<?xml version="1.0" encoding="UTF-8"?>


<pai>
<agency toc="yes">
<name>Department of Education</name>
<abbrev>ED
</abbrev>


<previouslyPublished>
<url>https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05015.pdf</url>
<title>18-11-11, Office of the Student Loan Ombudsman Records.
</title>
<date year="2016" month="3" day="8"/>
</previouslyPublished>

    <previouslyPublished>
        <url>https://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21218.pdf</url>
        <title>
           18-11-16, Common Services for Borrowers (CSB). </title>
        <date year="2016" month="9" day="2"/>
    </previouslyPublished>

    <previouslyPublished>
        <url>https://www.gpo.gov/fdsys/pkg/FR-2016-09-09/pdf/2016-21776.pdf</url>
        <title>
            18-05-04, Discrimination Complaints Records System [deleted]
        </title>
        <date year="2016" month="9" day="9"/>
    </previouslyPublished>

    <previouslyPublished>
        <url>https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24141.pdf</url>
        <title>
            18-06-05, Partners in Education  [deleted]
        </title>
        <date year="2016" month="10" day="5"/>
    </previouslyPublished>
    <previouslyPublished>
        <url>https://www.gpo.gov/fdsys/pkg/FR-2016-12-23/pdf/2016-30960.pdf</url>
        <title>
            18–05–15, Student Loan Repayment Benefits Case Files.  </title>
        <date year="2016" month="12" day="23"/>
    </previouslyPublished>
    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01434.pdf </url>
        <title> Health Education Assistance Loan (HEAL) program.</title>
        <date year="17" month="1" day="23"/>
    </previouslyPublished>

    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07170.pdf</url>
        <title> 18-05-08,Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education and 18-05-10,General Performance Appraisal System (GPAS); rescinded  </title>
        <date year="17" month="4" day="10"/>
    </previouslyPublished>

    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2017-05-01/pdf/2017-08722.pdf</url>
        <title> 18-03-04,Files and Lists of Potential and Current Consultants, Grant Application Reviewers, Peer Reviewers, and Site Visitors; rescinded  </title>
        <date year="17" month="5" day="1"/>
    </previouslyPublished>

    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08950.pdf</url>
        <title>18-09-05, Department of Education Federal Docket Management System (EDFDMS). </title>
        <date year="17" month="5" day="3"/>
    </previouslyPublished>

    <previouslyPublished>
        <url> https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16658.pdf</url>
        <title>18-11-21, Integrated Partner Management (IPM) system. </title>
        <date year="17" month="8" day="8"/>
    </previouslyPublished>
        <previouslyPublished>
            <url> https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16658.pdf</url>
            <title>18-11-09, Postsecondary Education Participants System (PEPS)--Deleted. </title>
            <date year="17" month="8" day="8"/>
    </previouslyPublished>
    <routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Routine Uses
</b></p>
<p>Paragraph (b)(3) of section 552a permits disclosure for a routine use. A routine use is a
use of a record for a purpose which is compatible with the purpose for which the record was
collected. Each routine use for which an agency may disclose a record must be published in the
notice of the system of records for which the use will apply. Many of the systems of records
maintained by the Department use standard routine uses. These standard routine uses were published
in Appendix B to the Department's Privacy Act regulations (34 CFR part 5b, May 9, 1980, 45 FR
30808). A system that adopts a standard routine use refers to Appendix B. For ease of reading, the
routine uses listed in Appendix are appended to this document before the Index of Systems and System
Numbers.
</p><p><b>Appendix B of Departmental Regulations (34 CFR part 5b)
</b></p>
<p><i>Routine Uses Applicable To More Than One System of Records Maintained by ED
</i></p>
<p>(1) In the event that a system of records maintained by this agency to carry out its
functions indicates a violation or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular program statute, or by regulation,
rule or order issued pursuant thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the
responsibility of investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>(2) Referrals may be made of assignments of research investigators and project monitors to
specific research projects to the Smithsonian Institution to contribute to the Smithsonian Science
Information Exchange, Inc.
</p><p>(3) 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.
</p><p>(4) 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.
</p><p>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.
</p><p>(5) In the event that a system of records maintained by this agency to carry out its function
indicates a violation or potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program statute, or by regulation, rule
or order issued pursuant thereto, the relevant records in the system of records may be referred, as
a routine use, to the appropriate agency, whether state or local charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or implementing the statute,
or rule, regulation or order issued pursuant thereto.
</p><p>(6) Where federal agencies having the power to subpoena other federal agencies' records, such as
the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for
records in this system of records, the Department will make such records available.
</p><p>(7) Where a contract between a component of the Department and a labor organization recognized
under E.O. 11491 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 organization.
</p><p>(8) Where the appropriate official of the Department, pursuant to the Department's Freedom of
Information Regulation determines that it is in the public interest to disclose a record which is
otherwise exempt from mandatory disclosure, disclosure may be made from this system of records.
</p><p>(9) 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.
</p><p>(10) To individuals and organizations, deemed qualified by the Secretary to carry out specific
research solely for the purpose of carrying out such research.
</p><p>(11) Disclosures in the course of employee discipline or competence determination proceedings.</p></xhtmlContent></routineUses>
<section id="ed18-01-01" toc="yes">
<systemNumber>18-01-01</systemNumber>
<subsection type="systemName">Secretary's Communications Control System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv) Any Department employee in his or her official capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosures to consumer repoting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy filed in standard file cabinets; those stored
electronically are located on computer disks and on backup media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>The computer systems employed by the Department of Education offer a high degree of resistance to
tampering and circumvention.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are derived from documents addressed to or by the Secretary, the Deputy Secretary,
Senior Officials or other officials of the Department.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-01-01
</b></p><p><i>Additional System Locations and System Managers
</i></p><p>Director,  Office of the Executive Secretariat, Office of the Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7C114, Washington, DC  20202.
</p><p>Management Analyst, Office of Chief Financial and Chief Information Office, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 4E213, Washington, DC  20202.
</p><p>Supervisor, Management and Program Analyst, Office for Civil Rights, U.S. Department of
Education, 330 C Street, SW., Room 5026, Washington, DC  20202.
</p><p>Staff Assistant, Office of the Deputy Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7W210, Washington, DC  20202.
</p><p>Program Management Analyst, Office of Educational Research and Improvement, U.S. Department of
Education, 555 New Jersey Avenue, NE., Room 602, Washington, DC  20202.
</p><p>Policy Coordinator Analyst, Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W337, Washington, DC  20202.
</p><p>Operations Officer, Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 6E353, Washington, DC  20202.
</p><p>Staff Assistant, Office of Intergovernmental and Interagency Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 5E317, Washington, DC  20202.
</p><p>Director, Congressional Affairs, Office of Legislation and Congressional Affairs, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC  20202.
</p><p>Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room
2W300, Washington, DC  20202.
</p><p>Deputy Director, Office of Public Affairs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 7E231, Washington, DC  20202.
</p><p>Management and Program Analyst, Office of Postsecondary Education, U.S. Department of Education,
400 Maryland Avenue, SW., Room 4082, Washington, DC  20202.
</p><p>Customer Service Specialist, Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 3113, Washington, DC  20202.
</p><p>Executive Secretariat Liaison, Office of Vocational and Adult Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 4090, Washington, DC  20202.</p></xhtmlContent></subsection></section>
<section id="ed18-01-02" toc="yes">
<systemNumber>18-01-02</systemNumber>
<subsection type="systemName">Education Senior Management Biographies.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Secretary, Office of Public Affairs (OPA), U.S. Department of Education, 400
Maryland Avenue, SW., Room 7E200, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on Department of Education (Department)senior management
officials, including the Secretary, Deputy Secretary, Under Secretary, General Counsel, and
Assistant Secretaries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>No safeguards are in place since the Department senior management officials agree to the
release of this information to the general public.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Office of Public Affairs (OPA), U.S. Department of Education, 400 Maryland
Avenue, SW., 7E200, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-03-01" toc="yes">
<systemNumber>18-03-01</systemNumber>
<subsection type="systemName">Debarment and Suspension Proceedings under Executive Order (EO) 12549, the Drug-Free Workplace Act, and the Federal Acquisition Regulation (FAR).
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p></xhtmlContent>
</subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>For records regarding debarment and suspension actions under:  </p>
<p><i>Federal Acquisition Regulation, 48 Code of Federal Regulations (CFR), part 9, subpart 9.4 - Debarment:</i>  Office of the Chief Financial Officer, U.S. Department of Education, 550 12th St., SW., Washington, DC 20202-1100.</p>
<p><i>EO 12549 " Debarment and Suspension (General):</i>  Grants Policy and Procedures Team, Risk Management Service, Office of the Deputy Secretary, U.S. Department of Education, 550 12th St., SW., Washington, DC 20202-1100.</p>
<p><i>EO 12549 " Debarment and Suspension (For certified public accountants (CPAs) or principals of a CPA firm):</i>  Audit Services, Office of Inspector General, U.S. Department of Education, 100 Penn Square East, Philadelphia, PA 19107-3323.  </p>
<p><i>EO 12549 " Debarment and Suspension (For principals of institutions of higher education, principals of lenders, or principals of guarantee agencies):</i>  Administrative Actions and Appeals Division, Office of Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Washington, DC 20202-5353 and Office of Hearings and Appeals, Office of Management, U.S. Department of Education, 490 E. L"Enfant Plaza, SW., Suite 2100A, Washington, DC 20202-4616.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system covers principals undergoing debarment or suspension proceedings and principals that have been debarred or suspended under either EO 12549, the Drug-Free Workplace Act, title IV of the Higher Education Act of 1965, as amended (HEA), or the Federal Acquisition Regulation.  For the purposes of EO 12549, and the Drug-Free Workplace Act, the term "principal" is defined in the Department"s regulations at 2 CFR 3485.995 and includes an officer, director, owner, partner, or other person who is in a position to handle Federal funds, or influence or control those funds or occupies a professional or technical position capable of substantially influencing the development or outcome of an activity required to perform a covered transaction.  For purposes of transactions made under title IV of the HEA, the term "principal" also includes a third-party servicer and any person who provides services described in 34 CFR 668.2 or 682.200 to a title IV, HEA participant, whether or not that person is retained or paid directly by the title IV, HEA participant.  A "participant" is defined in 2 CFR 180.980 as any person who submits a proposal for, or who enters into, a covered transaction, including an agent or representative of a participant.  A "covered transaction" is a transaction described in 2 CFR part 180, subpart B, and the Department"s regulations in 2 CFR 3485.220.  This system of records covers contractors who are undergoing debarment or suspension proceedings or who have been debarred or suspended.  Contractors covered by this system of records are individuals who meet the definition of "contractor" under 48 CFR 9.403, including individuals who 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.  Finally, this system covers individuals receiving grants or contracts subject to requirements under the Drug-Free Workplace Act who are undergoing debarment or suspension proceedings or who have been debarred or suspended.  </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>This system of records contains documents relating to debarment and suspension proceedings, including:  written referrals, notices of suspensions and proposed debarments, respondents" responses to notices and other communications between the Department and respondents, court documents, including indictments, information, judgments of conviction, plea agreements, prosecutorial offers of evidence to be produced at trial, pre-sentencing reports and civil judgments, intra-agency and inter-agency communications regarding proposed or completed debarments or suspensions, and records of any interim or final decisions, requests, or orders made by a deciding debarring or suspending official (DSO) or fact-finding DSO pursuant to EO 12549, the Drug-Free Workplace Act, and the FAR, 48 CFR subpart 9.4.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>EO 12549, Debarment and Suspension (3 CFR 1986 Comp., p. 189); EO 12689 (3 CFR 1989 Comp., p. 235); the Federal Acquisition Streamlining Act of 1994, Pub. L. 103-355, title II, section 2455, 108 Stat. 3327 (31 U.S.C. 6101 note); 2 CFR part 180 " the Office of Management and Budget Guidelines and 2 CFR part 3485; Departmental Directive for Nonprocurement Debarment and Suspension, Administrative Communications System Directive ODS:  1-101 (Directive); 20 U.S.C. "" 1082, 1094, 1221e-3, and 3474; the Drug-Free Workplace Act of 1988, as amended (41 U.S.C. 8101-8106); 34 CFR part 84 - Department"s Regulations on the Requirements for Drug-Free Workplace (Financial Assistance); and the Federal Acquisition Regulation, 48 CFR subpart 9.4, Debarment, Suspension, and Ineligibility.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>Information contained in this system of records is used to:  (1) protect the Federal Government from the actions of individuals that constitute grounds for debarment or suspension or both under the Department"s debarment and suspension regulations, the Department"s Drug-Free Workplace regulations, or the FAR; (2) make decisions regarding debarments and suspensions; and (3) ensure that participants and Federal agencies give effect to debarment or suspension decisions rendered by the Department.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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 case by case or, if the Department has complied with the requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.</p>
<p>(1)  Litigation or Alternative Dispute Resolution (ADR) Disclosure. </p>
<p>(a)  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:</p>
<p>(i)  The Department or any component of the Department;</p>
<p>(ii)  Any employee of the Department in his or her official capacity;</p>
<p>(iii)  Any employee of the Department in his or her individual capacity where the Department of Justice (DOJ) has agreed or has been requested to provide or arrange for representation for the employee; </p>
<p>(iv)  Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee; or</p>
<p>(v)  The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p>(b)  Disclosure to the Department of Justice.  If the Department determines that disclosure of certain records to DOJ or attorneys engaged by the DOJ is relevant and necessary to judicial or administrative litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to DOJ.</p>
<p>(c)  Adjudicative Disclosure.  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 judicial or administrative litigation or ADR 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.</p>
<p>(d)  Disclosure to Parties, Counsel, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to judicial or administrative litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
<p>(2)  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 System for Award Management (SAM).  SAM incorporates all records from the Excluded Parties List System (EPLS), the prior record- keeping system for suspension and debarment information. This list may be accessed via the Internet at www.sam.gov/portal/public/SAM.</p>
<p> (3)  Disclosure to the Public.  The Department provides information to the public about individuals who have been debarred or suspended by the Department to enforce debarment and suspension actions.</p>
<p>(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 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.</p>
<p>(5)  Freedom of Information Act or Privacy Act Advice Disclosure.  In the event the Department deems it prudent or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act or the Privacy Act, disclosure may be made to the Department of Justice or the Office of Management and Budget for the purpose of obtaining advice.</p>
<p>(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 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.</p>
<p>(7)  Research Disclosure.  Where an appropriate official of the Department determines that an individual or organization is qualified to carry out specific research related to the functions or purposes of this system of records, that official may disclose information from this system of records to that researcher solely for the purpose of carrying out the 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.</p>
<p>(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.</p>
<p>(9)  Disclosure in the Course of Responding to Breach of Data.  The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in preventing, minimizing, or remedying such harm.  </p>
<p>(10) Disclosure in the Course of the Department"s Debarment or Suspension Proceedings or in Anticipation of Such Proceedings.  The Department may disclose records to any business entity, organization, or individual who is involved in the Department"s debarment or suspension proceedings or who is anticipated to be involved in such proceedings, or to the legal representative thereof.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Paper records are kept in file folders in locked file cabinets.  Electronic records are kept in a computer database and on a Web-based portal maintained by the Department.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are indexed by the names of the individuals and by docket numbers.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>All physical access to the sites 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 badge.  Paper files are kept in locked file cabinets.  Immediate access to these records is restricted to authorized staff.  The computer database maintained by the Office of Hearings and Appeals, Office of Management, is accessible only to authorized persons and is password-protected and utilizes security hardware and software.  The Web-based portal that is operated by the Office of Hearings and Appeals, Office of Management, however, is accessible to anyone with access to the Internet.</p>
<p>Access to records in this system is only available to authorized users.  Management approves all access, roles and responsibilities.  Users outside of the internal functional team have no access to personally identifiable information.  Strict access to production and reporting databases is enforced.  Intrusion detection, user recertification, and vulnerability scans are performed on access and databases. </p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records relating to debarment and suspension actions under EO 12549 are retained in accordance with Department of Education Records Disposition Schedule (ED/RDS) Part 16, Item 4(c).  These records are retained for eight years from the end of the fiscal year in which the case is closed and then destroyed.  Records relating to all other debarment and suspension actions are currently unscheduled, pending approval of applicable records retention schedules by the National Archives and Records Administration (NARA).  These records will not be destroyed until applicable NARA-approved records retention schedules are in effect.</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Senior Procurement Executive, Office of the Chief Financial Officer, U.S. Department of Education, 550 12th St., SW., Washington, DC 20202-1100.</p>
<p>Director, Risk Management Service, Office of the Deputy Secretary, U.S. Department of Education, 550 12th St., SW., Washington, DC 20202-1100.</p>
<p>Non-Federal Audit Director, Office of Inspector General, U.S. Department of Education, 100 Penn Square East, Philadelphia, PA 19107-3323.</p>
<p>Director, Administrative Actions and Appeals Division, Office of Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Washington, DC 20202-5353.</p>
<p>Director, Office of Hearings and Appeals, Office of Management, U.S. Department of Education, 490 E. L"Enfant Plaza, SW., Suite 2100A, Washington, DC 20202-4616.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual must contact the system manager.  Requests for notification about an individual record must meet the requirements of the regulations in 34 CFR 5b.5.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>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 in 34 CFR 5b.5.  Consistent with 5 U.S.C. 552a(d)(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.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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 any supporting documentation.  Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Sources for records in this system include:  Department employees involved in the management of grants, contracts, and agreements; the investigative inspection and audit files maintained by the Department"s Office of Inspector General; other organizations or persons that may have relevant information regarding participants and their principals; and participants, principals, contractors, or other individuals undergoing or who have undergone debarment and suspension proceedings.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-03-02" toc="yes">
<systemNumber>18-03-02</systemNumber>
<subsection type="systemName">Education's Central Automated Processing System (EDCAPS).
