and award benefits for overseas research.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the
[[Page 30177]]
disclosure would be made is qualified to carry out specific research
related to functions or purposes of this system of records. The
official may disclose records from this system of records to that
researcher solely for the purpose of carrying out that research related
to the functions or purposes of this system of records. The researcher
shall be required to maintain Privacy Act safeguards with respect to
the disclosed records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and U.S. Department of Education personnel.
RETRIEVABILITY:
Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by personnel who check each
individual entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department of Education and contract staff grantees on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Hardcopy records are maintained for five years and then destroyed.
Data stored in the electronic data warehouse are maintained until the
need for longitudinal studies to demonstrate program effectiveness is
no longer required.
SYSTEM MANAGER(s) AND ADDRESS:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC
20202-5247.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, date
of birth, social security number, the year of the award, the name of
the grantee institution, major country in which you conducted your
educational activity. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedures. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual on approved application
forms and from field readers, and may be secured from the U.S.
Department of State, U.S. Embassies, binational commissions, the J.
William Fulbright Foreign Scholarship Board, and foreign educators and
officials.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-12-04
SYSTEM NAME:
Jacob K. Javits Fellowship System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals who apply for
fellowships under the Jacob K. Javits Fellowship Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Jacob K. Javits Fellowship System consists of a variety of
records relating to a student's application for, and participation in,
the Javits Fellowship Program. In addition to the student's name, the
system contains the student's social security number, or nine digit
identification number, address, scholastic accomplishments, rating
scores, and reference letters.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title VII, Part A, Subpart 1 of the Higher Education Act of 1965,
as amended (20 U.S.C. 1134-1134d). The program regulations are found in
34 CFR part 650.
PURPOSE(S):
The information contained in this system is used to determine the
qualifications, eligibility, and suitability in the selection of
fellows; to maintain the progress of fellows; to ensure compliance with
program requirements; and to use the data to demonstrate program
effectiveness.
[[Page 30178]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis,
or if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written
[[Page 30179]]
request of that individual. The Member's right to the information is no
greater than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard copy, filed in standard filing
cabinets; on access-controlled personal computers; and on removable
personal computer diskettes that are stored in filing cabinets.
RETRIEVABILITY:
Hardcopy files are retrieved by individual names and educational
institutions. Electronic files are accessed using an individual's
Social Security number, or other nine digit identification number.
SAFEGUARDS:
All physical access to the Department's site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department and contract staff on a ``need-to-
know'' basis, and controls individual users' ability to access and
alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. All interactions
by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Hardcopy records are maintained for five years and then destroyed.
Data stored electronically is maintained until the need for
longitudinal data to demonstrate program effectiveness is no longer
needed.
SYSTEM MANAGERS AND ADDRESS:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600, Portals Building, Washington, DC 20202-
5247.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, date
of birth and Social Security number. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURE:
If you wish to gain access to a record regarding you in the system
of records, provide the system manager with your name, date of birth,
and Social Security number. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURE:
If you wish to contest the content of a record, contact the system
manager. Your request must meet the requirements of the regulations at
34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained principally from individual applicants,
references, and schools attended by the applicant.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-12-04
SYSTEM NAME:
Title VI International Research and Studies Program (IRS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Suite 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individual researchers who have
been selected to be recipients of International Research and Studies
(IRS) awards.
CATEGORIES OF RECORDS IN THE SYSTEM:
The Title VI IRS Records System consists of a variety of records
relating to an individual's applications for, and participation in, the
IRS program. In addition to the individual's name, the system contains
the participant's address, telephone number, educational institution,
citizenship, social security number, institutional or individual DUNS
number, educational and employment background, salary, research or
instructional materials project description, project costs, field
reader comments, award documents, and final project reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Higher Education Act of 1965, as amended, Part A, Title VI,
section 605(a).
PURPOSE(S):
The information contained in this system is used for the following
purposes: (1) To determine the qualifications and eligibility of the
project director, competitiveness of and need for the project, and
award benefits; (2) to monitor the progress of the project including
its accomplishments; and (3) to demonstrate the program's
effectiveness.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Field Reader Disclosures. The Department may disclose
information to field readers in order to determine the qualifications
and eligibility of the project director, competitiveness of and need
for the project, and award benefits.
