[Federal Register: January 28, 1998 (Volume 63, Number 18)]
[Notices]
[Page 4231-4234]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28ja98-61]
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DEPARTMENT OF EDUCATION
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General, Department of Education.
ACTION: Notice of an altered system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended (Act),
the Department of Education (Department) publishes this notice of
proposed alterations to its system of records for the Investigatory
Material Compiled for Personnel Security and Suitability Purposes for
the Office of Inspector General (OIG)--18-10-0002. These alterations
serve to update the system of records to reflect current administrative
and related procedures, implementation of computer database technology,
organizational restructuring, clarification and expanded language to
provide greater detail and description applicable to the system of
records, and proposed new and revised routine uses of the information
contained in this system of records. Because the routine uses have been
revised or expanded, the Department requests comment regarding the
proposed routine uses contained in this notice.
DATES: Comments on the proposed routine uses of this system of records
must be received by the Department on or before February 27, 1998. The
Department filed a report on the altered system of records 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 January 23, 1998. This altered
system of records will become effective after the 30-day period for
[[Page 4232]]
OMB review of the system expires on February 22, 1998, unless OMB gives
specific notice within the 30 days that the system is not approved for
implementation or requests an additional 10 days for its review. The
new and revised routine uses become effective 30 days after publication
unless they need to be changed as a result of public comment. The
Department will publish any changes to the routine uses that are
required as a result of the comments.
ADDRESSES: All comments on the proposed routine uses should be
addressed to the Deputy Inspector General, U.S. Department of
Education, 600 Independence Avenue, SW., 4022 MES, Washington, DC
20202-1510. Comments may also be sent through the Internet to:
Comments@ed.gov
You must include the term ``Security Notice'' 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
4022 Switzer Building, 330 C Street, SW., Washington, DC, between the
hours of 8:00 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)
205-8113 or (202) 260-9895. 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: Sandra H. Warren, Security Officer,
Office of Inspector General, U.S. Department of Education, 600
Independence Avenue, SW., 4022 MES, Washington, DC 20202-1510.
Telephone: (202) 205-5400. 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 the 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.
General
The Act (5 U.S.C. 552a)(e)(4) requires the Department to publish in
the Federal Register this notice of an altered system of records. The
Department's regulations implementing the Act are contained in the Code
of Federal Regulations (CFR) in 34 CFR part 5b. A system of records is
considered altered whenever an agency changes the way it retrieves
records, expands the types or categories of information, or revises its
routine uses for information contained in the system. This system
notice has not been updated since its publication in the Federal
Register on April 20, 1982. As a result, revisions are needed to
accurately describe the current system of records that maintains
investigatory material on current and former Department employees,
individuals who have applied for employment with the Department, and
other individuals doing business with the Department.
The records in this system are maintained to provide the Inspector
General and other responsible Department of Education (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. For those
investigations conducted by the Office of Inspector General, these
records may also be disclosed to other Federal and non-Federal
investigatory agencies to protect the public or Federal interest, or
both.
The revisions in this system notice change the name of the system
manager and add additional system locations; update the authority for
the maintenance of the system; provide a detailed description of the
nature of the security investigation case files; revise and clarify the
purpose of the system; expand the categories of individuals covered by
the system to include people seeking association with the Department
under Federal contracts or other agreements as well as individuals
seeking employment or retention with the Department; revise and expand
the routine use disclosures to provide for the disclosure of
information to contractors, grantees, experts, consultants, or
volunteers performing or working on a contract, grant, or service for
the Department and with respect to litigation-related disclosures and
for purposes relating to the Freedom of Information Act; and
disclosures to specified intelligence agencies of the Federal
Government for use in intelligence or investigation activities. This
notice also revises the manner in which the records are stored,
retrieved, and safeguarded with regard to the use of computer database
technology; clarifies the retention and disposal period for records
maintained in the system; and expands the notification procedures to
assist the system manager in the identification of requested
information contained in the system of records.
Direct access is restricted to authorized agency staff in the
performance of their official duties. Due to the extensive revisions in
this notice, it is being published in its entirety.
Dated: January 23, 1998.
Thomas R. Bloom,
Inspector General.
The Office of Inspector General of the U.S. Department of Education
publishes notice of an altered system of records as follows:
18-10-0002
SYSTEM NAME:
Investigatory Material Compiled for Personnel Security and
Suitability Purposes--ED/OIG.
SECURITY CLASSIFICATION:
None.
[[Page 4233]]
SYSTEM LOCATIONS:
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.
Washington National Records Center, Suitland, MD 20746-2042.
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:
Information contained in this system of records may be disclosed as
a routine use in the following instances:
1. 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. To contractors, grantees, experts, consultants, or volunteers
performing or working on a contract, grant, service, or job for the
Department or under a Department program.
5. 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. If the Department determines that disclosure of certain records
to the Department of Justice (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. To the Department of Justice for the purpose of obtaining advice
regarding the releasability of records maintained in this system of
records under the Freedom of Information Act and the Privacy Act of
1974.
7. To a Member of Congress in response to an inquiry from that
member made at the written request of the individual about whom the
information pertains; however, the congressional member's right to the
information is no greater than the right of the individual who
requested it.
8. 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.
[[Page 4234]]
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 Department's Privacy Act
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
Department's Privacy Act 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.
[FR Doc. 98-2077 Filed 1-27-98; 8:45 am]
BILLING CODE 4000-01-P