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p></xhtmlContent>
</subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>Electronic Data Records:  Dell System"s Plano Technology Center, 2300 West Plano Parkway, Plano, TX 75075-8427 and Dell System's Florence Technology Center, 7190 Industrial Road, Florence, KY 41022-2908 (contractor).</p>
<p>See the Appendix at the end of this notice for additional system locations.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Categories of individuals covered by the system include employees of the Department of Education (Department), consultants, contractors, grantees, advisory committee members, peer reviewers, and other individuals receiving funds from the Department for performing services for and providing goods to the Department.</p>
<p>Other categories of individuals covered by the system include:</p>
<p>&#8226; Persons billed by the Department for materials and services such as Freedom of Information Act requests and computer tapes of statistical data. </p>
<p>&#8226; Persons ordered by a court of law to pay restitution to the Department. </p>
<p>&#8226; 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. </p>
<p>&#8226; Current and former Department employees who received overpayments and the overpayments have not been waived by the Department. </p>
<p>&#8226; 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. </p>
<p>&#8226; 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.</p>
<p>Student loan repayment records and records maintained by the Department"s Office of Hearings and Appeals in either its debt management tracking system or on its Web-based system displaying final agency decisions are not covered under this notice.  </p>
<p>Although EDCAPS contains information about institutions associated with individuals, the purposes 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, as amended (Privacy Act) (5 U.S.C. 552a).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Records in this system contain the individual's name and address, telephone number, Taxpayer Identification Number (TIN), the Data Universal Numbering System (DUNS) number provided by Dun &amp; Bradstreet, Social Security number (SSN), date of birth, email address, banking information, eligibility codes, detailed and summary obligation data, reports of expenditures, and grant management data, including application and close-out information.  Documents maintained in the system include, but are not limited to, activity logs, copies of checks, contracts, court orders, letters of notice, promissory notes, telephone logs, peer reviewer resumes, and related correspondence.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Authority for maintenance of the system includes section 415 of the Department of Education Organization Act (Pub. L. 96-88, 20 U.S.C. 3475); 31 U.S.C. 3321 (note); 31 U.S.C. 3512 (including the note) and 3515; 31 U.S.C. 7504; 31 U.S.C. 902(a); Executive Order (EO) 9397 (8 FR 16095), as amended by EO 13478 (73 FR 70239), and 31 U.S.C. 7701 (TIN); Statements of Federal Financial Accounting Standards issued by the Government Accountability Office, the U.S. Department of the Treasury, and the Office of Management and Budget; 31 U.S.C. 3711-3720E.  </p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The purpose of EDCAPS is to maintain financial and management records associated with the fiscal operations of the Department and other entities with contracting authority that use EDCAPS. </p>
<p>Records are used for, but not limited to, the following:</p>
<p>&#8226; Managing grant and contract awards.</p>
<p>&#8226; Making payments.</p>
<p>&#8226; Accounting for goods and services provided and received.</p>
<p>&#8226; Enforcing eligibility requirements and conditions in awards and U.S. law relating to transactions covered by this system.</p>
<p>&#8226; Defending the Department in actions relating to transactions covered by this system.</p>
<p>&#8226; Investigating complaints.</p>
<p>&#8226; Updating information.</p>
<p>&#8226; Correcting errors, investigating fraud, and preventing improper payments.</p>
<p>&#8226; Performing the receivables management function and safeguarding public funds.</p>
<p>&#8226; Preparing financial statements and other financial documents.</p>
<p>&#8226; Determining qualifications of individuals for selection as grant application peer reviewers.</p>
<p>The EDCAPS financial management system consists of a suite of applications including:</p>
<p>Financial Management Software System (FMSS)</p>
<p>The FMSS module of EDCAPS is the Department"s official general ledger.  It is the central piece of the Department's integrated financial management system.  FMSS includes functionality for budget planning and execution, funds control, receipt management, administrative payment management, loan servicing, and internal and external reporting.  FMSS interfaces with a variety of other EDCAPS systems such as the Grants Management System (G5), Contracts and Purchasing Support System (CPSS), and eTRAVEL.  The Travel Management System (TMS) is covered under an existing General Services Administration (GSA) Governmentwide system of records notice entitled "Contracted Travel Services Program" (GSA/GOVT-4).</p>
<p>Grants Management System (G5)</p>
<p>The purpose of G5 is to administer grants and cooperative agreements and record decisions related to grants, from planning through closeout, including disbursing funds to grant recipients for most Department programs and recording non-financial administrative actions involving grants under those programs.  G5 records individual payments in real time, and summary payment data is posted to FMSS in a nightly batching process.  Payment information is retrievable in G5 by DUNS number as required under Office of Management and Budget (OMB) guidance to agencies.  The name, mailing address, and other characteristic data related to Federal grants or institutional loans are also maintained.   </p>
<p>Contract and Purchasing Support System (CPSS)</p>
<p>CPSS supports the contract pre- and post-award process and purchasing.  It interfaces with FMSS at the detail level for fund control, general ledger, accounts payable, and accounts receivable.  A commercial software package is used to provide CPSS functionality.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>The Department of Education 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 requirements of the</p>
<p>Privacy Act, under a computer matching agreement.</p>
<p>(1)  Litigation or Alternative Dispute Resolution (ADR) Disclosure.</p>
<p>(a)  In the event that one of the parties listed below is involved in litigation or ADR proceedings, 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:</p>
<p>(i)  The Department or any component of the Department;</p>
<p>(ii)  Any employee of the Department in his or her official capacity;</p>
<p>(iii)  Any employee of the Department in his or her individual capacity where the Department of Justice (DOJ) has agreed to or has been requested to represent the employee; </p>
<p>(iv)  Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee; or</p>
<p>(v)  The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p>(b)  Disclosure to the Department of Justice (DOJ).  If the Department determines that disclosure of certain records to DOJ is relevant and necessary to judicial or administrative litigation or ADR and is compatible with the purposes for which the records were collected, the Department may disclose those records as a routine use to DOJ.</p>
<p>(c)  Adjudicative Disclosure.  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 judicial or administrative litigation or ADR, 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.</p>
<p>(d)  Disclosure to Parties, Counsel, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to judicial or administrative litigation or ADR, and is compatible with the purposes for which the records were collected, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
<p>(2)  Disclosure to OMB for Credit Reform Act (CRA) Purposes.  The Department may disclose individually identifiable information maintained in this system of records to OMB as needed to fulfill CRA requirements.</p>
<p>(3)  Employee Grievance, Complaint, or Conduct Disclosure.  The Department may disclose records 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:  a grievance, a complaint, or a disciplinary or competency determination proceeding of another agency of the Federal government.</p>
<p>(4)  Labor Organization Disclosure.  Records under this routine use may be disclosed to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.</p>
<p>(5)  Research Disclosure.  Where an appropriate official of the Department determines that an individual or organization is qualified to carry out specific research related to the functions or purposes of this system of records, that official may disclose information from this system of records to that researcher solely for the purpose of carrying out the 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 these records. </p>
<p>(6)  Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure.  In the event the Department deems it desirable or necessary, in determining whether the FOIA or the Privacy Act requires the disclosure of records, disclosure may be made to DOJ or OMB for the purpose of obtaining advice.</p>
<p>(7)  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 as a routine use 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. </p>
<p>(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 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.</p>
<p>(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.</p>
<p>(10)  Payment Disclosure.  The Department may disclose records to the U.S. Department of the Treasury or the Federal Reserve Bank as necessary to facilitate payments to Departmental payees against the Department"s funds or to prevent improper payments.</p>
<p>(11)  Payroll Disclosure.  The Department may disclose records to the U.S. Department of the Interior for employee payroll preparation.</p>
<p>(12)  Disclosure for Receivables Management.  The Department may disclose records to credit agencies and Federal agencies to verify the identity and location of the debtor.  The Department may also make disclosures to credit agencies, educational and financial institutions, and various Federal, State, or local agencies to enforce the terms of a loan where disclosure is required by Federal law.  Finally, the Department may also make disclosures of records under this routine use to the U.S. Department of the Treasury and other Federal agencies for debt servicing and collection. </p>
<p>(13)  Disclosure in the Course of Responding to Breach of Data.  The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in EDCAPS has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of EDCAPS or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in preventing, minimizing, or remedying such harm.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p>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, TIN, 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 in 31 U.S.C. 3701(a)(3).  </p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records are maintained on hard copy, magnetic tapes, and computer servers.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are indexed by name, or other individual identifier, and TIN.  The records are retrieved by a manual or computer search by indices.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>All physical access to the sites of the Department and the Department"s contractor, where this system of records is maintained, are controlled and monitored by security personnel.  Direct access to the computer system employed by the Department is restricted to authorized Department staff performing official duties.  Authorized staff members are assigned passwords that 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 Department"s information system"s security posture has been certified and accredited in accordance with applicable Federal standards.</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records in EDCAPS are retained in accordance with Department of Education Records Disposition Schedule ED 254 (N1-441-11-001).</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>The EDCAPS manager is the Director, Financial Systems Services, Office of the Chief Information Officer, U.S. Department of Education, 550 12th St., SW., Washington, DC 20202-1100.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>If an individual wishes to determine whether a record pertaining to the individual is in the system of records, he or she should contact the appropriate system manager.  Requests by an individual for notification must meet the requirements in the regulations in 34 CFR 5b.5.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>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 in 34 CFR 5b.5.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>If an individual wishes to change the content of a record pertaining to the individual that is contained in the system of 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 in 34 CFR 5b.7.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Information in this system is obtained from electronic or paper versions of applications seeking Department contracts, grants, or loans at the time of application.  Information is also obtained from Department program offices, employees, consultants, Federal, State, and local government agencies, and other entities performing services for the Department.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p> None.
</p></xhtmlContent></subsection></section>


<section id="ed18-05-20" toc="yes">
<systemNumber>18-05-20</systemNumber>
<subsection type="systemName">Freedom of Information Act and Privacy Act Tracking System.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>Electronic Data Records:  Plano Technology Center, 2300 West Plano Parkway, Plano, TX 75075.</p>
<p>See Appendix for additional system locations.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p> This system contains records on individuals or their representatives who have submitted Freedom of Information Act (FOIA) or Privacy Act (PA) requests for records and/or FOIA administrative appeals with the Department; individuals whose requests for records have been referred to the Department by other agencies; individuals who are the subject of such requests, appeals; and/or the Department personnel assigned to handle such requests and appeals.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>This system consists of records created or compiled in response to FOIA requests, PA requests or both FOIA/PA requests for records or subsequent administrative appeals to include: the requester's name, address, telephone number, email address; amount of fees paid, and payment delinquencies, if any; the original requests and administrative appeals; responses to such requests and appeals; all related memoranda, correspondence, notes, and other related or supporting documentation, summary of log, and in some instances copies of requested records and records under administrative appeal.</p>
<p>Note: Since these FOIA/PA case records contain inquiries and requests regarding 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 FOIA and PA Tracking System.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy Act of 1974, 5 U.S.C. 552a, as amended.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system is used to document and track the status of requests made under both FOIA 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 OMB and Congress as required by the Privacy Act.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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 a purpose for which the record was collected. These disclosures are made on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, under a computer matching agreement. </p>
<p> (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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
<p> (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.</p>
<p> (3)  Litigation and ADR Disclosures.</p>
<p> (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:</p>
<p> (i)  The Department, or any of its components; or</p>
<p> (ii)  Any Department employee in his or her official capacity; or</p>
<p> (iii)  Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has agreed to or has been requested to provide or arrange for representation of the employee;</p>
<p> (iv)  Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; or</p>
<p> (v)  The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p> (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.</p>
<p> (c)  Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
<p> (d)  Parties, Counsel, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
<p> (4)  Employment, Benefit, and Contracting Disclosure.</p>
<p> (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.</p>
<p> (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.</p>
<p> (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:  a complaint, a grievance, or a disciplinary or competence determination proceeding.  The disclosure may only be made during the course of the proceeding.</p>
<p> (6)  Labor Organization Disclosure.  The Department may disclose records from this system to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.</p>
<p> (7)  Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.  The Department may disclose records to the DOJ 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 or the Privacy Act.</p>
<p> (8)  Disclosure to the 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.</p>
<p> (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 subsection (m) of the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.</p>
<p> (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.</p>
<p> (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.</p>
<p> (12)  Disclosure to the OMB for Credit Reform Act (CRA) Support.  The Department may disclose records to OMB as necessary to fulfill CRA requirements. </p>
<p> (13)  Disclosure in the Course of Responding to a Breach of Data.  The Department may disclose records from this system to appropriate agencies, entities, and persons when:  (a) the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;  (b)  the Department has determined that as a result for the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
<p>(14)  Disclosure to National Archives Records Administration, Office of Government Information Services (OGIS).  The Department may disclose records to the National Archives and Records Administration (NARA), Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. " 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS" offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies. </p>
<p>Disclosure to consumer reporting agencies:</p>
<p>Not applicable to this notice.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Paper records are kept in file folders in locked file cabinets.  Electronic records are kept in a computer database and on a web-based portal maintained by the Department.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are retrieved by the name of the individual or the control tracking number.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>All physical access to the sites of the Department and the Department"s 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 badge.  Paper files are kept in locked file cabinets.  Immediate access to these records is restricted to authorized staff.  Direct access to the computer system employed by the Department is restricted to authorized Department staff performing official duties.  Authorized staff members are assigned passwords that 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 Department"s information system"s security posture has been certified and accredited in accordance with applicable Federal standards. The computer database maintained by Privacy Information &amp; Records Management Services, Office of Management, is accessible only to authorized persons and is password-protected and utilizes security hardware and software.  Additionally, the web-based portal is accessible only to authorized persons and is password-protected.</p>
<p>In accordance with the Federal Information Security Management Act of 2002 (FISMA), the Freedom of Information Act and Privacy Act Tracking System must receive a signed Authority to Operate (ATO) from a designated Education official.  The ATO process includes an assessment of security controls, a plan of action and milestones to remediate any identified deficiencies, and a continuous monitoring program.</p>
<p>FISMA controls implemented by the Department include a combination of management, operational, and technical controls, and include the following control families:  access control, awareness and training, audit and accountability, security assessment and authorization, configuration management, contingency planning, identification and authentication, incident response, maintenance, media protection, physical and environmental protection, planning, personnel security, privacy, risk assessment, system and services acquisition, system and communications protection, system and information integrity, and program management.</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records relating to FOIA and PA Tracking System are retained in accordance with General Records Schedule (GRS 14):</p>
<p>FOIA Requests Files " GRS 14, Item 11a (Ed Schedule No.: 151)</p>
<p>FOIA Appeals Files " GRS 14, Item 12.a-c (Ed Schedule No.: 152)</p>
<p>FOIA Control Files "GRS 14, Item 13.a-c (Ed Schedule No.: 153)</p>
<p>FOIAXpress - ED 086 Information Systems Supporting Materials for System Software </p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Freedom of Information Act Service Center Director, Room LBJ 2E305, 400 Maryland Ave., SW., Washington, D.C. 20202.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>If an individual wishes to gain access to a record in this system of records, he or she should contact the system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received.  A request to amend a record must meet the requirements of the Department"s Privacy Act regulations in 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>If an individual wishes to gain access to a record in this system of records, he or she should contact the system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received.  A request to amend a record must meet the requirements of the Department"s Privacy Act regulations in 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>If an individual wishes to contest the content of a record pertaining to him or herself that is contained in the system of records, he or she should contact the system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent (see appendix), or from where the response was received.  A request to amend a record must meet the requirements of the Department"s Privacy Act regulations in 34 CFR 5b.7.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Information in this system of records is obtained from the individual who submitted the request, officials of the Department, and official Department documents. </p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p> None.</p>
<p><b>Appendix to 18"05"20</b></p>
<p><i>FOIA Program Offices</i></p>
<p>Office of the Secretary, U.S. Department of</p>
<p>Education, 400 Maryland Avenue, SW., Room 7C122, Washington, D.C. 20202.</p>
<p>Office of the Under Secretary, U.S. Department of</p>
<p>Education, 400 Maryland Avenue, SW., Room 7E313, Washington, D.C. 20202.</p>
<p>Office of the Deputy Secretary, U.S. Department of</p>
<p>Education, 400 Maryland Avenue, SW., Room 7W316, Washington, D.C. 20202.</p>
<p>Office of the Chief Financial Officer, U.S.</p>
<p>Department of Education, Potomac Center Plaza, 550 12th Street, SW., Room 6105, Washington, D.C. 20202.</p>
<p>Office of Chief Information Officer, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, SW., Room 9111, Washington, D.C. 20202.</p>
<p>Office of Special Education and Rehabilitative Services, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, SW., Room 5064, Washington, D.C. 20202.</p>
<p>Office of Career, Technical, and Adult Education,</p>
<p>U.S. Department of Education, Potomac Center Plaza, 550 12th Street, SW., Room 11129, Washington, D.C. 20202.</p>
<p></p>
<p>Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E333, Washington, D.C. 20202.</p>
<p>Office of Management, U.S. Department of</p>
<p>Education, 400 Maryland Avenue, SW., Room 2E209, Washington, D.C. 20202.</p>
<p>Office of Inspector General, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, SW., Room 8086, Washington, D.C. 20202.</p>
<p>Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW.,</p>
<p>Room 3W253, Washington, D.C. 20202.</p>
<p>Office of Student Financial Assistance Programs, U.S. Department of Education, Union Center Plaza, 830 1st Street, NE., Room 22D2, Washington, D.C. 20202.</p>
<p>Office for Civil Rights, U.S. Department of</p>
<p>Education, 400 Maryland Avenue, SW.,</p>
<p>Room 4C151, Washington, D.C. 20202.</p>
<p>Institute of Education Sciences, U.S. Department of Education, Capital Place, 555 New Jersey Avenue, NW., Room 627B, Washington, D.C. 20208.</p>
<p>Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., Room 7147, Washington, D.C. 20006.</p>
<p>Office of Legislation &amp; Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW.,</p>
<p>Room 6W352, Washington, D.C. 20202.</p>
<p>Office of Communication &amp; Outreach, U.S. Department of Education, 400 Maryland Avenue, SW.,</p>
<p>Room 5E225, Washington, D.C. 20202.</p>
<p>Office of Planning, Evaluation and Policy Development, U.S. Department of Education, 400 Maryland Avenue, SW.,</p>
<p>Room 5E319, Washington, D.C. 20202.</p>
<p>National Assessment Governing Board, 800 North Capitol Street, NW., Room 825, Washington, D.C. 20002.</p>
<p><i>Regional FOIA Offices</i></p>
<p>Region I: Regional Director, OCR,</p>
<p>5 Post Office Square, 8th Floor, Boston, MA 02109-3921.</p>
<p>Region II: Regional Director, OCR, </p>
<p>32 Old Slip, 26th Floor, New York, NY 10005-2500.</p>
<p>Region III: Regional Director, OCR,</p>
<p>The Wanamaker Building, 100 Penn Square East, Suite 515, Philadelphia, PA 19107-3323.</p>
<p>Region IV: Regional Director, OCR, </p>
<p>61 Forsyth Street, SW., Suite 19T10, Atlanta,</p>
<p>GA 30303-8927.</p>
<p>Region V: Regional Director, OCR</p>
<p>Citigroup Center, 500 W. Madison Street, Suite 1475, Chicago, IL 60661</p>
<p>Region VI: Regional Director, OCR,</p>
<p>1999 Bryan Street, Suite 1620, Dallas, TX 75201-6810.</p>
<p>Region VII: Regional Director, OCR,</p>
<p>One Petticoat Lane1010 Walnut Street, Suite 320, 3rd Floor, Kansas City, MO 64106.</p>
<p>Region VIII: Regional Director, OCR,</p>
<p>Cesar E. Chavez Memorial Building, 1244 Speer Boulevard, Suite 310, Denver, CO 80204-3582.</p>
<p>Region IX: Regional Director, OCR</p>
<p>50 Beale Street, Suite 7200, San Francisco, CA 94105.</p>
<p>Region X: Regional Director, OCR,</p>
<p>915 Second Avenue, Room 3310, Seattle, WA 98174-1099.</p>
<p>Region XI: Regional Director, OCR,</p>
<p>400 Maryland Avenue, SW., Washington, D.C. 20202-1745.</p>
<p>Region XV: Regional Director, OCR,</p>
<p>1350 Euclid Avenue, Suite 325, Cleveland, OH 44115.

</p></xhtmlContent></subsection></section>
<section id="ed18-05-01" toc="yes">
<systemNumber>18-05-01</systemNumber>
<subsection type="systemName">Departmental Parking Control Policy.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Director, Quality Workplace Group, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2E315, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Department employees and non-Department carpool members utilizing parking facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>63 Stat. 377;41 CFR 101-20.111.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(2) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in binders in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are filed alphabetically by location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Quality Work Group (QWG), Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2E315, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-02" toc="yes">
<systemNumber>18-05-02</systemNumber>
<subsection type="systemName">Family Educational Rights and Privacy Act (FERPA) and  the Protection of Pupil Rights
Amendment (PPRA) Record Systems.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Family Policy Compliance Office, Office of Management, U.S. Department of Education, Room
2W100, Washington, DC  20202-4506.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and Protection of Pupil Rights
Amendment (20 U.S.C. 1232h).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information contained in this system is used to resolve disputes regarding violations of
FERPA and PPRA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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;
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(9) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed under the names of institutions against which individuals are alleging
violations of FERPA.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access is restricted to FPCO staff; main files are left in locked file cabinets when
not in use.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Family Policy Compliance Office, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 2W100, Washington, DC  20202-4056.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is obtained from incoming correspondence, responses and
material obtained during the course of any investigation.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-03" toc="yes">
<systemNumber>18-05-03</systemNumber>
<subsection type="systemName">Federal Personnel Payroll System
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Interior, Bureau of Reclamation, Management Operations Center, Division of
Payroll Operations, 7333 West Jefferson Ave., Academy Place 1, Denver, CO 80235
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on all employees of U.S. Department of Education, the National
Commission of Library and Learning and the National Goals Panel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of a variety of records relating to pay and leave determinations made
about each employee of the Department of Education, the National Commission of Library and Learning
and the National Goals Panel, including the name of the employee, the employee's date of birth,
social security number, home address, grade, employing organization, timekeeper number, salary,
Civil Service retirement fund contributions, pay plan, number of hours worked, annual and sick leave
accrual rate and usage, annual and sick leave balance, FICA withholdings, Federal, state, and local
tax withholdings, Federal Employees Government Life Insurance withholdings, garnishment documents,
savings allotments, union and management association dues withholding, savings bonds allotments, and
Combined Federal Campaign allotments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5101, et seq; 31 U.S.C. 3512; 20 U.S.C. 3461.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system are maintained in order to facilitate fiscal operations for
payroll, attendance, leave, insurance, tax, retirement and cost accounting programs; and to prepare
related reports to other Federal agencies including the Department of the Treasury and the Office of
Personnel Management.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (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 Privacy Act, under a computer matching agreement.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Employment, Benefit, and Contracting Disclosure.