[[Page 30180]]
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be
[[Page 30181]]
valid and overdue as follows: (1) The name, address, taxpayer
identification number and other information necessary to establish the
identity of the individual responsible for the claim; (2) the amount,
status, and history of the claim; and (3) the program under which the
claim arose. The Department may disclose the information specified in
this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained
in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which
these disclosures may be made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and Department personnel.
RETRIEVABILITY:
Hard copy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
SAFEGUARDS:
All physical access to the Department's site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by personnel who check each individual
entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff grantees on a ``need-to-
know'' basis, and controls individual users' ability to access and
alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. All interactions
by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Hard copy records are maintained for five years and then destroyed.
Data stored in the electronic data warehouse are maintained until the
need for longitudinal to demonstrate program effectiveness is no longer
required.
SYSTEM MANAGER(s) AND ADDRESS:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, US Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202-5247.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, date
of birth, social security number, the year of the award, the name of
the grantee institution, major country in which you conducted your
educational activity. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
RECORD SOURCE CATEGORIES:
Information is obtained from the individuals and institutions on
approved application forms and from field readers.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-13-01
SYSTEM NAME:
National Center for Education Statistics Longitudinal Studies and
the School and Staffing Surveys.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
National Center for Education Statistics, Office of Educational
Research and Improvement, U.S. Department of Education, 555 New Jersey
Avenue, NW., Room 400, Washington, DC 20202-5574. See the Appendix at
the end of this system notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on the following groups:
(1) High school seniors who participated in the National
Longitudinal Study of the High School Class of 1972;
(2) Approximately 26,820 high school seniors and sophomores from
1,015 U.S. high schools who participated in the High School and Beyond
Survey in 1980;
(3) Approximately 26,000 eighth grade students in 1,050 U.S.
schools who participated in the National Education Longitudinal Study
of 1988;
(4) Approximately 60,000 students enrolled in U.S. postsecondary
institutions who participate in each cycle of the National
Postsecondary Student Aid Study, the Baccalaureate and Beyond Study, or
the Beginning Postsecondary Students Longitudinal Study;
(5) Approximately 21,000 kindergartners, their parents, and 6,000
teachers who are participating in the Early Childhood Longitudinal
Study, Kindergarten Cohort in 1998;
(6) 14,000 children and their families as well as 4,500 childcare
providers that will participate in the Early Childhood Longitudinal
Study, Birth Cohort 2000;
(7) Approximately 78,000 teachers, administrators, and librarians
who participate in each administration of the School and Staffing
Surveys of NCES;
(8) Approximately 11,000 faculty and administrators who
participated in the 1987-88 National Study of Postsecondary Faculty;
(9) Approximately 30,000 faculty, instructional staff, and
administrators who participate in subsequent administrations of the
National Study of Postsecondary Faculty;
(10) Approximately 33,000 U.S. students who participated in the
Third International Mathematics and Science Study and the 15,000 U.S.
students who will participate in the subsequent administration of the
Third International Mathematics and Science Study;
(11) Approximately 5,000 U.S. students who will participate in an
international Civics Education Study;
(12) 9,000 U.S. students who will participate in the Program of
International Student Assessment;
(13) 8,000 U.S. adults who will participate in the International
Life Skills Survey.
CATEGORIES OF RECORDS IN THIS SYSTEM:
This system consists of responses to survey instruments which
contain background and demographic data, questions concerning
educational experiences, employment experiences, finances, aspirations,
plans and goals, family formation variables, and attitudes. Cognitive
test scores, financial aid records, and high school and college
[[Page 30182]]
transcripts are appended to the records as well.
The records for schools and local education agencies contain
information on numbers and characteristics of teaching staff,
administrators, financial and demographic data, and data related to
student performance.The records related to teachers and administrators
contain, in addition to the above, information on training and
experience, salary history, and attitudes and opinions on educational
and operational questions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 1221e-1.
PURPOSE(S):
This system is used to describe the critical influences, contexts,
and transitions of students in elementary, secondary, and postsecondary
education and into employment and adult experience.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Contract Disclosure. When the National Center for Education
Statistics intends to contract with a private firm for the purpose of
collating, analyzing, aggregating, maintaining, appending, or otherwise
refining records in this system, the Commissioner of Education
Statistics may release relevant records to the contractor. The
contractor will be required to maintain safeguards under the Privacy
Act of 1974 and under section 406(d)(4) of GEPA (20 U.S.C. 1221e-
1(d)(4)) with respect to such records.