</p><p>(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 an 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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(13) Payroll Disclosure. The Department may disclose records to the Department of the Treasury
for preparation of payroll checks, payroll deductions, U.S. Saving bonds, and other checks to
Federal, State, and local government agencies, non-governmental organizations and individuals.
</p><p>(14) Tax Disclosure. The Department may disclose records to the Internal Revenue Service and to
state and local government agencies having taxing authority in order to prepare W-2 Forms.
</p><p>(15) Personnel Management Disclosure. The Department may disclose records to the Office of
Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and
the Federal Labor Relations Authority (including the General Counsel of the Authority and Federal
Service Impasses Panel) to carry out their functions.
</p><p>(16) Workers' Compensation Disclosure. The Department may disclose records to the Department of
Labor to make a compensation determination in connection with a claim filed by an employee for
compensation on account of a job-connected injury or disease.
</p><p>(17) Wage Garnishment Disclosure. The Department may disclose records to the IRS in order to
respond to orders from IRS for garnishment of an employee's pay for Federal income tax purposes.
</p><p>(18) Unemployment Compensation Disclosure. The Department may disclose records to state offices
of unemployment compensation in connection with claims filed by former Department employees for
unemployment compensation.
</p><p>(19) Association Dues Disclosure. The Department may disclose records to financial organizations
designated to receive labor organization or management association dues withheld from an employee's
pay, in order to account for the amounts of the withheld dues which they receive.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the employee's name and Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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. All physical access
to the Department's sites, 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 an employee or visitor badge.
</p><p>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 user defined password.
All interactions by individual users with the system are recorded.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records submitted by the individual, such as allotment authorization forms, home address
forms, and tax withholding forms are retained until superseded by new updated transactions whether
electronically or paper, or until the individual leaves the Department. Some of these records must
be retained for an additional period, or forwarded to the new employing agency. Records are retired
to the Federal Personnel Records Center and subsequently disposed of in accordance with the General
Records Schedules issued by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Systems, Human Resources Group, Office of Management, Department
of Education, 400 Maryland Ave., SW, Room 2E108, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the executive officer in your office. Your request must meet the requirements of the
Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record regarding you in the system of records, contact the
executive officer in your office. Your request must meet the requirements of the Department's
Privacy Act regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the executive officer in your office. Your request must meet the requirements of the
Department's Privacy Act regulations at 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from individual employees, timekeepers and
supervisors.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-04" toc="yes">
<systemNumber>18-05-04</systemNumber>
<subsection type="systemName">Discrimination Complaints Records System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Deletion: The Department’s system of records entitled "Discrimination Complaints Records System" (18-05-04), 64 FR 30106, 30124 (June 4, 1999), is to be deleted because it is duplicative of the government-wide system of records entitled "Equal Employment Opportunity in the Federal Government Complaint and Appeal Records" (EEOC/GOVT-1).
</p></xhtmlContent></subsection>
</section>
<section id="ed18-05-05" toc="yes">
<systemNumber>18-05-05</systemNumber>
<subsection type="systemName">Grievances Filed Formally Under the Administrative Grievance Procedure.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW., Washington, DC  20202.  See the Appendix at the end of this system notice for
additional locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is to consider and settle matters of
dissatisfaction or concern of covered individuals.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed alphabetically by organization and year.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Group, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2E314, Washington, DC  20202.  See the Appendix at the end of this system
notice for additional system managers.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-05-05
</b></p><p><i>Additional System Locations and System Managers
</i></p><p>Director, Human Resources Group, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202.
</p><p>Employee Relations Team, Office of Management, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 2E233, Washington, DC  20202-4737.
</p><p>U.S. Department of Education, Regional Personnel Office O'Neill Federal Building, 10 Causeway
Street, Room 1095 Boston, MA  02222.
</p><p>U.S. Department of Education, Regional Personnel Office 75 Park Place, 12th Floor, New York, NY
10007.
</p><p>U.S. Department of Education, Regional Personnel Office 3535 Market Street, Room 16300,
Philadelphia, PA  19104.
</p><p>U.S. Department of Education, Regional Personnel Office 61 Forsyth Street, SW, Suite 18T55,
Atlanta, GA  30303.
</p><p>U.S. Department of Education, Regional Personnel Office 111 N. Canal Street, Room 1084, Chicago,
IL  60606.
</p><p>U.S. Department of Education, Regional Personnel Office 1999 Bryan Street, Suite 2710, Dallas, TX
75201-6817.
</p><p>U.S. Department of Education, Regional Personnel Office 10220 North Executive Hills Boulevard,
9th Floor, Kansas City, MO  64153.
</p><p>U.S. Department of Education, Regional Personnel Office 1244 Speer Boulevard, Room 353, Denver,
CO  80204-3582.
</p><p>U.S. Department of Education, Regional Personnel Office 50 United Nations Plaza, Room 207, San
Francisco, CA  94102-4987.
</p><p>U.S. Department of Education, Regional Personnel Office 915 Second Avenue, Room 3388, Seattle, WA
98174-1099.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-06" toc="yes">
<systemNumber>18-05-06</systemNumber>
<subsection type="systemName">Grievance Records Filed under Procedures Established By Labor-Management Negotiations.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland
Ave., SW., Room 2C136, Washington, DC  20202-4754.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(8)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components;
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy and a list of individual names is maintained in
electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by file number which are cross-referenced by individual names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed 5 years after final resolution of case.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Labor Relations Group, Office of Management, U.S. Department of Education, 400
Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained directly from information supplied by the
individual; testimony of witnesses, union officials, or by Department officials.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-07" toc="yes">
<systemNumber>18-05-07</systemNumber>
<subsection type="systemName">Unfair Labor Practice Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland
Ave., SW., Room 2C136,  Washington, DC 20202-4754.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on present and past Department employees and union officials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>1(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components;
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy and a list of individual names are kept on electronic
media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by file number which are cross-referenced by individual names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>According to the Records Retention Schedule of the NARA, records are maintained for 5 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Labor Relations Group, U.S. Department of Education, 400 Maryland Ave., SW., Room
2C136, Washington, DC 20202-4754.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is:
</p><p>(1) Supplied directly by the individual; or
</p><p>(2) Derived from information supplied by the individual; or
</p><p>(3) Supplied by testimony of witnesses; or
</p><p>(4) Supplied by Department officials.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<section id="ed18-05-09" toc="yes">
<systemNumber>18-05-09</systemNumber>
<subsection type="systemName">Voluntary Leave Transfer (VLT) Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room
2W300, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 100-566; 5 CFR 630.913.1.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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; and (2) the
staff of the Department of Interior responsible for preparation of payroll documents,
</p><p>(2) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(6) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in file folders in a manual filing system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name of program recipient.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for one year after the end of the year in which the file is closed and
are then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room
2W300, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<section id="ed-05-01" toc="yes">
<systemNumber>18-05-11</systemNumber>
<subsection type="systemName">Training Registration and Information System (TRAINS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 4103 (1994).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The system is indexed by Social Security number.  The Training and Development Center staff,
designated 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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-05-11
</b></p><p><i>Additional System Locations
</i></p><p>Capital Place, 555 New Jersey Avenue, NW., Washington, DC  20208.
</p><p>Mary E. Switzer Building, 330 C Street, SW., Washington, DC  20202.
</p><p>L'Enfant Plaza, 2100 Corridor, Washington, DC  20202.
</p><p>ROB-3, 7th and D Streets, SW., Washington, DC  20202.
</p><p>Portals Building, 1250 Maryland Avenue, SW., Washington, DC  20202.
</p><p>Region I, McCormack Post Office &amp; Courthouse, Boston, MA  02109.
</p><p>Region II, 75 Park Place, New York, NY  10007.
</p><p>Region III, The Wanamaker Building, 100 Penn Square East, Room 502, Philadelphia, PA  19107.
</p><p>Region IV, 61 Forsyth Street, SW, Atlanta, GA  30303.
</p><p>Region V, 111 North Canal Street, Chicago, IL  60606.
</p><p>Region VI, 1999 Bryan Street, Dallas, TX  75201.
</p><p>Region VII, 10220 North Executive Hills Blvd., Kansas City, MO  64153.
</p><p>Region VII, 7505 Tiffany Springs Parkway, Kansas City, MO  64153.
</p><p>Region VIII, 1244 Speer Boulevard, Denver, CO  80204.
</p><p>Region VIII, 1391 N. Speer Boulevard, Denver, CO  80204.
</p><p>Region IX, 50 United Nations Plaza, San Francisco, CA  94102.
</p><p>Region X, 915 Second Avenue, Seattle, WA  98174.
</p><p>Region X, 1000 Second Avenue, Seattle, WA  98174.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-12" toc="yes">
<systemNumber>18-05-12</systemNumber>
<subsection type="systemName">Alternative Dispute Resolution (ADR) Center Case Tracking System
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Alternative Dispute Resolution Center, Office of Management, U.S. Department of Education,
Capitol Place Building, 80 F Street, NW., Room 408C/Mail Stop 4000, Washington, DC 20001-1528.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records about current and former Department employees or applicants who
have contacted the ADR Center within 45 calendar days of becoming aware of an incident or work-
related dispute needing resolution. A work-related dispute can include a pre-grievance
(administrative or negotiated), pre-Equal Employment Opportunity (EEO) complaint, or formal EEO
complaint that involves various labor and employment laws and regulations pertaining to informal
workplace dispute resolution.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records produces an Alternative Dispute Resolution Center case file that
contains personally identifying information that is pertinent to the particular claim (e.g., non-
selection, disciplinary action, performance problem) being asserted, including, but not limited to,
documents that contain the employee's name, sex, date of birth, home address, and telephone number.
This system of records does not include records covered by the Department's system of records
notices entitled "Discrimination Complaints Records System" 18-05-04 or the
Equal Employment Opportunity Commission (EEOC)/GOVT-1 System of Records Notice entitled "Equal
Employment Opportunity in the Federal Government Complaint and Appeal Records" and "
Grievances Filed Formally Under the Administrative Grievance Procedure" 18-05-05
" or "Grievance Records Filed Under Procedures Established by Labor Management
Negotiations" 18-05-06.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The system is authorized under the Administrative Dispute Resolution Act of 1996 (ADRA), 5
U.S.C. 571 et seq.; Age Discrimination in Employment Act of 1967, as amended (ADEA), 29 U.S.C. 621
et seq.; EEOC regulations, 29 CFR part 1614; Title VII of the Civil Rights Act of 1964, 42 U.S.C.
2000e et seq.; Sections 501 and 505 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791 et
seq.; the Equal Pay Act, 29 U.S.C. 206(d); the Genetic Information Nondiscrimination Act, 42 U.S.C.
2000ff et seq.; Department of Education, Personnel Management Instruction 771-1-Employee
Grievances; and, the Department of Education's Collective Bargaining Agreement, Article 42-Grievance
Procedure.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used: (1) To track, manage, and report on all data,
events, and procedures related to pre-grievances (administrative or negotiated); (2) to track,
manage, and report on all data, events, and procedures related to pre-EEO complaints referred to the
ADR Center for alternative dispute resolution; (3) to track, manage, and report on all data, events,
and procedures related to formal EEO complaints referred to the ADR Center for alternative dispute
resolution; (4) to track, manage, and report on all other data, events, and procedures related to
any workplace issue; (5) to collect, analyze, and report data pertinent to the particular claim
being asserted to include some Personally Identifiable Information (PII) for periodic reports and
analysis; (6) to maintain a record of the data provided by employees requesting assistance; (7) to
act as a source for information necessary to fulfill Equal Employment Opportunity Services'
alternative dispute resolution reporting requirements; and (8) to enable complaint resolution
partners to review and analyze the data of their formal grievance/complaint population.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department may disclose information contained in a record in this system of records
under the routine uses listed in the 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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching
agreement.
</p><p>(1) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(2) <i>Enforcement Disclosure.</i> 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.
</p><p>(3) <i>Litigation and ADR Disclosures.</i>
</p><p>(a) <i>Introduction.</i> 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice
(DOJ) has agreed to or has been requested to provide or arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosures.</i> 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 litigation or ADR, the Department may disclose those records as a
routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Parties, Counsel, Representatives, and Witnesses.</i> If the Department determines that
disclosure of certain records to a party, counsel, representative, or witness is relevant and
necessary to the litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative, or witness.
</p><p>(4) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> 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.
</p><p>(5) <i>Employee Grievance, Complaint or Conduct Disclosure.</i> 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: A complaint, a grievance, or a disciplinary or competence determination proceeding. The
disclosure may only be made during the course of the proceeding.
</p><p>(6) <i>Labor Organization Disclosure.</i> The Department may disclose records from this system to
an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of
exclusive representation.
</p><p>(7) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to the DOJ 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 or the Privacy Act.
</p><p>(8) <i>Disclosure to the DOJ.</i> 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.
</p><p>(9) <i>Contract Disclosure.</i> 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.
</p><p>(10) <i>Research Disclosure.</i> 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.
</p><p>(11) <i>Congressional Member Disclosure.</i> 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.
</p><p>(12) <i>Disclosure to the OMB for Credit Reform Act (CRA) Support.</i> The Department may
disclose records to OMB as necessary to fulfill CRA requirements.
</p><p>(13) <i>Disclosure in the Course of Responding to a Breach of Data.</i> The Department may
disclose records from this system to appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or confidentiality of information in the
system of records has been compromised; (b) the Department has determined that as a result for the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the Department or another agency or entity) that rely upon the
compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the Department's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in paper files in filing cabinets and electronically on a
computerized tracking system, and in an email system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by case tracking number and can be retrieved by the name of the non-
Government party, whether applicant or employee.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of the hard-copy records and the electronic system is limited to those
persons with a "need-to-know" and whose official duties require such access. Hard-copy
records are stored in file cabinets in an office location that is kept locked after the close of the
business day. Personnel screening is employed to prevent unauthorized disclosure. Computers are
password protected. The system is designed with security measures to control an individual user's
ability to access and alter records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system are maintained in accordance with the General Records Schedule 1,
item 27 Alternative Dispute Resolution (ADR) Files. The General Files, such as, general
correspondence and copies of statutes, regulations, meeting minutes, reports, statistical
tabulations, evaluations of the ADR program, and other records relating to the Department's overall
ADR program will be destroyed when 3 years old. A longer retention is authorized if records are
needed for agency business. (N1-GRS-03-2 item a).
</p><p>The Case Files cover records documenting ADR proceedings and may include an agreement to use ADR,
documentation of the settlement or discontinuance of the ADR case, parties' written evaluations of
the process and/or the neutral third party mediator, and related correspondence. The Case Files will
be destroyed 3 years after settlement is implemented or the case is discontinued. (N1-GRS
-03-2 item b).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Alternative Dispute Resolution Center, Office of Management, U.S. Department of
Education, Capitol Place Building, 80 F. Street, NW., Room 408C/Mail Stop 4000, Washington, DC 20001
-1528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
contact the system manager. Requests must meet the requirements in the regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, contact the system manager. Requests
by an individual for access to a record must meet the requirements the regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in this system of records,
contact the system manager. Your request must meet the requirements of the Act regulations at 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is supplied from the following sources: Directly by
the individual filing a request for resolution of an EEO pre-complaint, EEO formal complaint or pre-
grievance, from information supplied by the individual, or by testimony of witnesses, employee
representatives, or Department employees/officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-13" toc="yes">
<systemNumber>18-05-13</systemNumber>
<subsection type="systemName">Child Care Subsidy Program System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Department of Education, Office of Management, 400 Maryland Avenue, SW., room 2W200,
Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on employees who apply for a subsidy for child care expenses,
their spouses and the children who are enrolled in government-subsidized child care.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records relating to an employee's application for, and participation
in, the child care subsidy program, including the employee's name, their spouse's name, the
employee's title, grade and salary, the employee's home and work telephone numbers, the employee's
home and work addresses, the organization in which the employee works, the employee's social
security number, their spouse's social security number, the employee's tax returns, their spouse's
tax returns, the name and social security number of the child on whose behalf the parent is applying
for a subsidy, the child's date of birth, the date of entry into the Child Care Subsidy Program, and
the amount of subsidy received; the name, address, telephone number, employer identification number
(EIN), license and accreditation status of the child care center in which the employee's child(ren)
is (are) enrolled, and the dates of attendance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 106-58 (113 Stat. 477).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is used for the purposes of determining program
eligibility and benefits, verifying the identity of the individual, verifying the eligibility of the
child care center, investigating possible fraud and verifying compliance with regulations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (the Department) may disclose information contained in a record
in the systems 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.
</p><p>(1) Disclosures to Child Care Providers. The Department may disclose information from this system
of records to child care providers in order to verify a child's dates of attendance at the
provider's facility.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>The records are maintained in hard copy and on a computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The files in this system are retrievable by social security number or name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department 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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records of individual are destroyed after five years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Lead Program Specialist, Family-Friendly Programs, Work/Life Programs Group, Office of
Management, 400 Maryland Avenue SW., room 2W200 Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
contact the system manager. Your request must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at
any of the locations identified for this system of records or address your request to the system
manager at the address listed above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to access a record regarding you in this system of records, contact the system
manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity. You may present your request in person at any of the
locations identified for this system of records or address your request to the system manager at the
address listed above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest a record regarding you in this system of records, contact the system
manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34
CFR 5b.7, including proof of identity. You may present your request in person at any of the
locations identified for this system of records or address your request to the system manager at the
address listed above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by Department employees who apply for a child care subsidy and from
the child care providers.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-15" toc="yes">
<systemNumber>18-05-15</systemNumber>
<subsection type="systemName">Student Loan Repayment Benefits Case Files.
</subsection>
    <subsection type="securityClassification">
        <xhtmlContent>
            <p>None.</p>
        </xhtmlContent> </subsection>
    <subsection type="systemLocation">
        <xhtmlContent>
            <p>Office of Human Resources, Learning and Development Division, Office of Management, U.S. Department of Education (Department), 400 Maryland Avenue, SW., Washington, DC 20202–4573.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfIndividuals">
        <xhtmlContent>
            <p>This system contains records and related correspondence on employees who are being considered for student loan repayment benefits under the Department’s Personnel Manual Instruction 537–1 entitled "Repayment of Federal Student Loans," as well as individuals who have been approved for and are receiving such benefits.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfRecords">
        <xhtmlContent>
            <p>This system contains correspondence and other documents related to requests made by selecting officials or supervisors to offer student loan repayment benefits to recruit or retain highly qualified employees.  This system contains:  (1) request letters from selecting officials or supervisors with supporting documentation; (2) employees’ (or potential employees’) names, home and work addresses, Social Security numbers, student loan account numbers, loan balances, repayment schedules, repayment histories, and repayment status; and (3) the loan holders’ names, addresses, and telephone numbers.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="authorityForMaintenance">
        <xhtmlContent>
            <p>The Floyd D. Spence National Defense Authorization Act of Fiscal Year 2001 (Public Law 106–398); 5 U.S.C. 5379, as amended, and implementing regulations at 5 CFR part 537.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="purpose">
        <xhtmlContent>
            <p>These records are maintained to determine eligibility and benefits and to process requests to offer student loan repayment benefits to employees under authority set forth at 5 U.S.C. 5379.  The Department uses these records to prepare its reports for the Office of Personnel Management (OPM) as is required by 5 CFR 537.110.  The Department will also refer information from this system to loan holders for collection activities in the case of any student loan default or delinquency that becomes known to the Department in the course of determining an employee’s (or potential employee’s) eligibility for student loan repayment benefits because of the Department’s mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="routineUsesOfRecords">
        <xhtmlContent>
            <p>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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.</p>
            <p>
                (1) <i>Personnel Management Disclosure. </i>  The Department may disclose as a routine use to OPM any records or information in this system of records that OPM requests or requires pursuant to OPM’s oversight and regulatory functions.