(2) Research Disclosure. Where the Commissioner of Education
Statistics determines that an individual or organization is qualified
to carry out specific research, the Commissioner may disclose
information from these systems of records to that researcher solely for
the purpose of carrying out that research. The researcher shall be
required to maintain under the Privacy Act of 1974 and 20 U.S.C. 1221-
e1(d)(4) safeguards with respect to such records.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The research files will be stored on computer tapes and diskettes.
The location files will be kept on computer tapes.
RETRIEVABILITY:
The records are retrievable by title of survey and name of person.
SAFEGUARDS:
The research files and location files are not directly mergeable in
the form maintained and stored. The identification codes on each file
are different. They can be related by use of an encryption algorithm
known to only a few authorized staff. Copies of the computer tapes and
discs containing the location files are stored with three levels of
password protection. Hence, immediate access to the location files is
possible only by authorized staff. When in active use for editing,
tabulation and analysis, files of information and identifiers will not
be kept together unless necessary for processing the data. The files
will be accessed only through approved identification of the user and
the use of passwords. Passwords will be changed at the conclusion of
each period of use and returned to storage. Tapes, discs and
questionnaires will be kept in locked files in locked rooms.
RETENTION AND DISPOSAL:
The records will be kept for five years after the final survey
administration, including the base year survey and any following
surveys and then transferred to the Federal Records Center, where,
after 15 years, they will be destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Commissioner, National Center for Education Statistics, Office of
Educational Research and Improvement, U.S. Department of Education, 555
New Jersey Avenue, NW., Room 400, Washington, DC 20208-5574.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager at the address listed
above. Your request must meet the requirements in the regulations at 34
CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURE:
If you wish to gain access to a record regarding you, contact
system manager. Your requests must meet the requirements in the
regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORDS PROCEDURE:
If you wish to contest the content of a record regarding you,
contact the system manager. Your request must meet the requirements in
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in the records comes form responses to survey
instruments.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-13-01
Additional System Locations
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, P.O. Box 12194, Research Triangle Park,
North Carolina 27709.
National Opinion Research Center, 1155 E. 60th Street, Chicago,
Illinois 60637-2799.
Educational Testing Service, 1825 Eye Street, NW, Suite 475,
Washington, DC 20006.
The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley,
California 94704.
Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.
Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite
400, Washington, DC 20007.
Institute for Social Research, Survey Research Associates,
University of Michigan, 426 Thompson, Ann Arbor, MI 48106.
School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.
18-13-02
SYSTEM NAME:
National Center for Education Statistics Affidavits of
Nondisclosure.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
See the Appendix to this system notice.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on employees of the National
Center for Education Statistics (NCES) or other persons who assist NCES
in the performance of its work, who have access to any record, response
form, completed survey or aggregation thereof from which information
about individual students, teachers,
[[Page 30183]]
administrators, or other individual persons may be revealed, and who
have signed a pledge not to disclose such information. Other persons
who may assist NCES include employees of companies, profit or nonprofit
organizations, State agencies, local agencies or instrumentalities
having a contract, task order, interagency agreement, or some other
formal agreement with NCES and who have access to individually
identifiable information.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains the following information:
(1) The affidavit of nondisclosure that includes the individual's
name, place of work (company, agency, etc.), signature, and date
signed; and
(2) the name of the project or survey in which the entity employing
the individual was involved.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 406(d)(4) of the General Education Provisions Act, as
amended by Title III, Part A, Section 3001, of Public Law 100-297,
April 28, 1988 (20 U.S.C. 1221e-1(d)(4)).
PURPOSE(S):
This system of records is used for the following purposes: (1) To
maintain information necessary for internal control and monitoring of
those having access to individually identifiable information; (2) to
provide evidence in disciplinary actions or prosecution of individuals
who disclose individually identifiable information protected from
disclosure under Section 406(d)(4) of the General Education Provisions
Act, as amended; and (3) to ensure that individuals utilized by the
Commissioner of NCES protect the individually identifiable data of
NCES.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING THE
CATEGORIES OF USERS AND THE PURPOSES OF THOSE USERS:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Contractor Disclosure. A record may be disclosed from this
system of records to employees of entities having a contract or other
agreement with the Commissioner to assist in the collection of data on
behalf of NCES to ensure that these entities maintain an accurate file
of individuals who have access to individually identifiable information
in performance of their duties under the contract or other agreement.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(4) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation and ADR, the Department may disclose those records as a
routine use to the DOJ.
(5) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(6) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards under 5 U.S.C. 552a(m) with respect to such
records.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Information will be kept in file folders and on computer diskettes
or computer tapes.
RETRIEVABILITY:
The records will be retrievable by name, date, and place of work of
the individual.
SAFEGUARDS:
The records will be kept in locked files. The computer tapes and
diskettes will be accessible by authorized personnel through
identification number and password.
[[Page 30184]]
RETENTION AND DISPOSAL:
Each affidavit will be kept for 5 years after the individual access
to NCES confidential data has ceased and then will be transferred to
the Federal Records Center, where it can remain up to 15 years before
it is destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Statistician & Individual Survey Project Officers, National
Center for Education Statistics, U.S. Department of Education, 555 New
Jersey Avenue, NW., Washington, DC 20208-5574.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
listed above and provide your name, place of work (i.e. company,
agency, etc.), and the dates of employment. Your request must meet the
requirements in the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURESS:
If you wish to gain access to records regarding you in this system
of records, contact the system manager and provide your name, place of
work (i.e. company, agency, etc.), and the dates of employment. Your
request must meet the requirements in the regulations at 34 CFR 5b.5,
including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you,
contact the system manager. Your request to amend a record must meet
the requirements of 43 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in the records comes from individuals who have signed
the affidavits of nondisclosure.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-13-02
Additional System Locations
National Center for Education Statistics, U.S. Department of
Education, 555 New Jersey Avenue, NW., Washington, DC 20202-5574.
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, P.O. Box 12194, Research Triangle Park,
North Carolina 27709.
National Opinion Research Center, 1155 E. 60th Street, Chicago,
Illinois 60637-2799.
Educational Testing Service, 1825 Eye Street, NW, Suite 475,
Washington, DC 20006.
The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley, CA
94704.
Abt Associates, 55 Wheeler Street, Cambridge, MA 02138.
Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite
400, Washington, DC 20007.
Institute for Social Research, Survey Research Associates,
University of Michigan, 426 Thompson, Ann Arbor, MI 48106.
School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.
18-13-03
SYSTEM NAME:
National Center for Education Statistics' National Assessment of
Educational Progress.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
WESTAT, 1650 Research Boulevard, Rockville, MD 20850.
Educational Testing Service, Rosedale Road, Princeton, NJ 08541.
National Computer Systems, 2510 N. Dodge Street, Iowa City, IA
52245.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on the following individuals: (1)
Individuals who leave school early as early graduates or as drop-outs
(defined as 17-year-olds who are no longer in school) and are covered
during a six month data verification period; (2) young adults in the
study who are covered during a six month data verification period; and
(3) individual schools which are covered under the National Assessment
of Educational Progress (NAEP) statute (20 U.S.C. 9010 (c)(2)(A)).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records contain responses to assessment and survey instruments. The
contents of these instruments are of two types: (1) Cognitive test
items to assess the educational achievement of students and young
adults in various subject areas taught in school; and (2) questions
about student demographic and background variables as well as the
characteristics of teachers and schools.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 9010.
PURPOSE(S):
The purpose of the National Assessment of Educational Progress
(NAEP), funded by the Department of Education, is to provide
information on the educational achievement of young Americans over
time.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
During a six-month verification period, individually identifiable
information about individuals who leave school early or are young
adults is subject to the Privacy Act, and may be disclosed under
routine uses that are consistent with the Commissioner's authority
under section 406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4)). The routine
uses that apply to this period permit disclosures to individuals who:
(1) Take the oath and sign an affidavit of nondisclosure required
under 20 U.S.C. 9007;
(2) Work for a contractor, grantee, or party to a cooperative
agreement or other entity that has an agreement with the Commissioner
to conduct research for National Center for Education Statistics
(NCES), or
(3) Work under a research contract, grant, or cooperative agreement
with a Federal, State, or local agency that requires the use of
individually identifiable information, and the research is compatible
with the purpose for which NCES collected the data, or
(4) Work under an agreement in writing to:
(i) Use the information for statistical purposes only,
(ii) Maintain the data in accordance with applicable Federal laws,
(iii) Prohibit redisclosure in identifiable form, and
(iv) Permit NCES' periodic inspection to determine adherence to the
contract or agreement.