            </p>
            <p>
                (2) <i>Salary Offset or Debt Collection Disclosures. </i>  The Department may disclose records in this system to other Federal agencies, hearing or court officials, and present employers of an employee in order for the Department to obtain repayment, if an employee fails to complete the period of employment under a service agreement and fails to reimburse the Department the amount of any student loan repayment benefits the employee received from the Department.
            </p>
            <p>
                (3) <i>Disclosure to Other Federal Agencies. </i> The Department may disclose records in this system to its payroll processing provider in order to calculate tax withholdings and disburse payments of student loan repayment benefits to loan holders on behalf of employees approved to receive this benefit.
            </p>
            <p>
                (4) <i>Disclosure to Student Lending Institutions or Loan Holders. </i>  The Department may disclose to student lending institutions or loan holders records from this system as a routine use disclosure in order to obtain information (such as the borrower’s account number, original and current loan balance, repayment schedule, repayment history, and current repayment status) to allow the Department to determine an employee’s or potential employee’s initial and continuing eligibility for this benefit, to facilitate accurate payments to student loan holders on behalf of eligible employees, and to ensure the Department discontinues making student loan repayments to individuals who do not remain eligible for them during the period of the service agreement.  The Department also may disclose to loan holders records from this system of records as a routine use disclosure in the event it becomes known to the Department during the course of its program eligibility determinations that an individual is past due, delinquent, or in default of a federally insured student loan so that the Department can facilitate the loan holder’s collection of any past due, delinquent, or defaulted student loans, because of the Department’s mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers.
            </p>
            <p>
                (5) <i>Disclosure for Use by Other Law Enforcement Agencies. </i> 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 prosecutorial responsibility within the receiving entity’s jurisdiction.
            </p>
            <p>
                (6) <i>Enforcement Disclosure. </i>  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.
            </p>
            <p>
                (7) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures. </i>
            </p>
            <p>(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:</p>
            <p>(i) The Department, or any component of the Department; or</p>
            <p>(ii) Any Department employee in his or her official capacity; or</p>
            <p>(iii) Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has agreed or has been requested to provide or arrange for representation for the employee;</p>
            <p>(iv) Any Department employee in his or her individual capacity where the Department requests representation for or has agreed to represent the employee; or</p>
            <p>(v) The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
            <p>(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.</p>
            <p>(c) Adjudicative Disclosures.  If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, or an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes, is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
            <p>(d) Parties, Counsels, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
            <p>
                (8) <i>Employment, Benefit, and Contracting Disclosure. </i>
            </p>
            <p>(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.</p>
            <p>(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.</p>
            <p>
                (9) <i>Employee Grievance, Complaint, or Conduct Disclosure. </i> 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:  a complaint, a grievance, or a disciplinary or competency determination proceeding.  The disclosure may only be made during the course of the proceeding.
            </p>
            <p>
                (10) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. </i>  The Department may disclose records to DOJ or the Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.
            </p>
            <p>
                (11) <i> Disclosure to the Department of Justice. </i>  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 program covered by this system.
            </p>
            <p>
                (12) <i>Congressional Member Disclosure. </i> 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.
            </p>
            <p>
                (13) <i>Contract Disclosure. </i> 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 a 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.
            </p>
            <p>
                (14) <i>Disclosure in the Course of Responding to a Breach of Data. </i> The Department may disclose records from this system to appropriate agencies, entities, and persons when:  (a)  the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft, fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
            </p>
            <p>
                (15) <i> Labor Organization Disclosure. </i> The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.
            </p>
            <p>Disclosure To Consumer Reporting Agencies:</p>
            <p>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 that 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).</p>
        </xhtmlContent>
    </subsection>
    <subsection type="policiesAndPractices">
        <xhtmlContent>
            <p>Storage:</p>
            <p>Records are maintained in hard copy in locked file cabinets and electronically on the SharePoint platform, which runs on the Department’s network (EDUCATE).</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retrievability">
        <xhtmlContent>
            <p>Records are retrievable by the name of the individual or by the organization within the Department where the individual works.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="safeguards">
        <xhtmlContent>
            <p>All physical access to the building where this system of records is maintained is controlled and monitored by security personnel who check each individual entering the building for an employee or visitor badge.  Hard copy records are stored in locked metal filing cabinets, with access limited to personnel whose duties require access.  Electronic records are stored on the SharePoint network, which runs on the Department’s network (EDUCATE).  The network complies with the security controls and procedures described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal Information Processing Standards (FIPS).  Some specific security controls in place include:</p>
            <p>Operating systems and infrastructure devices are hardened in accordance with NIST and Department guidance.</p>
            <p>Intrusion Detection Systems are deployed at the Intranet and Internet edges and are actively monitored by the Security Operations Center (SOC).</p>
            <p>Vulnerability scans are conducted periodically to ensure supporting systems and all applications are at the highest state of security and are patched accordingly.</p>
            <p>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.  Personal computers used to access the electronic records are password protected and passwords are changed periodically throughout the year.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retentionAndDisposal">
        <xhtmlContent>
            <p>Service agreements between the Department and an employee and related supporting documents resulting in approval for program benefits will be retained for a period of three years after the employee satisfies the terms and conditions of the agreement.  All other documents will be retained in accordance with the National Archives and Records Administration (NARA) General Records Schedules (GRS) 1.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="systemManager">
        <xhtmlContent>
            <p>Director, Office of Human Resources, Learning and Development Division, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202–4573.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="notificationProcedure">
        <xhtmlContent>
            <p>If you wish to inquire whether a record exists regarding you in this system, you should contact the system manager at the address listed above.  You must provide your name, name of organization, and subject matter.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordAccessProcedures">
        <xhtmlContent>
            <p>If you wish to request access to your records, you should contact the system manager at the address listed above.  You must comply with the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="contestingRecordProcedures">
        <xhtmlContent>
            <p>If you wish to request an amendment to your records, you should contact the system manager at the address listed above.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordSourceCategories">
        <xhtmlContent>
            <p>Information in this system of records is obtained from the individual to whom the information applies, lending institutions holding student loans for the individual to whom the information applies, officials of the Department, and official Department documents.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="exemptionsClaimed">
        <xhtmlContent>
            <p>
                None.  </p></xhtmlContent></subsection></section>

<section id="ed18-05-17" toc="yes">
<systemNumber>18-05-17</systemNumber>
<subsection type="systemName">Investigatory Material Compiled for Personnel Security, Suitability, Positive Identification
Verification and Access Control for the Department of Education Security Tracking and Reporting
System (EDSTAR).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Security Services, Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW., Washington, DC 20202-5345.
</p><p>(2) U.S. Department of Education, Data Center, 6710 Oxon Hill Road, Oxon Hill, MD 20745-
1117.
</p><p>(3) U.S. Office of Personnel Management (OPM), Federal Investigations Processing Center, P.O. Box
618, 1137 Branchton Road, Boyers, PA 16018-0618.
</p><p>(4) Verisign, 487 E. Middlefield Road, Mountain View, CA 94043-4047.
</p><p>(5) U.S. Department of Justice (DOJ), DOJ Rockville Data Center, 1151-D Seven Locks Road,
Rockville, MD 20854-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on applicants seeking Federal or contract employment with
the Department, current Federal employees and contractors, and other persons or entities doing
business with the Department, or persons either seeking unescorted access to the facilities, or
access to the information systems of the Department, or both. The system does not cover term
employees of less than 30 calendar days with monitored access to either the Department's facilities
or information system, or both. Nor does it cover occasional visitors or short-term guests to the
Department to the extent that they are issued non-Personal Identity Verification (PIV) temporary
identification.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records containing 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 may
include information pertaining to the individuals' character, conduct, and loyalty to the United
States as relevant to determination of their suitability for employment in the Department. This
system of records may include an individual's name, former names, birth date, birth place, Social
Security number, home address, phone numbers, employment history, residential history, education and
degrees earned, names of associates and references and their contact information, citizenship, names
of relatives, birth dates and birth places of relatives, citizenship of relatives, names of
relatives who work for the Federal government, mental health history, drug use, financial
information, summary report of investigation, results of suitability decisions, level of security
clearance, date of issuance of security clearance, requests for appeal, witness statements,
investigator's notes, tax return information, credit reports, security violations, circumstances of
violation, and agency action taken.
</p><p>These records also may, as appropriate to the individual being investigated, include the
following types of information:
</p><p>(1) Documentation as to his or her arrests and convictions for violations of the law.
</p><p>(2) Reporting as to interviews held with the individual, his or her present and former
supervisors, co-workers, associates, neighbors, educators, etc.
</p><p>(3) Correspondence relating to adjudication matters involving the individual.
</p><p>(4) Reports of inquiries made of law enforcement agencies for information about the individual
contained in the agencies' records.
</p><p>(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.
</p><p>(6) Reports of action following an OPM investigation or a Federal Bureau of Investigation Section
8(d) full field investigation.
</p><p>(7) Personal access logs of individuals entering access controlled space.
</p><p>(8) Public Key Infrastructure (PKI) Certificates issued under direct guidance from Homeland
Security Presidential Directive (HSPD)-12 and Federal Information Processing Standard (FIPS)
-201.
</p><p>(9) Personal fingerprint records for identification and criminal records checks.
</p><p>(10) Other information developed from the previous sources.
</p><p>In addition, this system contains records maintained on individuals issued PIV credentials by the
Department. These records may include the following data fields: Full name; Social Security number;
date of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight;
organization or office of assignment; company name; copy of background investigation form; PIV card
issuance and expiration dates; personal identification number (PIN); results of background
investigation; PIV request form; PIV registrar approval signature; PIV card serial number; emergency
responder designation (if applicable); copies of documents used to verify identification or
information derived from those documents such as document title, document issuing authority,
document number, document expiration date, document other information); level of national security
clearance and expiration date; computer system user name; user access and permission rights,
authentication certificates; and digital signature information. For those issued non-PIV
identification these fields do not apply.
</p><p><b>Note 1:</b></p><p>OPM and DOJ issue the standard forms used to collect information in this system,
i.e. Standard Form (SF) 85, SF-85P, SF-85PS, SF-86, SF-87, and Fingerprint
card FD-258.
</p><p><b>Note 2:</b> To the extent that the Department has records of a personnel investigative
nature that come from OPM or its contractors, these records are covered by OPM/CENTRAL-9,
Personnel Investigations Records, and are not covered by this system notice.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>HSPD-12, Policy for a Common Identification Standard for Federal Employees and
Contractors (August 27, 2004); Executive Orders 10450, 18 FR 2489, 3 CFR 1949-1953 Comp., p.
936); 10577 (3 CFR 1954-1958 Comp., p. 218); and 12968 (Access to Classified Information); 5
U.S.C. 3301 and 7301; Federal Property and Administrative Act of 1949, as amended through Public Law
106-580; and 5 CFR parts 5, 731, 732, and 736.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records in this system are maintained to assist in making determinations concerning
suitability for Federal employment, security clearances, access to classified information,
unescorted access to Federal government owned and Federal government leased facilities or restricted
areas, and evaluations as to acceptability for performance under Federal contracts or other
agreements with the Federal government. Purposes of this system also include: Ensuring the safety
and security of Federal facilities, systems, and information resources, as well as the safety and
security of the occupants and users of these facilities, systems, and information resources;
verifying that persons entering Federal facilities and using Federal systems and information
resources, are authorized to do so; and tracking and controlling PIV cards issued to persons
entering the Federal government's facilities and using its systems and information resources.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis or, if the Department has complied with the computer
matching requirements of the Computer Matching and Privacy Protection Act of 1998, as amended, under
a computer matching agreement.
</p><p>(1) <i>Program Purpose.</i> The Department may disclose records from this system of records to
any source or potential source from which information is requested in the course of an investigation
concerning the suitability or retention of an employee or a contractor, or the retention of a
security clearance, contract, grant, license, or other benefit, to the extent necessary to identify
the individual being investigated, inform the source of the nature and purpose of the investigation,
and to identify the type of information requested.
</p><p>(2) <i>Enforcement Disclosure.</i> The Department may disclose relevant records to a Federal,
State, local, foreign, or tribal 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 prosecutorial responsibility of the receiving
entity. It is Office of Management policy not to disclose records under this routine use that
pertain to those questions for which the Office of Management has promised confidentiality under SF
-85P, Questionnaire for Public Trust Positions.
</p><p>(3) <i>Contract Disclosure.</i> 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 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.
</p><p>(4) <i>Litigation or Alternative Dispute Resolution (ADR) Disclosure.</i> (a) <i>Introduction.</i
> In the event that one of the following parties 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any employee of the Department in his or her individual capacity where the DOJ has agreed
to or has been requested to provide or arrange for representation of the employee.
</p><p>(iv) Any employee of the Department in his or her individual capacity where the Department has
agreed to represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ</i>. If the Department determines that disclosure of certain records
to the DOJ or attorneys engaged by DOJ is relevant and necessary to litigation or ADR and is
compatible with the purpose for which the records were collected, the Department may disclose those
records as a routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure</i>. 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 litigation or ADR 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.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representative, or Witnesses</i>. If the Department
determines that disclosure of certain records to a party, an opposing counsel, representative, or
witness is relevant and necessary to litigation or ADR and is compatible with the purpose for which
the records were collected, the Department may disclose those records as a routine use to a party,
counsel, representative, or witness.
</p><p>(5) <i>Freedom of Information Act (FOIA) Advice Disclosure</i>. The Department may disclose
information from this system of records to DOJ for the purpose of obtaining advice regarding the
releasability of records maintained in this system of records under the FOIA and the Privacy Act of
1974.
</p><p>(6) <i>Congressional Member Disclosure</i>. The Department may disclose information from this
system of records to a Member of Congress or to a Congressional staff member in response to an
inquiry of the Congressional office made at the written request of the constituent about whom the
record is maintained.
</p><p>(7) <i>Disclosure for Use by Other Law Enforcement Agencies</i>. The Department may disclose
information from this system of records 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, investigative, or prosecutorial responsibility within the receiving entity's
jurisdiction.
</p><p>(8) <i>Disclosure for Use for Intelligence Activities</i>. The Department may disclose
information from this system of records to Federal, State, or local agencies, other appropriate
entities or individuals, or, through established liaison channels, to selected foreign governments,
in order to enable an intelligence agency to carry out its responsibilities as authorized by law,
including the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive
Order 12333 or any successor order, applicable national security directives, or classified
implementing procedures approved by the Attorney General and promulgated pursuant to such statutes,
orders or directives.
</p><p>(9) <i>Employment, Benefits, and Contracting Disclosure</i>. (a) <i>For Decisions by the
Department</i>. The Department may disclose information from this system of records to a Federal,
State, or local agency or to another public authority or professional organization, to obtain
information relevant to the Department's conduct of a security or suitability investigation of an
individual seeking employment, licensure, other benefits, or to perform contractual services for, or
to otherwise associate with, the Department.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations</i>. The Department
may disclose information from this system of records to a Federal, State, local, or foreign agency,
or other public authority or professional organization, so that the receiving entity may obtain
information relevant to its conduct of a security or suitability investigation of an individual
seeking employment, licensure, other benefits, or to perform contractual services for, or to
otherwise associate with, the receiving entity.
</p><p>(10) <i>Employee Grievance, Complaint, or Conduct Disclosure</i>. If a record is relevant and
necessary to a grievance, complaint, or disciplinary proceeding regarding a present or former
employee of the Department, the Department may disclose the record in the course of an
investigation, fact-finding, or adjudication to another agency of the Federal government, or to any
witness, designated fact-finder, mediator, or other person designated to resolve issues or decide
the matter. The disclosure may only be made during the course of the investigation or the
proceeding.
</p><p>(11) <i>Disclosure in the Course of Responding to Breach of Data</i>. The Department may disclose
records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that
the security or confidentiality of information in this system has been compromised; (b) the
Department has determined that as a result of the suspected or confirmed compromise there is a risk
of harm to economic or property interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether maintained by the Department or by
another agency or entity) that rely upon the compromised information; and (c) the disclosure is made
to such agencies, entities, and persons who are reasonably necessary to assist the Department in
responding to the suspected or confirmed compromise and in helping the Department prevent, minimize,
or remedy such harm.
</p><p>(12) <i>Disclosure to Protect Safety and Security of Department Employees, Customers, and
Facilities</i>. The Department may disclose to Federal, State, and local law enforcement agencies
and private security contractors, as appropriate, information that the Department deems necessary in
order to: (a) Assist with the protection of the safety of Department employees and customers, the
security of the Department's workplace, or the operation of the Department's facilities or
information systems; or (b) assist with investigations or prosecutions with respect to activities
that affect such safety and security or activities that disrupt the operation of the Department.
</p><p><b>Note 3:</b> Disclosures within the Department of data pertaining to date and time of entry
and exit of a Department employee working in the District of Columbia may not be made to
supervisors, managers, or any other persons (other than the individual to whom the information
applies) to verify employee time and attendance records for personnel actions because 5 U.S.C. 6106
prohibits Federal Executive agencies (other than the Bureau of Engraving and Printing) from using a
recording clock within the District of Columbia, unless used as a part of a flexible schedule or
compressed work schedule under 5 U.S.C. 6120, <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on paper and in electronic form. Paper records are stored in fire
resistant locked file cabinets in locked access-controlled rooms. Within the locked access-
controlled room, electronic files are encrypted and stored in alarmed electronic retrieval file
systems. The data servers, the laptops, and the desk computers where the data resides are in locked
access-controlled rooms.
</p><p>PIV identification card data on cardholders entering the Department's facilities is stored in an
encrypted database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic and paper records are retrieved by an unique identifying number by the Department
pursuant to the National Institute of Standards and Technology (NIST), Federal Information
Processing Standard (FIPS) 201, Personal Identity Verification for Federal Employees and
Contractors; this number is cross-referenced to the name of the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's sites, and the sites of the Department's 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.
</p><p>In accordance with the Department's Administrative Communications System (ACS) Directive OM: 5
-101 entitled "Contractor Employee Personnel Security Screenings,"  all contract and
Department personnel who have facility access and system access are required to undergo a security
clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a
minimum, a moderate-risk security clearance level. These individuals are required to undergo
periodic screening at five-year intervals.
</p><p>In addition to undergoing a security clearance investigation, contract and Department personnel
are required to complete security awareness training on an annual basis. This training is required
to ensure that contract and Department users are trained appropriately in safeguarding Privacy Act
data in accordance with OMB Circular No. A-130, Appendix III.
</p><p>Computer databases are kept on encrypted servers on an isolated virtual local area network (V
-LAN) that is not connected to any outside network including the Internet. Database
accessibility is restricted to hard wire network connection from within the Office Management,
Security Services, and direct Integrated Services Digital Network (ISDN) line to the Department of
Justice (DOJ), or via secure portal to the Office of Personnel Management (OPM). 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 60 days and may not repeat the old password.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Most background investigative records are maintained in accordance with General Records
Schedule (GRS) 18, Item 22--destroy not later than five years after separation or transfer of
employee or no later than five years after contract relationship expires, whichever is later.
Records are destroyed by deletion or shredding.
</p><p>Reports of background investigations conducted by the Office of Inspector General under delegated
authority of the OPM are retained in accordance with OPM retention standards for similar records,
pending National Archives and Records Administration (NARA) approval. Records will be maintained for
15 years after the last investigative activity, except investigations involving potentially
actionable issue(s) will be maintained for 25 years after the last investigative activity and then
destroyed by deletion or shredding.