Regarding the records of individual schools, which, under 20 U.S.C.
9010(c)(2)(A), must be treated as individuals subject to the Privacy
Act, NCES may make routine use disclosures, consistent with the
statistical purposes for which a record was supplied, as follows:
(1) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose
[[Page 30185]]
the records to those employees. Before entering into such a contract,
the Department shall require the contractor to maintain Privacy Act
safeguards as required under 5 U.S.C. 552a(m) with respect to the
records in the system.
(2) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
ED may disclose certain records to the parties described in paragraphs
(b), (c) and (d) of this routine use under the conditions specified in
those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If ED
determines that disclosure of certain records to a party, counsel,
representative or witness in an administrative proceeding is relevant
and necessary to the litigation, the Department may disclose those
records as a routine use to the party, counsel, representative or
witness.
POLICIES AND PRACTICES FOR RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained on magnetic tape and computer disk
media.
RETRIEVABILITY:
Records are retrievable by assessment year, subject area, age or
grade at the school or individual respondent level.
SAFEGUARDS:
Access to the restricted-use data files and completed test booklets
and forms is severely limited to key contractor and NCES staff. User
access to the restricted-use data files has three levels of data access
protection. Access to the files is restricted to authorized NAEP staff
who have a valid need for immediate access to NAEP data. This access is
controlled and monitored by the use of secure ``log-on'' identification
and password protection schemes. Access to individual restricted-use
data files is controlled by an access control facility that restricts
users to only those files that are necessary and approved for their
perusal. In addition, the restricted-use data files are backed-up to an
off-site secure location that will protect NAEP data in the event of a
computer center disaster. This off-site storage is in a secure vault
that is physically protected from unauthorized entry. The open-ended
responses are stored in a secure warehouse with access limited to NAEP
project staff.
RETENTION AND DISPOSAL:
The NAEP restricted-use data files are stored in a secure computer
facility. The security mechanism includes physical security, data
security, and disaster recovery capability. The computer facility is
housed within a fire-resistant masonry and steel door structure.
Physical access to the facility is electronically controlled through
magnetically imprinted identification badges and is limited to
authorized staff who have functional responsibilities within the
secured areas. Open-ended responses are kept indefinitely. However,
data that could be used to identify individuals are destroyed six
months after collection.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Commissioner, Educational Assessment Division, National
Center for Education Statistics, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW.,
Room 308C, Washington, DC 20208-5653.
NOTIFICATION PROCEDURES:
If you wish to determine whether a record regarding you exists in
this system of records, you should contact the system manager at the
address listed above and provide your name, date of birth and social
security number. Your requests must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system of records,
you should contact the system manager and provide the information
described in the Notification Procedures. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest information contained in this system of
records, you should contact the system manager. You should specify the
particular record you are seeking to amend, whether a deletion, an
addition, or a substitution is being sought and the reason(s) for the
requested change(s). Your request should meet the requirements of the
regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system comes from the data collected from
the subject individuals and individual schools.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[[Page 30186]]
18-13-04
SYSTEM NAME:
Outcomes of Diversity in Higher Education Surveys.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
National Institute on Postsecondary Education, Libraries, and
Lifelong Learning, U.S. Department of Education, 555 New Jersey Avenue,
NW., Room 627, Washington, DC 20208-5531. See the Appendix at the end
of this system notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains data on the following individuals: (1)
Approximately 5500 students who were first-time freshmen in Fall 1998
at 9 four-year institutions of higher education; (2) approximately 300
faculty who teach freshmen at those institutions; and (3) approximately
45 administrators of those institutions. There will be follow-up data
for spring of 1999 and spring of 2000 on the initial set of freshmen
respondents.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of responses to survey instruments and
interview protocols. In addition to background and demographic data,
the survey instruments include sets of items concerning perception of
institutional commitment to diversity, attitudes, campus climate,
knowledge of multiple cultures and pedagogy. The opinions of students,
faculty and administrators concerning diversity and multiculturalism
are also represented.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 6031 (h) (Supp. 1998).