</p><p>Personal access logs of individuals entering controlled space are retained in accordance with GRS
18, Item 17. In the Department's secured facilities, records are destroyed five years after final
entry or five years after date of document, as appropriate. For all other facilities, records are
destroyed two years after final entry or two years after date of document, as appropriate. Records
are destroyed by deletion or shredding.
</p><p>PKI certificates and PIV cards issued under guidance of HSPD-12 and FIPS-201 will be
retained in accordance with the pending GRS disposition authority as issued by NARA, or in a NARA-
approved, Departmental records retention schedule, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 2W314, Washington, DC 20202-5345.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If an individual wishes to determine whether a record exists regarding him or her in this
system of records, the individual must contact the system manager and provide his or her name, date
of birth, social security number, signature, and the address to which the record information should
be sent. This information is required to ensure the positive identification of the person's record
in the system. Requests for notification about an individual must meet the requirements of the
regulations in 34 CFR 5b.5.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from--
</p><p>(a) Investigative and other record material furnished by other Federal entities, other
departmental components, State, local, and foreign governments;
</p><p>(b) Applications and other personnel and security forms;
</p><p>(c) Personal investigation, written inquiry, interview, and 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, DOJ,
newspapers, magazines, periodicals, and other publications; and
</p><p>(d) Confidential sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary has exempted by regulation--in 34 CFR 5b.11(d)--this system of
records only to the extent that the information is investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information from the following provisions of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(5):
</p><p>(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records.
</p><p>(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.
</p><p>(3) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information in the system notice about
procedures for notification, access, and correction of records.
</p><p>As indicated in 34 CFR 5b.11(f), individuals will be provided access to information in this
system, except when, in accordance with the provisions of 5 U.S.C. 552a(k)(5):
</p><p>(1) The 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
</p><p>(2) The information was obtained prior to September 28, 1975 and the 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.
</p></xhtmlContent></subsection></section>
<section id="ed18-05-18" toc="yes">
<systemNumber>18-05-18</systemNumber>
<subsection type="systemName">Education Publications Center (ED PUBS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who contact ED PUBS to request products from the
U.S. Department of Education.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the name, address, and telephone number of the individuals, as well as
what product those individuals request.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C. 6051 (Supp. I, 1995).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used to disseminate the Department's products to the
public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (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 Privacy Act, under a computer matching agreement.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(6) Labor Organization Disclosure.The Department may disclose records from this system of records
to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of
exclusive representation.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are retained in a computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrieved by customer type (this is a categorical description of the
customer such as school administrator, parent, teacher K-12, etc.), order date, the title of
the requested product, and the region of the country from which the order was placed.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in the system will be maintained in a secure password-protected electronic system
that will utilize security hardware and software to include: firewalls to block external access to
the system, the required use of a unique user ID with personal identifiers, and the recording of all
interactions with the system. A maximum of one trusted individual with a Department of Justice Civil
clearance has system logon access. This clearance is based on a National Agency Checks with Written
Inquiries and Credit (NACIC) review, equivalent to the Department's moderate risk 5C clearance
process. All physical access to the site of the Department's contractor, 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 ED PUBS system has been granted
Certification and Full Accreditation in accordance with the Department's Certification and
Accreditation Program, and applicable Federal laws and policies.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are deleted upon revision or update.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>ED PUBS Contract Officer's Representative &amp; Program Manager/Analyst, Office of
Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E103, Washington, DC
20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to access a record regarding you in the system of records, contact the system
manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest a record regarding you in the system of records, contact the system
manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34
CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is obtained from the individuals who contact ED PUBS.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-06-01" toc="yes">
<systemNumber>18-06-01</systemNumber>
<subsection type="systemName">Federal Advisory Committee Membership Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Committee Management, Office of Intergovernmental and Interagency Affairs, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC  20202-3571.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Advisory Committee Act, as amended, (U.S.C.A. Appendix 2).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(2)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard-copy filed in file cabinets and/or index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Committee Management Officer, Office of Intergovernmental and Interagency Affairs, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC  20202-3571.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p><p>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.
</p><p>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
</p></xhtmlContent></subsection></section>
<section id="ed18-06-02" toc="yes">
<systemNumber>18-06-02</systemNumber>
<subsection type="systemName">Telephone Directory/Locator System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of
Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC  20202-0498.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on current employees of the Department, vendors or other
Federal employees located in Department operating offices and facility complexes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 40 U.S.C. 486(c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. These
disclosures may be made on a case-by-case basis or, if the Department has complied with the computer
matching requirements of the Privacy Act, under a computer matching agreement.
</p><p>(1) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on hard drives, computer printouts, and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by first and last name, principal office name, telephone number, and
a keyword search field.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Only authorized personnel have access to master lists and the ability to make permanent
changes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from individual employee, the Information Resource
Center and the Chief Information Office.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-06-03" toc="yes">
<systemNumber>18-06-03</systemNumber>
<subsection type="systemName">Presidential Scholars Program Files and PSA online Application System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Information Officer, Regional Office Building 3, 301 7th and D Streets,
SW., Washington, DC 20202-8173.
</p><p>See the Appendix at the end of this notice for additional system locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who are participants in the U.S. Presidential
Scholars Program (the program).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of information about program candidates, including name, date of birth,
Social Security number, address, e-mail address, high school, biographical information provided by
the students such as work experience and awards received, SAT and ACT scores, school transcripts,
and essays, as well as name and contact information for the teacher the candidate is nominating for
the Department's Teacher Recognition Award. The system will also include the unique user
identification and password issued to system users by the Department of Education (Department) in
its invitation package (application to the program is by invitation only.)
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 11155 (1964), as amended by Executive Order 12158 (1979).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system will be used to-- (1) Determine the eligibility of
candidates and review their applications in order to determine program semifinalists and finalists
on an annual basis; (2) develop and implement the program's annual recognition component; and (3)
carry out the authorizing Executive Order 11155, as amended by Executive Order 12158 (1979).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department may disclose information contained in a record in this system of records
under the routine uses listed in this system without the consent of the individual if the disclosure
is compatible with the purposes for which the record was collected. The Department may make
disclosures on a case-by-case basis or, if the Department has complied with the computer matching
requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer matching
agreement.
</p><p>(1) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information
to any Federal, State, local, tribal, or foreign agency or other public authority responsible for
enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or
regulations if that information is relevant to any enforcement, regulatory, investigative, or
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(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, regulations, 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, regulations, or order issued pursuant
thereto.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the parties described in paragraphs (a)(i) through (v)
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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice
(DOJ) has agreed or been requested to provide or arrange for representation for the employee;
</p><p>(iv) Any Department employee in his or her individual capacity if the agency has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
</p><p>(d) Parties, Counsels, Representatives, and Witnesses. If the Department determines that
disclosure of certain records to a party, counsel, representative, or witness is relevant and
necessary to litigation or ADR, the Department may disclose those records as a routine use to the
party, counsel, representative, or witness.
</p><p>(4) Employment, Benefit, and Contracting Disclosure.
</p><p>(a) For Decisions by the Department. The Department may disclose a record to a Federal, State,
local, tribal, 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 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.
</p><p>(b) For Decisions by Other Public Agencies and Professional Organizations. The Department may
disclose a record to a Federal, State, local, tribal, 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.
</p><p>(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 be made only
during the course of the proceeding.
</p><p>(6) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the DOJ and the OMB if the Department concludes that disclosure is desirable or necessary in
determining whether particular records are required to be disclosed under the FOIA.
</p><p>(7) Disclosure to the 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 program covered by this system.
</p><p>(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.
</p><p>(9) 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.
</p><p>(10) Routine Programmatic Purposes. The Department may disclose records from this system of
records in order to promote the selection and recognition of students and the visibility of the
program. In order to honor participants and finalists (Scholars) pursuant to programmatic
requirements, disclosures of records from this system will be made to the following entities for the
purposes specified:
</p><p>(a) Disclosures to the Review Committee and the Commission on Presidential Scholars. The program
will provide copies of each candidate's complete application package to members of the program's
review committee for selection of semifinalists and complete copies of each semifinalist's
application package to the Commission on Presidential Scholars (Commission) for selection of the
Scholars and for in-state recognition ceremonies held for semifinalists and Scholars.
</p><p>(b) Disclosures to the General Public Announcing the Program's Candidates, Semifinalists, and
Scholars. The program will provide the name, State, town, and school name of each candidate,
semifinalist, and Scholar on the Presidential Scholars Program section of the Department's Web site.
</p><p>(c) Disclosures to the General Public of the Annual Presidential Scholars Yearbook. For
recognition purposes as well as informational and, on rare occasions, research requests, the program
will provide copies of the Presidential Scholars Yearbook, which includes student photos, names,
school, city, State, college of choice, and student-written essays, to Scholars, families, teachers,
Commissioners, sponsors, potential candidates, researchers, and other interested parties. Due to
limited numbers, copies are provided first to program participants and, if additional copies remain,
in response to other inquiries.
</p><p>(d) Disclosures to Contractors for Production of Program Recognition Materials and the
Presidential Scholars Yearbook. The program will provide records to contractors for the printing of
certificates, the engraving of Scholar medallions, and the printing of the Presidential Scholars
Yearbook. The Executive order states that Scholars are to receive medallions, and occasionally the
Administration wishes to provide certificates signed by the President.
</p><p>(e) Disclosures to Contractors and College-age Interns to Arrange Scholar Accommodations,
Transportation, and Other Services. The program may provide records to area vendors in preparation
for the program's "National Recognition Week,"  held annually in Washington, DC, each June. During
that week, Scholars travel to the Nation's Capital at the program's expense to participate in
educational and celebratory activities. At the same time, former Scholars return to the program as
"Advisors"  to assist with the program during National Recognition Week.
These Advisors also receive information relevant to the Scholars assigned to them.
</p><p>(f) Disclosures to National, State, and Local Media To Publicize the Scholars and Respond to
Press Inquiries About Them. Records are provided to national, State, and local media for the purpose
of publicizing the Scholars and responding to press inquiries.
</p><p>(g) Disclosures to the White House and Federal Agencies for Briefings, Speechwriting, or To
Obtain Security Clearances. Records are provided to the White House and Federal agencies for the
purpose of speechwriting and briefings for officials addressing the Scholars and guests at
recognition events or for security clearances at events attended by Government officials or in
buildings with limited access.
</p><p>(h) Disclosures to National, State, and Locally Elected Officials and Their Staff To Notify Them
of Candidates, Semifinalists, and Scholars in their States or Districts and To Assist With Other
Activities To Recognize These Individuals. Records are provided for the purpose of notifying elected
officials of candidates, semifinalists, and Scholars in their States or districts and to assist with
preparing congratulatory letters, certificates, and other honors or scheduling events or office
visits in Washington, DC, or at home.
</p><p>(i) Disclosures to State and Local Education Officials To Notify Them of Candidates,
Semifinalists, and Scholars in Their States, Districts, or Schools. Records are provided to Chief
State School Officers, Superintendents of school districts, principals, and guidance counselors for
the purpose of notifying them of the candidates, semifinalists, and Scholars in their States,
districts, or schools.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy filed in lockable standard filing cabinets; on
access-controlled personal computers; and in a computer database maintained on the Department of
Education's Network (EDNet).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data are retrieved by name, Social Security number, State, high school, and year of
selection. Various reports on multiple candidates, semifinalists, and Scholars can also be run.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department of Education site where this system of records is
maintained and the sites of the Department of Education's staff and contractors with access to the
system is controlled and monitored by security personnel who check each individual entering the
building for his or her employee or visitor badge.
</p><p>The computer systems employed by the Department and its contractors offer a high degree of
security against tampering and circumvention. These security systems limit data access to Department
and contract personnel on a "need to know"  basis and control individual users' ability to access
and alter records within the system. All users of these systems are given a unique user ID, and
interactions by individual users with the system are recorded.
</p><p>In accordance with the Privacy Act, all candidates or their legal guardians, if they are minors,
must read a privacy advisory statement. Candidates or their legal guardians also must provide a
signature affirming their candidacy and authorizing the release of specific information in relation
to the program. PSAonline will use assigned electronic identifications and passwords for these
authorizations. Applicants or their legal guardians will sign the program's release form
electronically. The program will issue unique user identifications and passwords to all system users
(candidates, legal guardians, school staff, and principals) in their invitation packets. Users will
access the system by entering their assigned user identifications and passwords, and the system will
validate the user and his or her role (candidate, legal guardian, administrator) against the
database. If invalid information is entered, an error message will be displayed, and access will be
denied. Users may edit their passwords after they have logged in using the federally assigned user
identifications and passwords. Access to various parts of the system and the application is
restricted based on user role and level of authorization.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are retained for four years in order to verify yearbook and alumni publications and to
choose current Scholars as future Advisors to the Commission. In accordance with the Department of
Education's Records Disposition Schedules (ED/RDS, Part 5, Item 6), both paper and electronic files
are destroyed in four-year blocks when the most recent record is four years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, U.S. Presidential Scholars Program, Community Services, Partnerships and
Recognition Programs Team, Office of Intergovernmental and Interagency Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202-3521.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine if you have a record in this system, provide the system manager
with your name, date of birth, and Social Security number. Your request must meet the regulatory
requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in this system, provide the system manager with
your name, date of birth, and Social Security number. Your request must meet the regulatory
requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record, contact the system manager. Your request
must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from American College Testing and the College Board/Educational
Testing Service, individual candidates, their legal guardians if they are minors, and school
officials (principals, teachers, and guidance counselors) in public and private secondary
institutions attended by the candidates.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Additional System Locations
</b></p><p>U.S. Presidential Scholars Program, Community Services, Partnerships and Recognition
Programs Team, Office of Communications and Outreach, U.S. Department of Education, 400 Maryland
Avenue, SW., Washington, DC 20202-8173.
</p><p>American College Testing, Inc., Recognition Program Services, 301 ACT Drive, Iowa City, Iowa
52243-4030.
</p><p>Fastek, 1425 60th Street NE., Cedar Rapids, Iowa 52402-1253.
</p></xhtmlContent></subsection></section>
<section id="ed18-06-04" toc="yes">
<systemNumber>18-06-04</systemNumber>
<subsection type="systemName">Satellite Event Participant Registration System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of
Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW., Washington, DC 20202-0498.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals and contact persons from organizations that
register for participation in selected events hosted by the U.S. Department of Education (such as
the monthly Satellite Town Meeting) as well as individuals who have requested regular information on
such events.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of a variety of records including the name of the individual, his or
her e-mail address, telephone number, fax number, mailing address, the name of organization with
whom the individual is affiliated, name of the technical satellite contact, the name of the event,
the event location and broadcast information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>20 U.S.C. 1231a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is used to serve those individuals and
organizations participating in Department of Education events and satellite broadcast events as well
as to provide selected information to the public about such events.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (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.
</p><p>(1) Press Disclosure. The Department may disclose information from this system to potential
viewers of the event or to the press in order to provide a list of event participants. Such
disclosures are made only at the request of the event participants whose information is disclosed.
</p><p>(2) Event Planning Disclosure. The Department may disclose information from this system to
government and non-government entities involved with hosting or producing the event in order to
assist in the planning of the event.
</p><p>(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.
</p><p>(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.
</p><p>(5) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(6) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(9) 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.
</p><p>(10) 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.
</p><p>(11) 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in electronic form on hard drives and when appropriate, in hard
copy for a short time.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by all fields in the database.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department 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.
</p><p>The computer systems employed by the Department and contractors offer a high degree of resistance
to tampering and circumvention. These security systems limit data access to Department and contract
personnel on a "need to know"  basis, and controls individual users' ability to access and alter
records within the system. All users of these systems are given a unique user ID and interactions by
individual users with the system are recorded.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed after the appropriate revisions are made or after three months,
whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>System Administrator, Information Resource Center, Intergovernmental and Interagency
Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW, Washington,
DC 20202-0498.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
you should provide the system manager your name, Social Security number, and year of high school
graduation. Your requests for notification must meet the requirements in the Department's Privacy
Act regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, you should contact the system manager
and provide information described in the notification procedure. Your requests for access to a
record must meet the requirements in the Department's Privacy Act regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 item(s) to be changed, and provide a written request for the change. Your request to amend
a record must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in the system are obtained from the event participants as well as
those individuals who have requested information about the events.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-06-05" toc="yes">
<systemNumber>18-06-05</systemNumber>
<subsection type="systemName">Partners in Education.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Deleted
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain information on individuals who have indicated an interest in
receiving information about the White House Initiative, its publications and programs, and ways in
which they can become partners.
</p><p>This system contains records containing an individual's name, title, affiliation, mailing
address, telephone number, fax, e-mail, and representational category (e.g. parents, educators,
schools, school districts, businesses, etc.). The system generated identifier or "key"  will consist
of a combination of numbers and letters and is produced by the system of records automatically.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 13230, 66 FR 52841.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the purposes
of conducting individual, mass, and targeted mailings of White House Initiative program information,
publications, and reports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Other Agencies and Institutions. The Department may disclose records from the
representational categories to Federal, State, or local agencies if the requested use is intended to
fulfill that Federal, State, or local agency's responsibilities under Executive Order 13230, 66 FR
52841.
</p><p>(2) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity if the agency has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) Disclosure to the Department of Justice. 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.
</p><p>(c) Administrative or Judicial Disclosures. If the Department determines that disclosure of
certain records to an adjudicative body before which the Department is authorized to appear, to an
individual, or to an entity designated by the Department or otherwise empowered to mediate or
resolve disputes is relevant and necessary to the litigation, the Department may disclose those
records as a routine use to the adjudicative or judicial body, individual, or entity.
</p><p>(d) Parties, Counsel, Representatives, and Witnesses. If the Department determines that
disclosure of certain records to a party, counsel, representative, or witness in an administrative
or judicial 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.
</p><p>(3) 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.
</p><p>(4) 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 that is compatible with the 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 that is compatible with the purposes
of this system of records. The researcher shall be required to maintain Privacy Act safeguards with
respect to the disclosed records.
</p><p>(5) 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.
</p><p>(6) 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.
</p><p>(7) 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained on a computer and backed up on magnetic tape or other electronic
media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved by name, group, organization, and/or the requestor's regional
location for the purpose of conducting targeted mailings.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system of records will be secured by permitting only designated individuals within the
White House Initiative program staff access to the database. Furthermore, the designated
individuals' access to personal computers, the network, and the system of records will require
personal identifiers and unique passwords, which will be periodically changed to prevent
unauthorized access. The building in which the system of records is housed is monitored by security
personnel during business and non-business hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Department will retain and dispose of these records in accordance with National Archives
and Records Administration General Records Schedule 20, Item 14 for electronic mail requests and
General Records Schedule 13, Item 14 for all other requests for information.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director, White House Initiative on Educational Excellence for Hispanic Americans,
Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 5E110, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
provide the system manager with your name, address, phone number, and affiliation. Requests must
meet the requirements of the regulations in 34 CFR 5b.5.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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 in 34 CFR 5b.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest a record in the system of records, contact the system manager with
the information described in the notification procedure, identify the specific items you are
contesting, and provide a written justification for each item. Requests to amend a record must meet
the requirements of the regulations in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from individuals who request, in writing,
verbally, or electronically, to be listed on the system of records in order to receive information.
The individual's affiliation will comprise the representational category. The system generated
identifier or "key"  will consist of a combination numbers and letters and is produced by the system
of records automatically.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-07-01" toc="yes">
<systemNumber>18-07-01</systemNumber>
<subsection type="systemName">Congressional Members' Biographies System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records about all members of Congress.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>20 U.S.C. 3412(e).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.  The member's right to
the information is no greater than the right of the individual who requested it.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed alphabetically by last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are constantly updated as circumstances warrant relative to the activities of
Congress.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Legislation and Congressional Affairs, Legislative Affairs Office, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-07-02" toc="yes">
<systemNumber>18-07-02</systemNumber>
<subsection type="systemName">Congressional Grant Notification Control System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Congressional Outreach, Office of Legislation and Congressional Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Congressional Grant Notification Control System contains records about members of
Congress.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of direct inquiries and letters of support concerning discretionary
grants from Members of Congress.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used to provide responses to inquiries from Members of
Congress regarding discretionary grant notification.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (Department) may disclose information contained in a record in
this system of records under 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 Privacy Act, under a computer matching agreement.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution.