PURPOSE(S):
The information contained in the system is used for the following
purposes: (1) To increase understanding of the effects of diversity in
higher education on all students by examining incoming attitudes of
first-time freshmen and changes in attitudes and cognitive development
concerning issues of diversity and multiculturalism; and (2) to assess
pedagogy and student participation, attainment, development, attitudes
and knowledge.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department may disclose information contained in a record in
this system of records without the consent of the individual if the
disclosure is compatible with the purpose for which the record was
collected and only as needed to perform one or more of the following
routine uses:
(1) Contract Disclosure. When OERI intends to contract with a
private firm for the purpose of collating, analyzing, aggregating,
maintaining, appending, or otherwise refining records in this system,
the Director may release relevant records to the contractor. The
contractor will be required to maintain safeguards under the Privacy
Act of 1974 and under section 406(d)(4) of GEPA (20U.S.C. 1221e-
1(d)(4)) with respect to such records.
(2) Research Disclosure. Where the Director determines that an
individual or organization is qualified to carry out specific research,
the Director may disclose information from these systems of records to
that researcher solely for the purpose of carrying out that research.
The researcher shall be required to maintain Privacy Act of 1974 and 20
U.S.C. 1221e-1(d)(4) safeguards with respect to such records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The research and location files will be stored on separate computer
diskettes.
RETRIEVABILITY:
Aggregate files may be retrieved by title of survey. The location
files will be destroyed upon completion of this project as there will
be no future need to retrieve an individual record. Only the completed
interview protocols will be retained in hard copy by title of
individual interviewed at each of the nine institutions.
SAFEGUARDS:
The research files and location files cannot be merged in the form
maintained and stored since the identification codes on each file are
different. They can be related by use of an encryption algorithm known
only to a few staff authorized to work with the data files. When in
active use for editing, tabulation and analysis, files of information
and identifiers will not be kept together unless necessary for data
processing. Tapes, discs and questionnaires will be kept in locked
files.
RETENTION AND DISPOSAL:
The records will be kept for five years after the final survey
administration, in spring of 2000. In the spring of 2005, the records
will be transferred to the Federal Records Center, where, after 15
years, they will be destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, National Institute on Postsecondary Education, Libraries
and Lifelong Learning, U.S. Department of Education, 555 New Jersey
Avenue, NW., Room 627, Washington, DC 20208-5531.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you,
contact the system manager at the address listed above. Your requests
must meet the requirements in the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
Same as Notification Procedure.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record, contact the system
manager. Any requests to amend a record must meet the requirements of
34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in the records comes from the responses to survey
instruments.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-13-04
Additional System Locations
Mathtech, Inc., 6402 Arlington Blvd., Suite 1200, Falls Church, VA
22042-2356.
Mathtech, Inc., 202 Carnegie Center, Suite 111, Princeton, NJ 08540-
6239.
Mathtech, Inc., 180 Pembrooke Circle, Phoenixville, PA 19460.
18-14-01
SYSTEM NAME:
Educationally Disadvantaged Students Attending Private Schools
Served Through Bypass Contracts.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Contractor serving the State of Virginia: Nonpublic Educational
Services, Inc., 14416 Jefferson Davis Highway, Suite 11, Woodbridge, VA
22191.
Contractor serving the State of Missouri: Blue Hills Homes
Corporation, 1020 East 63rd Street, Kansas City, MO 64110.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on selected elementary and secondary
school students whom:
(1) Attend private schools;
(2) Reside in target areas of bypassed local educational agencies;
and
[[Page 30187]]
(3) Participate in the program for students who are failing or most
at risk of failing under Title I of the Elementary and Secondary
Education Act of 1965 as amended.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains student documents such as test scores, report
cards, individual instructional records and reports from teachers to
other teachers and parents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C.
6321.
PURPOSE(S):
The information contained in this system is used for a variety of
purposes. The standardized test scores obtained at the beginning of a
year are used to determine the eligibility of students for
participation in the Title I program. The report cards and reports of
Title I teachers to regular classroom teachers and to parents are used
to report the progress students are making during the school year. The
scores on the achievement tests given at the end of a school year are
used to measure the progress students have made during the year and the
degree to which the objectives of the Title I progress have been met.
The purpose of the individual instructional record is to provide a plan
for meeting the students' instructional needs.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record on this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Educational Disclosures. Title I teachers make information
contained in this system of records available to regular classroom
teachers and to the parents of those students to explain the
eligibility of students and their progress in the Title I program.
Supervisors of the Title I teachers also use the information contained
in this system of records as a part of the monitoring process to
measure progress being made toward achieving program objectives.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(7) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(8) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings
[[Page 30188]]
regarding a present or former employee of the Department: complaint,
grievance, discipline or competence determination proceedings. The
disclosure may only be made during the course of the proceeding.
(9) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(10) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
DISCLOSURES TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Each student's records are kept in a separate file folder. All
folders are filed in a locked filing cabinet in the Title I classroom.
After a student no longer participates in the program, his or her
records are transferred to the contractor's office or storage facility
where they are stored in locked filing cabinets.
RETRIEVABILITY:
The records are indexed by student names, school attended and year
of attendance at that school.
SAFEGUARDS:
The records are secured in a locked filing cabinet. The key is kept
by the Title I teacher. After a student no longer participates in the
program, the records are transferred to the contractor's office or
storage facility where they are stored in a locked filing cabinet.
Direct access is restricted to the Title I teacher and aide during the
day-to-day program operation. The instructional supervisor,
representatives of the contractor, and Department of Education staff
have access during monitoring visits.
RETENTION AND DISPOSAL:
Records are maintained in the contractor's office or storage
facility for at least three years after final payment on the contract.
Disposal of records are in accordance with the Department of Education
Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Compensatory Education Programs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W230, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If a student or his or her parent or guardian wishes to determine
whether a record exists regarding them in this system of records, he or
she must notify the appropriate contractor for the State served by the
bypass contract. The name and address of the appropriate contractor is
listed under the system location of this notice. For identification,
the authorized individual seeking information should provide the name,
home address, and school of the student for whom information is being
requested. The request must meet the requirements in the regulations at
34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
In order to gain access to a record in this system, you should
contact the contractor listed in the system location or the system
manager. You should provide the contractor with the information listed
in the Notification Procedure of this notice and reasonably specify the
record contents being sought. The request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of the record of a participating
Title I student, you should contact the contractor for the State served
by the bypass contract. You should identify yourself and state, in
writing, which portion of the record you desire to be changed and
provide a justification and authorization for the change. The
contractor will forward the request to the system manager. The request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system comes from test scores on
achievement tests for program eligibility administered at private
schools and class performance information from the regular class
teachers.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-14-02
SYSTEM NAME:
Fellowships for Indian Students--Applications and Awards.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Indian Education, Office of Elementary and Secondary
Education, 1250 Maryland Avenue, SW., Room 4300, Portal Building,
Washington, DC 20202-6335.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
American Indians who are citizens of the United States or residents
of the United States for other than a temporary purpose, who have been
accepted by institutions of higher education in a program leading to an
undergraduate or graduate degree in the fields of Business
Administration, Engineering and Natural Resources or related fields,
and graduate degree in the fields of education, law and medicine or
related fields, and who have applied to Department's Office of Indian
Education for a fellowship.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, phone number, date and place of birth, tribal
affiliation, tribal roll number, social security number, sex, marital
status, citizenship, names of dependents, educational background,
employment background, educational transcripts, references, income
information, admission test scores.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Indian Education Act of 1972, as amended, Pub. L. 92-318, Part B,
section 423.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the
[[Page 30189]]
Department has complied with the computer matching requirements of the
Act, under a computer matching agrement.
(1) Advisory Council Disclosure. Information may be released to
members of the National Advisory Council on Indian Education.
(2) Field Readers Disclosure. Field Readers for the purpose of
determining eligibility and recommending awardees; selected data for
developing brochures describing the Fellows and their career goals for
public information purposes.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c) or (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, any component of the Department;
or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her official capacity where
the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard copy, filed in locked standard
file cabinets.