</p><p>(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.
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(iv)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy filed in standard file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed alphabetically by grant title.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained for two years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Congressional Outreach, Office of Legislation and Congressional Affairs, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as the Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is provided by the correspondent and by the agency that
prepares the final response.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-08-01" toc="yes">
<systemNumber>18-08-01</systemNumber>
<subsection type="systemName">Complaint Files and Log.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
	<subsection type="systemLocation"><xhtmlContent><p>Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5000 MES,
Washington, DC 20202.
</p><p>See the Appendix at the end of this system notice for additional system locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on individuals or groups of individuals who have made civil
rights complaints to the Office for Civil Rights (OCR).
</p></xhtmlContent></subsection>
	<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records relating to complaints to the Office for Civil Rights
including--
</p><p>(1) Names, addresses, and telephone numbers of complainants, complaint allegations, and results
of investigations;
</p><p>(2) Correspondence related to the complaint, which 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;
</p><p>(3) Investigator and attorney memoranda;
</p><p>(4) Interview notes or transcriptions and witness statements;
</p><p>(5) Documents gathered during an investigation, including photographs of persons or things,
portions of a recipient institution's records, and complainants' or other individuals' scholastic,
medical, or employment records; and
</p><p>(6) Charts, prepared exhibits, or other analytical materials prepared by OCR staff or by
consultants retained by OCR.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.; Section 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.; Title II of
the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.; and the Boy Scouts of America Equal
Access Act, 20 U.S.C. 7905.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Office for Civil Rights uses this system for the following purposes:
</p><p>(1) To determine and to document whether there was discrimination against the complainant or
others;
</p><p>(2) To record the steps taken to resolve a case;
</p><p>(3) To store materials gathered, developed, or received during the processing of a case;
</p><p>(4) To document the steps taken to resolve a case;
</p><p>(5) To report the status of individual complaints to OCR managers and staff for tracking the
progress of individual cases and to provide information used to prepare summaries of case processing
activities; and
</p><p>(6) To report to Congress, other agencies, and to the public to explain or document the work that
has been accomplished.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis or, if the Department has complied with the computer
matching requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer
matching agreement.
</p><p>(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 OCR has accomplished.
</p><p>(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 if it determines that the release would assist OCR
in resolving a civil rights complaint or in obtaining additional information or expert advice
relevant to the investigation.
</p><p>(3) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information
to any Federal, State, tribal, local, or foreign agency or other public authority responsible for
enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or
regulations if that information is relevant to any enforcement, regulatory, investigative, or
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(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, regulations, 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, regulations, or order issued pursuant
thereto.
</p><p>(5) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice
(DOJ) has been requested to provide or arrange for representation for the employee;
</p><p>(iv) Any Department employee in his or her individual capacity if the agency has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(c) Adjudicative 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 or to an individual or entity designated by the Department or
otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or
ADR, the Department may disclose those records as a routine use to the adjudicative body,
individual, or entity.
</p><p>(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 is
relevant and necessary to the litigation or ADR, the Department or its component may disclose those
records as a routine use to the party, counsel, representative, or witness.
</p><p>(6) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the DOJ if the Department determines that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under the FOIA.
</p><p>(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.
</p><p>(8) 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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records in this system are contained in digital storage media and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records in this system are indexed by and retrievable by the name of the complainant,
the complaint number, the name of the entity against which the complaint was filed, the basis for
the alleged discrimination, and the stage of case processing.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is maintained on secure computer servers located in one or more secure Department
of Education network server facilities. OCR staff access information in the system through use of
personal computers located in OCR offices. Data are transmitted among offices on secure servers
through the Department of Education's Secure Wide Area Network. The Department of Education
maintains the servers on which the records are stored in secure locations with controlled access.
Access to OCR offices is controlled and available only to OCR staff and authorized visitors.
Authorized OCR staff access the information system using individual user identifiers and passwords.
</p><p>The system also limits data access by type of user and controls users' ability to alter records
within the system. File folders containing non-digital information in the system are kept in
lockable storage rooms. Access to offices in which storage rooms are located is restricted to OCR
staff and authorized visitors. Similar records made before December 1993 were stored on magnetic
tape, a format that is no longer in use, in a secure location in OCR Headquarters.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed pursuant to the Education Department Records Disposition Schedule
(ED/RDS) Part 4, item 1, as approved by the National Archives and Records Administration (NARA).
Digital records are destroyed or deleted when no longer needed for administrative, legal, or audit
purposes. Records maintained at the Headquarters Office will be transferred to the Federal Records
Center (FRC) after the case has been inactive for five years. Records at the regional offices are
transferred to the FRC after the record has been inactive for two years. Records that are no longer
needed will be destroyed 15 years after the end of the fiscal year in which the case is resolved.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Assistant Secretary for Civil Rights, Office for Civil Rights, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 5000, MES Building, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system is exempted from 5 U.S.C. 552a(e)(4)(G) pursuant to 34 CFR 5b.11(c)(2)(iii).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are derived from information in complaint investigation files.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>The Secretary of Education has exempted by regulations the two record systems that are being
combined into the Complaint Files and Log record system, which is thereby also exempt from the
following provisions of the Privacy Act pursuant to 5 U.S.C. 552(k)(2) (civil enforcement):
</p><p>(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records.
</p><p>(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.
</p><p>(3) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information in the system notice about
procedures for notification, access, and correction of records.
</p><p>These exemptions are stated in 34 CFR 5b.11. As indicated in 34 CFR 5b.11, individuals will be
provided with information from a record in this system if any individual is denied any right,
privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he
or she would otherwise be eligible, as a result of the maintenance of that material, except when in
accordance with the following provisions of 5 U.S.C. 552a(k)(2):
</p><p>(1) Disclosure of the 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.
</p><p>(2) If information was obtained prior to September 28, 1975, disclosure of the information would
reveal the identity of the source under an implied promise that the identity of the source would be
held in confidence.
</p>
	<p><b>Appendix to 18-08-01
</b></p>
	<p><i>ADDITIONAL SYSTEM LOCATIONS:
</i></p><p>OCR, Boston Office, J.W. McCormack Post Office and Court House Building, Room 701, Boston,
MA 02109.
</p><p>OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007.
</p><p>OCR, Philadelphia Office, 100 Penn Square East, Suite 515, Philadelphia, PA 19107.
</p><p>OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL 60606.
</p><p>OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East, Suite 750, Cleveland, OH
44114.
</p><p>OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth Street, SW., Suite 19T70,
Atlanta, GA 30303.
</p><p>OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.
</p><p>OCR, Kansas City Office, 8930 Ward Parkway, Suite 2037, Kansas City, MO 64114.
</p><p>OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite 300, Denver, CO 80204.
</p><p>OCR, San Francisco Office, Old Federal Building, 50 United Nations Plaza, Room 239, San
Francisco, CA 94102.
</p><p>OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second Avenue, Room 3310, Seattle, WA
98174.
</p><p>OCR, District of Columbia Office, 100 Pennsylvania Ave., NW., Rm. 316, P.O. Box 14620,
Washington, DC 20004.
</p></xhtmlContent></subsection></section>
<section id="ed18-09-01" toc="yes">
<systemNumber>18-09-01</systemNumber>
<subsection type="systemName">Administrative Claims.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, Room
6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used to adjudicate claims between the U.S. and private
parties.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(5)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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 that individual.  The member's right to the information is no greater than the
right of the individual who requested it.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in legal size files in filing cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are maintained in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The General Counsel, Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-09-02" toc="yes">
<systemNumber>18-09-02</systemNumber>
<subsection type="systemName">OGC Attorney Applicant Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room
6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on current Attorney Applicants for positions in the Office of
the General Counsel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 3301 et seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to those Department officials whose duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The General Counsel, U.S. Department of Education, Office of the General Counsel, 400
Maryland Avenue, SW., Room 6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records comes from the individual to whom it applies, law
school officials and past employers.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-09-03" toc="yes">
<systemNumber>18-09-03</systemNumber>
<subsection type="systemName">Employee Conduct--Government Ethics.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Ethics Counsel Division, Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E231, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information about current and past Department employees (1) who have
requested and/or received advice or guidance in subject matter areas relating to employee conduct,
or (2) who are required to attend ethics training.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains documents and records not covered by two government-wide executive
branch Privacy Act systems of records of the Office of Government Ethics (OGE): OGE/GOVT-1 and
OGE/GOVT-2. These documents and records may include, but are not limited to, information
relating to acceptance or offer of gifts, entertainment and favors, or outside employment; financial
interests; use of government funds, property, or official information; partisan political activity;
compliance with ethics training requirements; or other matters relating to employee conduct.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 95-521, Ethics in Government Act of 1978; Pub. L. 101-194, Ethics Reform
Act of 1989, as amended; and Executive Orders 12674, 12565, and 11222, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system are maintained in order for the Office of the General Counsel to
provide advice and guidance in subject matter areas relating to employee conduct and to ensure that
employees comply with ethics requirements.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(7) Office of Government Ethics Disclosure. The Department may disclose records to the Office of
Government Ethics if the disclosure is relevant to the Office of Government Ethics' review of the
Department's ethics program or if the Department seeks the advice of the Office of Government Ethics
on matters relating to the Department's ethics program, including, but not limited to, the program's
structure and staffing, education and training, counseling or advice, public financial disclosures,
confidential financial disclosures, outside employment and activities, or post employment.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records are kept in legal size files in filing cabinets; electronic records are kept
in a database maintained and managed by the Ethics Division of the Office of the General Counsel.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by name in most cases.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are only accessible to staff of the Ethics Division of the Office of General
Counsel. Paper records are kept in filing cabinets that are locked after the close of the business
day, and electronic records are kept only on authorized users' computers, which are password-
protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system will be retained and disposed of in accordance with the National
Archives and Records Administration's General Records Schedule (GRS) 25 for Ethics Program Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant General Counsel, Ethics Division, Office of the General Counsel, U.S. Department
of Education, 400 Maryland Avenue, SW, Room 6E231, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from individuals who request advice and from employees and other
Department records in connection with the administration of the ethics training program.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-09-04" toc="yes">
<systemNumber>18-09-04</systemNumber>
<subsection type="systemName">Litigation Files, Administrative Complaints, and Adverse Personnel Actions.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room
6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records consist of legal size files stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are maintained in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The General Counsel, Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-09-05" toc="yes">
<systemNumber>18-09-05</systemNumber>
<subsection type="systemName">Department of Education Federal Docket Management System (EDFDMS).
</subsection>
    <subsection type="securityClassification">
        <xhtmlContent>
            <p>None.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="systemLocation">
        <xhtmlContent>
            <p>The central location is at the U.S. Environmental Protection Agency, Research Triangle Park, NC 27711–0001. Access is available through the Internet from other locations.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="systemManager">
        <xhtmlContent>
            <p>Assistant General Counsel, Regulatory Services Division, Office of the General Counsel, U.S. Department of Education, 400  Maryland Avenue, SW., Washington, DC 20202–6110.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="authorityForMaintenance">
        <xhtmlContent>
            <p>Section 206(d) of the E-Government Act of 2002 (Pub. L. 107–347, 44 U.S.C. 3501 note); 20 U.S.C. 3474; 20 U.S.C. 1221e-3; 5 U.S.C. 301; and 5 U.S.C. 553.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="purpose">
        <xhtmlContent>
            <p>The purpose of this system of records is to provide the public a central online location to search, view, download, and comment on Federal rulemaking documents.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfIndividuals">
        <xhtmlContent>
            <p>Information on individuals who voluntarily provide individually identifying information when submitting a public comment or supporting materials in response to a Department of Education (Department) rulemaking document or notice in the Federal Docket Management System (FDMS) are covered by this system.  Although this system may also contain information on and public comments submitted by representatives of governmental or organizational entities, the purpose for which the Department is establishing this system of records is only to cover individuals protected under the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a(a)(2)).</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfRecords">
        <xhtmlContent>
            <p>The categories of records in the system include:  first name, last name, category (such as parent/relative, student, teacher, local educational agency, or lender), city, country, State or province, email address, organization name, submitter’s representative, government agency type, government agency, additional information provided in the "General Comments" section, and other supporting documentation furnished by the submitter.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordSourceCategories">
        <xhtmlContent>
            <p>Information maintained in this system of records is obtained from anyone who chooses to voluntarily submit a public comment or supporting materials in response to a Department rulemaking document or notice, including individuals and representatives of Federal, State or local governments, businesses, and other organizations.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="routineUsesOfRecords">
        <xhtmlContent>
            <p>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 Privacy Act, under a computer matching agreement.</p>
            <p>(1) Disclosure to the Public.  With few exceptions, the Department may disclose information in EDFDMS to any member of the public.  EDFDMS permits members of the public to search the public comments that are received by the Department and included in FDMS by the name of the individual submitting the comment.  Unless the individual submits a comment anonymously, a full-text search, using the individual’s name, will generally result in the comment and the commenter’s information being displayed for view.  With few exceptions, comments that are submitted using the FDMS system will include any information that the commenter provided when submitting the comment.  In addition, with few exceptions, comments that are submitted in writing and then scanned and uploaded into the FDMS system will include any identifying information about the submitter that is provided in the written comment.  If a commenter provides individually identifying information about a third party, a full-text search using the third party’s name, with some exceptions, will result in the third party’s information being displayed for view.</p>
            <p>
                <i>
                    Note:</i>
                        Identification of an individual commenter or third party is possible only if the commenter voluntarily provides his or her name or contact information, or that of a third party.  If this information is not furnished, the submitted comments or supporting documentation cannot be linked to the commenter or a third party.
                    </p>
            <p>(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 prosecutorial responsibility within the receiving entity’s jurisdiction.</p>
            <p>(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.</p>
            <p> (4) Litigation and Alternative Dispute Resolution (ADR) Disclosure.</p>
            <p>(a) Introduction.  In the event that one of the parties listed below is involved in judicial or administrative litigation or ADR, or has an interest in judicial or administrative 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:</p>
            <p>(i) The Department or any of its components.</p>
            <p>(ii) Any Department employee in his or her official capacity.</p>
            <p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.</p>
            <p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee.</p>
            <p>(v) The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
            <p>(b) Disclosure to DOJ.  If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.</p>
            <p>(c) Adjudicative Disclosure.  If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
            <p>(d) Disclosure to parties, counsels, representatives, or witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
            <p> (5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.  The Department may disclose records to DOJ or 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 or the Privacy Act.</p>
            <p>(6) Disclosure to DOJ.  The Department may disclose records to 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.</p>
            <p>(7) 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.</p>
            <p>(8) Congressional Member Disclosure.  The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.</p>
            <p>(9) Disclosure in the Course of Responding to a Breach of Data.  The Department may disclose records from this system to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that there has been a breach of the system of records; (2) the Department has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the Department (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed beach or to prevent, minimize, or remedy such harm.</p>
            <p>(10)  Disclosure in Assisting another Agency in Responding to a Breach of Data.  The Department may disclose records from this system to another Federal agency or Federal entity, when the Department determines that information from this system of records is reasonably necessary to assist the recipient agency or entity (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
                </xhtmlContent>
    </subsection>
    <subsection type="policiesAndPractices">
        <xhtmlContent>
            <p>EDFDMS security protocols meet all required security standards issued by the National Institute of Standards and Technology (NIST).  Records in EDFDMS are maintained in a secure, password protected electronic system that utilizes security hardware and software to include multiple firewalls, active intruder detection, and role-based access controls.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retrievability">
        <xhtmlContent>
            <p>EDFDMS enables record retrieval by various data elements and key word searches.  These data elements are: document identification number, comment tracking number, document title, Code of Federal Regulation (CFR) (search for a specific title within the CFR), CFR citation (search for the part or parts within the CFR title being searched), document type, document sub type, date posted, and comment period end date.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retrievability">
        <xhtmlContent>
            <p>The records in this system will be retained and disposed of in accordance with the Department’s Record Schedule ED 253 – Rulemaking Case Files.  Under ED 253 part C, Notices of Proposed Rulemaking, Public Comments, and Negotiated Rulemaking Records, records are temporary.  The date to start the clock for record-keeping purposes is December 31 of the year in which the final rule was published.  Records in this system will be destroyed/deleted five years after publication.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="safeguards">
        <xhtmlContent>
            <p>As discussed above in routine use (1), Disclosure to the Public, any member of the public who accesses FDMS through http://www.regulations.gov and searches the comments associated with the Department’s rulemakings can view EDFDMS records that are included in FDMS.</p>
            <p>To the extent paper records from this system of records are maintained, they will be maintained in a controlled facility where physical entry is restricted by locks, guards, and administrative procedures.</p>
            <p>Access to electronic and paper EDFDMS records that are not otherwise available to the public through FDMS is limited to those Department and contract staff who require the records to perform their official duties consistent with the purposes for which the information was collected. Personnel whose official duties require access to either electronic or written EDFDMS records that are not otherwise available to the public through FDMS are trained in the proper safeguarding and use of the information.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordAccessProcedures">
        <xhtmlContent>
            <p>If you wish to request access to your records, you should contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS.  Requests should contain your full name, address, and telephone number.  Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="contestingRecordProcedures">
        <xhtmlContent>
            <p>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 in 34 CFR 5b.7, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="notificationProcedure">
        <xhtmlContent>
            <p>If you wish to inquire whether a record exists regarding you in this system, you should contact the system manager at the address listed above.  You must provide your full name, address, and telephone number.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="exemptionsClaimed">
        <xhtmlContent>
            <p>None.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="history">
        <xhtmlContent>
            <p> The Department of Education Federal Docket Management System (EDFDMS) (18–09–05) system of records was last published in the Federal Register on November 27, 2007 (72 FR 66155).</p>
        </xhtmlContent>
    </subsection>
</section>

<section id="ed18-10-01" toc="yes">
<systemNumber>18-10-01</systemNumber>
<subsection type="systemName">Investigative Files of the Inspector General.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Dell Services, Building K, 2nd Floor, <i>Rack:</i> K2AG57, 2300 West Plano Parkway, Plano,
Texas 75075-8427.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories include subjects, targets, witnesses, victims, current and former employees of
the U.S. Department of Education (Department), and individuals who have any relationship to
financial assistance or other educational programs administered by the Department, 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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories include investigation files pertaining to violations of criminal laws, fraud,
waste, and abuse with respect to the administration of Department of Education programs and
operations, and violations of employee Standards of Conduct in 34 CFR part 73. These investigation
files will contain, but will not be limited to, electronic information including names, addresses,
social security numbers, dates of birth, and aliases for subjects, targets, witnesses, and victims
associated with investigations; reports of interview; investigative memoranda; requests and
approvals for case openings and closings and for the use of special investigative techniques
requiring approval by management; and electronic copies of photographs, scanned documents, and
electronic media such as audio and video. The system will store investigation work products, as well
as all investigation results and other tracking information needed to identify trends, patterns, and
other indicators of fraud and abuse within the Department of Education programs and operations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Pursuant to the Inspector General Act of 1978, as amended, the system is maintained for the
purposes of--(1) conducting and documenting investigations by the Office of Inspector General
(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 that 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 that 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; (5) maintaining a record of complaints and allegations received relative
to Department of Education programs and operations and documenting the outcome of OIG reviews of
those complaints and allegations; (6) coordinating relationships with other Federal agencies, State
and local governmental agencies, and nongovernmental entities in matters relating to the statutory
responsibilities of the OIG; (7) acting as a repository and source for information necessary to
fulfill the reporting requirements of the Inspector General Act, 5 U.S.C. Appendix; (8) reporting on
the activities of the Inspectors General to the President's Council on Integrity and Efficiency
(PCIE); and (9) participating in the investigative qualitative assessment review process
requirements of the Homeland Security Act of 2002 (Pub. L. 107-296.)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The OIG 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. The OIG may make
these disclosures on a case-by-case basis or, if the OIG has met the requirements of the Computer
Matching and Privacy Protection Act, under a computer matching agreement.