RETRIEVABILITY:
Records are accessed by individual names only by authorized
Department staff and Field Readers for the purposes of determining
eligibility; selecting Fellows: Establishing allowances for stipends,
dependents, tuition, and other expenses; determining continued
eligibility; and developing profile information regarding recipients of
fellowships for program evaluation, planning, reporting and publicity
purposes.
RETENTION AND DISPOSAL:
Records on fellowship holders are maintained and disposed of in
accordance with the Department of Education Records Disposition
Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Indian Education, Office of Elementary and
Secondary Education, ATTN: Education Program Specialist for
Fellowships, U.S. Department of Education, 400 Maryland Avenue SW.,
Room 4300, Washington, DC 20202-6335.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name, the
year of the award, the name of the grantee institution, and type of
award. Your request must meet the requirements of the regulations at 34
CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
To gain access to records regarding you in this system of records,
follow the Notification Procedure described above. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in
this system of records, contact the system manager at the address
listed above and reasonably identify the record and specify the
information to be contested. Your request must meet the requirements of
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from the individual applicant and from
references submitted by the applicant on approved forms.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-15-01
SYSTEM NAME:
Bilingual Education Graduate Fellowship Program.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
U.S. Department of Education, Office of Bilingual Education and
Minority Languages Affairs, 330 C Street, SW., Room 5618, Washington,
DC 20202-6642.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records about individuals who apply for
acceptance in the program, and if approved, who participate in the
fellowship program.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of a variety of records relating to a
student's application for, and participation in, the fellowship
program. In addition to the student's name, the system contains the
student's address, telephone number, social security number, name of
the institution attended, amount of award, obligation status, degree
sought, field of study, and the name and address of the employer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title VII, Part A of the Bilingual Education Act of 1994, as
amended (Pub. L. 103-382) (20 U.S.C. 7475 (1994)). The program
regulations are found in 34 CFR part 535.
PURPOSE(S):
The information contained in this system is used for the purposes
of administering the Bilingual Education Graduate Fellowship Program,
including enforcing the terms and conditions of the contracts signed by
the fellows, permitting the collections on loans, and locating
delinquent or defaulted debtors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual,
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
[[Page 30190]]
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
ED may disclose certain records to the parties described in paragraphs
(b), (c) and (d) of this routine use under the conditions specified in
those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(5) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(6) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(8) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(9) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE
The records are maintained in hard copy and on an access-controlled
personal computer.
RETRIEVABILITY:
The file is indexed by Social Security number or name. Data for
awards made under the Bilingual Education Graduate Fellowship Program
are retrieved by social security number or name.
SAFEGUARDS:
All physical access to the Department's site where this system of
records is maintained is controlled and monitored by security personnel
who check each individual entering the building for his or her employee
or visitor badge. The computer system employed by the Department offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on
a ``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Records of individual awards are destroyed five years after
cancellation, forgiveness, final payment to grantee, or audit, of the
loan, whichever is sooner. Records relating to those individuals who
are not approved to participate in the fellowship program are
transferred to the Federal Records Center and destroyed three years
after the date of rejection or withdrawal.
SYSTEM MANAGER AND ADDRESS:
Education Program Specialist, Bilingual Education Graduate
Fellowship Program, Office of Bilingual
[[Page 30191]]
Education and Minority Languages Affairs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 5618, Switzer Building, Washington, DC
20202-6642.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name, date
of birth, social security number, and the name of the school through
which the award was obtained. You may present your request in person at
the system manager's address indicated above. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in this system
of records, you should contact the system manager and provide the
information as described in the Notification Procedure. In order to
avoid excessive delays and exchanges of correspondence, you are
encouraged to request both notification and access at the same time.
Requests for access to a record should reasonably specify the
particular record content being sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest information contained in a record in this
system of records, you should contact the system manager. Requests for
amendment of records may be made either in writing or in person, and
should specify: (1) The system of records from which the record is to
be retrieved; (2) the particular record requested for amendment; (3)
whether a deletion, an addition, or a substitution is being sought; and
(4) the reason(s) for the requested change(s). You should include in
your requests any appropriate documentation supporting the requested
change(s). Your request must meet the requirements of the regulations
at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from fellowship recipients, institutions of
higher education, and employers.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[FR Doc. 99-12656 Filed 6-3-99; 8:45 am]
BILLING CODE 4000-01-P