</p><p>(1) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> The OIG 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 regulations if that information is relevant to any
enforcement, regulatory, investigative, or prosecutorial responsibility of the receiving entity.
</p><p>(2) <i>Disclosure to Public and Private Entities to Obtain Information Relevant to Department of
Education Functions and Duties.</i> The OIG 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 an OIG investigation, audit, inspection, or other inquiry.
</p><p>(3) <i>Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting
Decisions.</i>
</p><p>(a) For Decisions by the Department. The OIG 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.
</p><p>(b) For Decisions by Other Public Agencies and Professional Organizations. The OIG may disclose
information from this system of records as a routine use to a Federal, State, local, or foreign
agency, 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 letting of a contract, or the issuance or retention of a license, grant, or other
benefit.
</p><p>(4) <i>Disclosure to Public and Private Sources in Connection with the Higher Education Act of
1965, as Amended (HEA).</i> The OIG may disclose information from this system of records as a
routine use to facilitate compliance with program requirements to any accrediting agency that is or
was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or
school that is or was a party to an agreement with the Secretary of Education pursuant to the HEA;
to any guaranty 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.
</p><p>(5) <i>Litigation Disclosure.</i>
</p><p>(a) Disclosure to the Department of Justice. If the disclosure of certain records to the
Department of Justice (DOJ) is relevant and necessary to litigation and is compatible with the
purpose for which the records were collected, the OIG may disclose those records as a routine use to
the Department of Justice. The OIG may make such a disclosure in the event that one of the following
parties is involved in the litigation or has an interest in the litigation:
</p><p>(i) The Department or any component of the Department;
</p><p>(ii) Any employee of the Department in his or her official capacity;
</p><p>(iii) Any employee of the Department in his or her individual capacity if the DOJ has agreed to
represent the employee or in connection with a request for that representation; or
</p><p>(iv) The United States, if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) Other Litigation Disclosure. If 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, party, or
potential witness is relevant and necessary to litigation and is compatible with the purpose for
which the records were collected, the OIG may disclose those records as a routine use to the court,
adjudicative body, individual or entity, counsel or other representative, party, or potential
witness. The OIG may make such a disclosure in the event that one of the following parties is
involved in the litigation or has an interest in the litigation:
</p><p>(i) The Department or any component of the Department;
</p><p>(ii) Any employee of the Department in his or her official capacity;
</p><p>(iii) Any employee of the Department in his or her individual capacity if the Department has
agreed to represent the employee; or
</p><p>(iv) The United States, if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(6) <i>Disclosure to Contractors and Consultants.</i> The OIG may disclose information from this
system of records as a routine use to the employees of any entity or individual with whom or with
which the Department contracts for the purpose of performing any functions or analyses that
facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. 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.
</p><p>(7) <i>Debarment and Suspension Disclosure.</i> The OIG may disclose information from this system
of records as a routine use to another Federal agency considering suspension or debarment action if
the information is relevant to the suspension or debarment action. The OIG also may disclose
information to another agency to gain information in support of the Department's own debarment and
suspension actions.
</p><p>(8) <i>Disclosure to the Department of Justice.</i> The OIG may disclose information from this
system of records as a routine use to the DOJ to the extent necessary for obtaining the DOJ's advice
on any matter relevant to Department of Education programs or operations.
</p><p>(9) <i>Congressional Member Disclosure.</i> The OIG 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 Member's right to the information is no
greater than the right of the individual who requested it.
</p><p>(10) <i>Benefit Program Disclosure.</i> The OIG may disclose records as a routine use to any
Federal, State, local, or foreign agency, or other public authority, if relevant to the prevention
or detection of fraud and abuse in benefit programs administered by any agency or public authority.
</p><p>(11) <i>Overpayment Disclosure.</i> The OIG may disclose records as a routine use to any Federal,
State, local, or foreign agency, or other public authority, if relevant to the collection of debts
and overpayments owed to any agency or public authority.
</p><p>(12) <i>Disclosure to the Council of the Inspectors General on Integrity and Efficiency (CIGIE).
</i> The OIG may disclose records as a routine use to members and employees of the CIGIE for the
preparation of reports to the President and Congress on the activities of the Inspectors General.
</p><p>(13) <i>Disclosure for Qualitative Assessment Reviews.</i> The OIG may disclose records as a
routine use to members of the CIGIE, the DOJ, the U.S. Marshals Service, or any Federal agency for
the purpose of conducting qualitative assessment reviews of the investigative operations of the
Department of Education, Office of Inspector General to ensure that adequate internal safeguards and
management procedures are maintained.
</p><p>(14) <i>Disclosure to Entities Responsible for Oversight of Federal Funds.</i> The OIG may
disclose records as a routine use to the Recovery Accountability and Transparency Board (RATB) or
any successor entity, to the Government Accountability and Transparency Board (GATB) or any
successor entity, or to any other Federal, State, local, or foreign agency or other entity
responsible for coordinating and conducting oversight of Federal funds, in order to prevent fraud,
waste, and abuse related to Federal funds, or for assisting in the enforcement, investigation,
prosecution, or oversight of violations of administrative, civil, or criminal law or regulation, if
that information is relevant to any enforcement, regulatory, investigative, prosecutorial, or
oversight responsibility of the Department or of the receiving entity.
</p><p>(15) <i>Disclosure in the Course of Responding to Breach of Data.</i> The OIG may disclose
records from this system to appropriate agencies, entities, and persons when (a) the OIG suspects or
has confirmed that the security or confidentiality of information in the system of records has been
compromised; (b) the OIG has determined that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs (whether maintained by the
Department or another agency or entity) that rely upon the compromised information; and (c) the
disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with the OIG's efforts to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic records are stored on a Web-based computer system. Hard-copy records are stored
in bar-lock file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrieved by manual or computer search of alphabetical indices or cross-
indices. Indices list names, social security numbers, dates of birth, and other personal information
of individuals. Indices also list names of companies and organizations.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records are maintained on computer databases that are kept on a secured server in
combination-locked rooms. Authorized log-on codes and passwords prevent unauthorized users from
gaining access to data and system resources. Hard copy records are maintained in secure rooms, in
security-type safes or in bar-lock file cabinets with manipulation-proof combination locks.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Investigative files are retained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS), as approved by the National Archives and Records Administration. You
may obtain a copy of the ED/RDS by writing to the System Manager at the following address.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigation Services, Office of Inspector General, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 4200, Mary E. Switzer Building, Washington,
DC 20202-1510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See "SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT."  As provided in 34 CFR 5b.11(b)(3)
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.11(b). The notification procedure is applicable to
non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under
these conditions, it is governed by 34 CFR 5b.5.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "System exempted from certain provisions of the act."  As provided in 34 CFR 5b.11(b)(3)
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.11(b). The record access procedure is applicable to
non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under
these conditions, it is governed by 34 CFR 5b.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "System exempted from certain provisions of the act."  As provided in 34 CFR 5b.11(b)(3)
and (c)(1), the procedure for correction or amendment of records is not applicable to criminal and
non-criminal investigative files.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Departmental and other Federal, State, and local government records; interviews of
witnesses; and documents and other material furnished by non-governmental sources. Sources may
include confidential sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(j)(2) (criminal
investigative/enforcement files), the Secretary of Education has by regulations exempted the
Investigative Files of the Inspector General from the following subsections of the Privacy Act:
</p><p>5 U.S.C. 552a(c)(3)--access to accounting of disclosure.
</p><p>5 U.S.C. 552a(c)(4)--notification to outside parties and agencies of correction or notation
of dispute made in accordance with 5 U.S.C. 552a(d).
</p><p>5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and
correction or amendment of, records.
</p><p>5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.
</p><p>5 U.S.C. 552a(e)(2)--collection of information from the subject individual to the greatest
extent practicable.
</p><p>5 U.S.C. 552a(e)(3)--notice to an individual who is asked to provide information to the
Department.
</p><p>5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice
regarding Department procedures on notification of, access to, correction of, or amendment of
records.
</p><p>5 U.S.C. 552a(e)(5)--maintenance of records with requisite accuracy, relevance, timeliness,
and completeness.
</p><p>5 U.S.C. 552a(e)(8)--service of notice on individual if a record is made available under
compulsory legal process if that process becomes a matter of public record.
</p><p>5 U.S.C. 552a(g)--civil remedies for violation of the Privacy Act.
</p><p>Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(k)(2) (civil investigative
files), the Secretary of Education has by regulations exempted the Investigative Files of the
Inspector General from the following subsections of the Privacy Act:
</p><p>5 U.S.C. 552a(c)(3)--access to accounting of disclosure.
</p><p>5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and
correction or amendment of, records.
</p><p>5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.
</p><p>5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice
regarding Department procedures on notification of, access to, correction of, or amendment of
records.
</p><p>These exemptions are stated in 34 CFR 5b.11.
</p><p><b>Appendix to 18-10-01
</b></p><p><i>Additional System Locations
</i></p><p>Office of Inspector General, U.S. Department of Education, J.W. McCormack Post Office and
Courthouse, 5 Post Office Square, Suite 850, Boston, MA 02110-1491.
</p><p>Office of Inspector General, U.S. Department of Education, 32 Old Slip, 26th Floor, New York, NY
10005-2500.
</p><p>Office of Inspector General, U.S. Department of Education, The Wanamaker Building, 100 Penn
Square East, Suite 502, Philadelphia, PA 19107-3323.
</p><p>Office of Inspector General, U.S. Department of Education, 1000 Liberty Avenue, Room 1503,
Pittsburgh, PA 15222-4004.
</p><p>Office of Inspector General, U.S. Department of Education, Atlanta Federal Center, 61 Forsyth
Street, Room 18T71, Atlanta, GA 30303-3104.
</p><p>Office of Inspector General, U.S. Department of Education, 500 W. Madison Street, Suite 1414,
Chicago, IL 60661-7204.
</p><p>Office of Inspector General, U.S. Department of Education, 1999 Bryan Street, Suite 1430, Dallas,
TX 75201-3136.
</p><p>Office of Inspector General, U.S. Department of Education, 8930 Ward Parkway, Suite 2401, Kansas
City, MO 64114-3302.
</p><p>Office of Inspector General, U.S. Department of Education, One World Trade Center, Suite 2300,
Long Beach, CA 90831-0023.
</p><p>Office of Inspector General, U.S. Department of Education, Cesar E. Chavez Memorial Building,
1244 Speer Boulevard, Suite 604A, Denver, CO 80204-3582.
</p><p>Office of Inspector General, U.S. Department of Education, Jacaranda Executive Court, 7890 Peters
Road, Suite G-100, Plantation, FL 33324-4028.
</p><p>Office of Inspector General, U.S. Department of Education, Federal Building and Courthouse, 150
Carlos Chardon Avenue, Room 747, Box 772, Hato Rey, PR 00918-1721.
</p></xhtmlContent></subsection></section>
<section id="ed18-10-02" toc="yes">
<systemNumber>18-10-02</systemNumber>
<subsection type="systemName">The Office of Inspector General Data Analytics System (ODAS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Office of Inspector General, Information Technology Audits and Computer Crimes
Investigations (ITACCI), U.S. Department of Education, 550 12th Street, SW., room 8089, Washington,
DC 20024-6122.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system will include records on individuals that are obtained from the following other
systems of records maintained by the Department:
</p><p><i>Education Central Automated Processing System (18-03-02)</i>
</p><p>The categories of individuals included from this system are employees of the Department,
consultants, contractors, grantees, advisory committee members, and other individuals receiving
funds from the Department for performing services for the Department.
</p><p><i>Federal Student Aid Application File (18-11-01)</i>
</p><p>The categories of individuals included from this system are students applying for Federal student
financial assistance under Title IV of the Higher Education Act of 1965, as amended (HEA).
</p><p><i>Recipient Financial Management System (the Department soon expects to amend this system and
re-name it as the Common Origination and Disbursement System (COD)) (18-11-02)</i>
</p><p>The categories of individuals included from this system are records of individuals who apply for
or receive a grant or loan which is made under (1) the Federal Pell Grant Program; (2) the Academic
Competitiveness Grant (ACG) Program; (3) the National Science and Mathematics Access to Retain
Talent Grant (National SMART Grant) Program; and (4) the William D. Ford Federal Direct Loan (Direct
Loan) Program, Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, and Federal Direct
PLUS Loans.
</p><p><i>Title IV Program Files (18-11-05)</i>
</p><p>The categories of individuals included from this system are: individuals who apply for Federal
financial student aid; recipients of Federal Pell Grants; recipients of Federal Direct Student
Loans; and borrowers whose loan defaulted or borrower died, became disabled or had a loan discharged
in bankruptcy under the Federal Direct Student Loan program.
</p><p><i>National Student Loan Data System (NSLDS) (18-11-06)</i>
</p><p>The categories of individuals included from this system are:
</p><p>(1) Borrowers who have applied for and received loans under the William D. Ford Federal Direct
Loan Program, the Federal Family Education Loan (FFEL) Program, the Federal Insured Student Loan
(FISL) Program, and the Federal Perkins Loan Program (including National Defense Student Loans,
National Direct Student Loans, Perkins Expanded Lending and Income Contingent Loans); and
</p><p>(2) Recipients of Federal Pell Grants and persons who owe an overpayment on a Federal Pell Grant,
Federal Supplemental Educational Opportunity Grant or Federal Perkins Loans.
</p><p><i>Student Financial Assistance Collection Files (18-11-07)</i>
</p><p>The categories of individuals included from this system are individuals who have student loans
made under the FFEL Program: Stafford Loans (formerly the Guaranteed Student Loan Program (GSL),
including Federally Insured Student Loans), 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 Program
(SFLP), Federal Direct Unsubsidized Stafford/Ford Loan Program, Federal Direct Consolidation Loan,
and Federal Direct Plus Loans; and Federal Perkins Loans (formerly known as National Direct/Defense
Student Loans (NDSL)) and those who are awarded grants under the Federal Pell Grant Program and the
Supplemental Education Opportunity Grant Program (SEOG).
</p><p><i>Postsecondary Education Participants System (PEPS) (18-11-09)</i>
</p><p>The categories of individuals included from this system are 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.
</p><p><i>Department of Education (ED) PIN (Personal Identification Number) (18-11-12)</i>
</p><p>The categories of individuals included from this system are former, current and prospective
students and parents who apply for an ED PIN number. The ED PIN number is used for identification
purposes when PIN holders access other Department systems, including the Free Application for
Federal Student Aid (FAFSA), Access America and the Direct Loan Program.
</p><p><i>Student Authentication Network Audit File (18-11-13)</i>
</p><p>The categories of individuals included from this system are individuals who have had, or
attempted to have, their identity verified for the purpose of electronically completing and signing
promissory notes and other documents in connection with applying for or obtaining aid, or carrying
out other activities under the Student Financial Assistance Programs authorized by Title IV of the
Higher Education Act of 1965, as amended.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system will include records that are obtained from the following other systems of
records maintained by the Department:
</p><p><i>Education's Central Automated Processing System (18-03-02)</i>
</p><p>The categories of records included from this system are 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.
</p><p><i>Federal Student Aid Application File (18-11-01)</i>
</p><p>The categories of records included from this system are the name, address, birth date, social
security number, parents' and students' personal identification numbers assigned by the Department,
and financial data necessary to identify applicants, verify applicant data, and calculate their
expected family contributions for Federal student financial assistance. Also included from this
system will be information on the student's prior Federal Pell Grant awards and student loan status
from the NSLDS database is maintained in the system. Finally, included from this system will be
information from an individual's processed FAFSA form, such as Estimated Family Contribution,
dependency status and post-secondary school identifier.
</p><p><i>Recipient Financial Management System (the Department expects to amend this system soon and
re-name it as the Common Origination and Disbursement System (COD)) (18-11-02)</i>
</p><p>The categories of records included from this system are records that are sent by institutions of
higher education to the Department, and that include, but are not limited to, information such as an
individual's social security number, birth date, name, address, e-mail address, driver's license
number, telephone number, citizenship status, cost of attendance, enrollment information, type of
financial aid award, and the amount and disbursement date of Federal financial aid awarded. In
addition, this system contains collection referral amounts, loan repayment information, and
promissory notes for loans made under the Federal Direct Loan program.
</p><p><i>Title IV Program Files (18-11-05)</i>
</p><p>The categories of records included from this system are records regarding the amount of Pell
Grant received; an applicant's demographic background; loan and education 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; and personal
identification numbers assigned by the Department.
</p><p><i>National Student Loan Data System (NSLDS) (18-11-06)</i>
</p><p>The categories of records included from this system are records regarding: (1) Student/borrower
identifier information including social security number, date of birth and name; (2) the information
on borrowers' loans covering the entire life cycle of a loan from origination through final payment,
cancellation, discharge or other final disposition including details regarding each loan received by
a student such as information on loan amounts, educational status, disbursements, balances, loan
status, collections, claims, deferments, refunds and cancellations; (3) enrollment information
including school(s) attended, anticipated completion date, enrollment status and effective dates;
(4) student demographic information such as course of study, dependency, citizenship, gender, data
on family income, expected family contribution, and address; (5) Federal Pell Grant amounts and
dates; and (6) Federal Pell Grant, Federal Supplemental Educational Opportunity Grant, and Federal
Perkins Loan Program overpayments.
</p><p><i>Student Financial Assistance Collection Files (18-11-07)</i>
</p><p>The categories of records included from this system are 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; closed school discharge; hearings;
photocopy of all promissory notes; account collection records; administrative resolutions and
litigations; and parents' and students' personal identification numbers assigned by the Department.
</p><p><i>Postsecondary Education Participants System (PEPS) (18-11-09)</i>
</p><p>The categories of records included from this system are records regarding the eligibility,
administrative capability, and financial responsibility of postsecondary institutions that
participate in the student financial aid 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, and personal identification
numbers assigned by the Department.
</p><p><i>The Department of Education (ED) PIN (Personal Identification Number) Registration System
(PIN) (18-11-12)</i>
</p><p>The categories of records included from this system are name, social security number, date of
birth and address of prospective students and parents who apply for an ED PIN number.
</p><p><i>Student Authentication Network Audit File (18-11-13)</i>
</p><p>The categories of records included from this system are related to individuals seeking to have
their identity verified for the purpose of electronically completing and signing promissory notes
and other documents in connection with applying for or obtaining aid. Records include the
individual's social security number; date of birth; first and last name; user code (i.e., the
Department, lenders, schools, guarantee agencies and holders of Federal student loans) identifying
the entity seeking to verify the individual's identity; data provided by the user that may
subsequently be used for auditing or other internal purposes of the user); an action code
documenting the "affirmed" or "denied" verification response the system
receives from the Department's PIN database; a unique identifier comprising a system-generated
sequence number; and, the date and time the individual's identity is authenticated against the
Department's PIN database.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is maintained for purposes of: (1) Enabling the Office of Inspector
General (OIG) to fulfill the requirements of section (4)(a)(1), (3), and (4) of the Inspector
General Act of 1978, as amended, which require OIG to provide policy direction for and to conduct,
supervise, and coordinate audits and investigations relating to the programs and operations of the
Department; to conduct, supervise and coordinate activities for the purpose of promoting economy and
efficiency in the administration of, or preventing and detecting fraud, and abuse in, the programs
and operations of the Department; and to conduct, supervise, or coordinate relationships between
other Federal, State, and local agencies with respect to matters relating to economy and efficiency,
or the prevention and detection of fraud, and abuse in programs and operations of the Department or
the identification and prosecution of participants in such fraud, or abuse; (2) improving the
efficiency, quality, and accuracy of existing data collected by the Department; (3) conducting data
modeling for indications of fraud, waste, and abuse, and internal control weaknesses concerning
Department programs and operations, the results of which may be used in the conduct of audits,
investigations, inspections, or other activities as necessary to promote economy and efficiency and
to prevent and detect fraud, waste, and abuse in Department programs and operations; and (4)
coordinating relationships with other Federal, State, local, or foreign agencies or other public
authorities responsible for assisting in the investigation, prosecution, oversight, or enforcement
of violations of administrative, civil, or criminal law or regulations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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, under the following routine uses. OIG may make these disclosures on a case-by-
case basis or, if OIG has met the requirements of the Computer Matching and Privacy Protection Act
of 1988, as amended, under a computer matching agreement.
</p><p>(1) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> The Department may disclose
information from this system of records as a routine use to any Federal, State, local, foreign
agency, or other public authority responsible for enforcing, investigating, prosecuting, overseeing,
or assisting in the enforcement, investigation, prosecution, or oversight of, violations of
administrative, civil, or criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, prosecutorial, or oversight responsibility of the Department
or of the receiving entity.
</p><p>(2) <i>Disclosure to Public and Private Entities to Obtain Information Relevant to Department of
Education Functions and Duties.</i> 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 an OIG investigation, audit, inspection, or other inquiry.
</p><p>(3) <i>Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting
Decisions.</i>
</p><p>(a) <i>For Decisions by the Department.</i> 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> The Department
may disclose information from this system of records as a routine use to a Federal, State, local, or
foreign agency, 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 letting of a contract, or the issuance or retention of a license, grant, or other
benefit.
</p><p>(4) <i>Disclosure to Public and Private Sources in Connection with the Higher Education Act of
1965, as Amended (HEA).</i> The Department may disclose information from this system of records as a
routine use to facilitate compliance with program requirements to any accrediting agency that is or
was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or
school that is or was a party to an agreement with the Secretary of Education pursuant to the HEA;
to any guaranty 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.
</p><p>(5) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i>
</p><p>(a) <i>Disclosure to the Department of Justice.</i> If the disclosure of certain records to the
Department of Justice (DOJ) is relevant and necessary to litigation or ADR 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. The Department may make such a disclosure in the event that one of the
following parties is involved in the litigation or ADR or has an interest in the litigation or ADR:
</p><p>(i) The Department or any component of the Department;
</p><p>(ii) Any employee of the Department in his or her official capacity;
</p><p>(iii) Any Department employee in his or her individual capacity if the DOJ has been asked or has
agreed to provide or arrange for representation for the employee;
</p><p>(iv) Any employee of the Department in his or her individual capacity if the Department has
agreed to represent the employee or in connection with a request for that representation; or
</p><p>(v) The United States, if the Department determines that the litigation or ADR proceeding is
likely to affect the Department or any of its components.
</p><p>(b) <i>Other Litigation or ADR Disclosure.</i> If 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, party, or potential witness is relevant and necessary to litigation or ADR 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, party, or potential witness. The Department may make such a disclosure in the event
that one of the following parties is involved in the litigation or ADR or has an interest in the
litigation or ADR:
</p><p>(i) The Department or any component of the Department;
</p><p>(ii) Any employee of the Department in his or her official capacity;
</p><p>(iii) Any Department employee in his or her individual capacity if the DOJ has been asked or has
agreed to provide or arrange for representation for the employee;
</p><p>(iv) Any employee of the Department in his or her individual capacity if the Department has
agreed to represent the employee; or
</p><p>(v) The United States, if the Department determines that the litigation or ADR is likely to
affect the Department or any of its components.
</p><p>(6) <i>Disclosure to Contractors and Consultants.</i> The Department may disclose information
from this system of records as a routine use to the employees of any entity or individual with whom
or with which the Department contracts for the purpose of performing any functions or analyses that
facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. Before
entering into such a contract, the Department must 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.
</p><p>(7) <i>Debarment and Suspension Disclosure.</i> The Department may disclose information from this
system of records as a routine use to another Federal agency considering suspension or debarment
action if the information is relevant to the suspension or debarment action. The Department also may
disclose information to any Federal, State, or local agency to gain information in support of the
Department's own debarment and suspension actions.
</p><p>(8) <i>Disclosure to the Department of Justice.</i> The Department may disclose information from
this system of records as a routine use to the DOJ to the extent necessary for obtaining the DOJ's
advice on any matter relevant to Department of Education programs or operations.
</p><p>(9) <i>Congressional Member Disclosure.</i> The Department may disclose information from this
system of records to a Member of Congress or to a congressional staff member in response to an
inquiry from the congressional office made at the written request of the constituent about whom the
record is maintained. The member's right to the information is no greater than the right of the
individual who requested the inquiry.
</p><p>(10) <i>Benefit Program Disclosure.</i> The Department may disclose records as a routine use to
any Federal, State, local, or foreign agency, or other public authority, if relevant to the
prevention or detection of fraud and abuse in benefit programs administered by any agency or public
authority.
</p><p>(11) <i>Collection of Debts and Overpayment Disclosure.</i> The Department may disclose records
as a routine use to any Federal, State, local, or foreign agency, or other public authority, if
relevant to the collection of debts or to overpayments owed to any agency or public authority.
</p><p>(12) <i>Disclosure to the Council of Inspectors General for Integrity and Efficiency (CIGIE).</i>
The Department may disclose records as a routine use to members and employees of the CIGIE, or any
successor entity, for the preparation of reports to the President and Congress on the activities of
the Inspectors General.
</p><p>(13) <i>Disclosure for Qualitative Assessment Reviews.</i> The Department may disclose records as
a routine use to members of the PCIE, the DOJ, the U.S. Marshals Service, or any Federal agency for
the purpose of conducting qualitative assessment reviews of the investigative or audit operations of
the Department's OIG to ensure that adequate internal safeguards and management procedures are
maintained.
</p><p>(14) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that
the security or confidentiality of information in this system has been compromised; (b) the
Department has determined that as a result of the suspected or confirmed compromise there is a risk
of harm to economic or property interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether maintained by the Department or by
another agency or entity) that rely upon the compromised information; and, (c) the disclosure is
made to such agencies, entities, and persons who are reasonably necessary to assist the Department
in responding to the suspected or confirmed compromise and in helping the Department prevent,
minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained on encrypted magnetic disks and encrypted tape cartridges in a
locked computer facility within the U.S. Department of Education's OIG.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system of records are retrieved by name or other identifying information of
an individual or institution.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to data in ODAS is restricted to authorized users and is recorded in an access log.
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. All data maintained in the system of records are kept on a
secured and restricted private network and stored in a combination locked computer laboratory. ODAS
is housed within a secure and controlled computer lab. Physical access to the lab is by authorized
OIG personnel only. The general public does not have access to ODAS.
</p><p>All information stored in this system is secured by using database encryption technology and is
resistant to tampering and circumvention by unauthorized users. Access to data by all users will be
monitored using both automated and manual controls. The information is accessed by users either on a
"need to know" and intended systems usage basis or pursuant to a published routine use
and consistent with the purposes of the system.
</p><p>OIG maintains ODAS in a secure and controlled facility. Access to the computer lab is by
authorized OIG personnel only. The general public does not have access to ODAS. The information
maintained in ODAS is secured in accordance with OMB M-03-22, <i>OMB Guidance for
Implementing the Privacy Provisions of the E-Government Act of 2002,</i> September 26, 2003, the E-
Government Act, Section 208, Attachment A, and NIST 800-53, Revision 1, <i>Recommended
Security Controls for Federal Information Systems,</i> December 2006.
</p><p>Contractors will not maintain this system, but under certain limited circumstances they may have
access to the system. In accordance with the Department's Administrative Communications System
Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings,"
all Department personnel who have facility access and system access must undergo a security
clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a
minimum, a moderate-risk security clearance level. These individuals are required to undergo
periodic screening at five-year intervals.
</p><p>In addition to conducting security clearances, individuals with access to this system are
required to complete security awareness training on an annual basis. Annual security awareness
training is required to ensure that users are appropriately trained in safeguarding Privacy Act data
in accordance with OMB Circular No. A-130, Appendix III.
</p><p>The computer system employed by the Department offers a high degree of resistance to tampering
and circumvention. All users of this system of records are given a unique user identification, and
users are required to change their password at least every 90 days in accordance with the
Department's information technology standards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules applicable to the aforementioned records. A new records retention and
disposition schedule is under development for this system of records. Until NARA approves a
retention and disposition schedule for these records, The Department will not destroy any records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Computer Assisted Assessment Techniques, Information Technology Audits and
Computer Crimes Investigations, Department of Education, Office of Inspector General, 400 Maryland
Avenue SW., PCP, Washington, DC 20202-1510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system is exempt from the notification procedures in 5 U.S.C. 552a(e)(4)(G) pursuant to
5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system is exempt from the record access procedures in 5 U.S.C. 552a(e)(4)(H) pursuant
to 5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system is exempt from the contesting record procedures in 5 U.S.C. 552a(e)(4)(H)
pursuant to 5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records taken from the following Department systems:  Education's
Central Automated Processing System (EDCAPS) (System Number 18-03-02); Federal Student
Aid Application File (System Number 18-11-01); Recipient Financial Management System
(the Department expects to amend this system soon and re-name it as the Common Origination and
Disbursement System (COD)) (System Number 18-11-02); Title IV Program Files (System
Number 18-11-05); National Student Loan Data System (NSLDS) (System Number 18-11
-06); Student Financial Assistance Collection Files (System Number 18-11-07);
Postsecondary Education Participants System (PEPS) (System Number 18-11-09); The
Department of Education (ED) PIN (Personal Identification Number) Registration System (System Number
18-11-12); and the Student Authentication Network Audit File (System Number 18-11
-13).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(2), the Secretary, through rulemaking, may exempt from a
limited number of Privacy Act requirements a system of records that contains investigatory materials
compiled for law enforcement purposes. The materials in this system fall within the scope of section
552a(k)(2) because they are investigatory materials compiled for purposes of enforcing Federal legal
requirements. Therefore, the Secretary has issued final regulations published elsewhere in this
issue of the <i>Federal Register</i> exempting the ODAS from the following Privacy Act requirements:
</p><p>5 U.S.C. 552a(c)(3)--access to accounting of disclosure.
</p><p>5 U.S.C. 552a(c)(4)--notification to outside parties and agencies of correction or notation
of dispute made in accordance with 5 U.S.C. 552a(d).
</p><p>5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and
correction or amendment of, records.
</p><p>5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.
</p><p>5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice
regarding Department procedures on notification of, access to, correction of, or amendment of
records.
</p></xhtmlContent></subsection></section>
<section id="ed18-10-03" toc="yes">
<systemNumber>18-10-03</systemNumber>
<subsection type="systemName">Non-Federal Auditor Referral, Suspension, and Debarment File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Audit Services, Office of Inspector General, U.S. Department of Education, 330 C Street,
SW., Room 4200, Switzer Building, Washington, DC 20202-1510.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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
substance, status or outcome of each referral, suspension and debarment, including voluntary
exclusion settlement agreements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement.
</p><p>(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.
</p><p>(2) Suspension and debarment 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, State Boards of Accountancy, the American Institute of Certified Public Accountants, and
other professional accountancy associations, to inform these entities of the substance, status or
outcome of suspension and debarment proceedings, including settlement, and as authorized under
section 3 of Executive Order 12549 for purposes of suspendinf and debarring an auditor pursuant to
34 CFR part 85.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(8) Hiring/contracting disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(9) Litigation disclosure.
</p><p>(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:
</p><p>(i) The Department or any component of the Department;
</p><p>(ii) Any employee of the Department in his or her official capacity;
</p><p>(iii) Any Department employee in his or her individual capacity where the Justice Department has
agreed to represent such employee; or
</p><p>(iv)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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:
</p><p>(i)  The Department or any component of the Department;
</p><p>(ii)  Any employee of the agency in his or her official capacity;
</p><p>(iii)  Any employee of the Department in his or her individual capacity where the agency has
agreed to represent the employee; or
</p><p>(iv)  The United States, where the agency determines that litigation is likely to affect the
agency or any of its components.
</p><p>(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.
</p><p>(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 determination proceedings.  The disclosure may only
be made during the course of the proceeding.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in file folders and/or microcomputer disk.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed and retrieved by name of individuals, firms or other professional
associations.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are secured in file cabinets and are locked in offices after office hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-10-04" toc="yes">
<systemNumber>18-10-04</systemNumber>
<subsection type="systemName">Hotline Complaint Files of the Inspector General.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4116,
Switzer Building, Washington, DC  20202-1510.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app. 3.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Pursuant to the Inspector General Act, this system is maintained for purposes of: (1)
Maintaining a record of complaints and allegations received concerning Department of Education
programs and operations and a record concerning the disposition of those complaints and allegations;
and (2) reporting on American Recovery and Reinvestment Act of 2009 related complaints and
allegations to the Recovery Accountability and Transparency Board.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement.
</p><p>(1) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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.
</p><p>(2) <i>Litigation Disclosure.</i>
</p><p>(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:
</p><p>(i)  The Department, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv)  Any employee of the Department in his or her individual capacity if the agency has agreed
to represent the employee; or
</p><p>(v)  The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(3) <i>Disclosure to Public and Private Entities to Obtain Information Relevant to the
Department's OIG Functions and Duties.</i> 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.
</p><p>(4) <i>Disclosure to Public and Private Sources in Connection with the Higher Education Act of
1965, as amended (HEA).</i> The Department may disclose information from this system of records as a
routine use to facilitate compliance with program requirements to any accrediting agency that is or
was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or
school that is or was a party to any agreement with the Secretary of Education pursuant to the HEA;
to any guaranty 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.
</p><p>(5) <i>Disclosure to the Department of Justice.</i> 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.
</p><p>(6) <i>Congressional Disclosure.</i> 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.
</p><p>(7) <i>Disclosure to the Recovery Accountability and Transparency Board (RATB).</i> The
Department may disclose records as a routine use to the RATB for purposes of coordinating and
conducting oversight of American Recovery and Reinvestment Act of 2009 funds to prevent fraud,
waste, and abuse.
</p><p>(8) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system to appropriate agencies, entities, and persons when (a) The Department
suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in complaint files, computer mainframe files, and computer-
printed listings.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department
of Education, 400 Maryland Avenue, SW., room 8093, PCP building, Washington, DC 20202-1510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Not applicable.  See Systems Exempted.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>The Secretary has by regulations exempted the Hotline Complaint Files of the Inspector
General from the following provisions of the Privacy Act:
</p><p>(1)  Pursuant to 5 U.S.C. 552a(j)(2):
</p><p>(a)  5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of a record.
</p><p>(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).
</p><p>(c)  5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification or access to records and
correction or amendment of records.
</p><p>(d)  5 U.S.C. 552a(e)(1), regarding maintaining only relevant and necessary information.
</p><p>(e)  5 U.S.C. 552a(e)(2), regarding collection of information from the subject individual.
</p><p>(f)  5 U.S.C. 552a(e)(3), regarding notice to individuals asked to provide a record to the
Department.
</p><p>(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.
</p><p>(h)  5 U.S.C. 552a(e)(5), regarding maintaining records with requisite accuracy, relevance,
timeliness, and completeness.
</p><p>(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.
</p><p>(j)  5 U.S.C. 552a(g), regarding civil remedies for violation of the Privacy Act.
</p><p>(2)  Pursuant to 5 U.S.C. 552a(k)(2):
</p><p>(a)  5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records.
</p><p>(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.
</p><p>(c)  5 U.S.C. 552a(e)(1), regarding the requirement to maintain only relevant and necessary
information.
</p><p>(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.
</p><p>These exemptions are stated in 34 CFR 5b.11.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-01" toc="yes">
<systemNumber>18-11-01</systemNumber>
<subsection type="systemName">Federal Student Aid Application File.
</subsection>
<subsection type="securityClassification">None.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Virtual Data Center (VDC), 2300 W. Plano Parkway, Plano, TX 75075 (Electronic records).
</p><p>Vangent, 901 South 42nd Street, Mt Vernon, IL 62864 (Paper, Free Application for Federal Student
Aid (FAFSA) Applications Storage Facility).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Federal Student Aid Application File (the system), which is part of the Department's
Central Processing System (CPS), contains records on students who apply for Federal student
financial assistance programs authorized by Title IV of the Higher Education Act of 1965, as amended
(HEA). This system also contains information on the parent(s) of a dependent applicant and the
spouse of a married applicant. In addition, this system covers secondary school students about whom
requesting entities, such as schools, local educational agencies (LEAs), and other local and State
agencies, submit information (<i>e.g.,</i> name, date of birth, and zip code) to the Department in
order for the Department to provide these entities with the student's Free Application for Federal
Student Aid (FAFSA) completion filing status to promote and encourage the student to apply for Title
IV, HEA program assistance, State assistance, and aid awarded by institutions of higher education.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information provided by applicants for Title IV, HEA program
assistance, on the FAFSA, including, but not limited to, the applicant's name, address, Social
Security number (SSN), date of birth, telephone number, driver's license number, e-mail address,
citizenship status, marital status, legal residence, status as a veteran, educational status, and
financial data. This system also contains information provided about the parent(s) of a dependent
applicant, including, but not limited to, the parent's highest level of schooling completed, marital
status, SSN, last name and first initial, date of birth, e-mail address, number in household
supported by the parent, and income and asset information. For an applicant who is married, this
system of records also contains spousal income and asset information.
</p><p>While using this system to analyze its student population data for verification selection via the
Institutional Student Information Record (ISIR) Analysis Tools (IA Tools) product, postsecondary
institution(s) attended by the applicant may create user defined fields with institutional data that
are saved to the system. These data elements may consist of information that is privacy protected.
Examples include, but are not limited to: The student's grade point average or information about a
student's employment with the postsecondary institution.
</p><p>The system determines an applicant's expected family contribution (EFC). The EFC is used by
institutions to determine the student's eligibility for Federal and institutional program
assistance, and by States to determine the student's eligibility for State grants. The Department
notifies the applicant of the results of his or her application via the Student Aid Report (SAR).
The Department provides the institutions identified on the applicant's FAFSA with the ISIR, which
indicates whether there are discrepant or insufficient data, school adjustments, or CPS assumptions
that affect processing of the FAFSA. Other information that the system includes, but is not limited
to: Secondary EFC, dependency status, Federal Pell Grant Eligibility, duplicate SSN, selection for
verification, Simplified Needs Test (SNT) or Automatic Zero EFC (used for extremely low family
income), CPS processing comments, reject codes (explanation for applicant's FAFSA not computing
EFC), assumptions made with regard to the student's data due to incomplete or inconsistent FAFSA
data, financial aid administrator's (FAA) adjustments including dependency status overrides, and CPS
record processing information (application receipt date, transaction number, transaction process
date, SAR Serial Number, Compute Number, Data Release Number (DRN), National Student Loan Database
System (NSLDS) match results, a bar code, and transaction source).
</p><p>Information from other Department systems, such as NSLDS, the Common Origination and Disbursement
System (COD), and the Student Aid Internet Gateway (SAIG) Participation Management System, is added
to this system of records. The Appendix contains a more detailed description of the data added to
this system of records as a result of the exchanges of data with other Department systems and the
Department's computer matching programs with other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Higher Education Act (HEA), as amended (20 U.S.C. 1001 <i>et seq.</i>).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is maintained for the purposes of: (1) Assisting
with the determination, correction, processing, tracking, and reporting of program eligibility and
benefits for the Federal student financial assistance programs authorized by Title IV of the HEA;
(2) making a loan, grant, or scholarship; (3) verifying the identity of the applicant, the spouse if
applicable, and the parent(s) of a dependent applicant, and the accuracy of the information in this
system; (4) reporting the results of the need analysis, Federal Pell Grant eligibility
determination, and the results of duly authorized computer matching programs between the Department
and other Federal agencies to applicants, postsecondary institutions, third-party servicers, State
agencies designated by the applicant, and 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; (5) enforcing the terms and conditions of a Title IV, HEA loan or grant;
(6) servicing and collecting a delinquent Title IV, HEA loan or grant; (7) initiating enforcement
action against an individual involved in program fraud, abuse, or noncompliance; (8) locating a
debtor; (9) maintaining a record of the data supplied by those requesting assistance; (10) ensuring
compliance with and enforcing Title IV, HEA programmatic requirements; (11) acting as a repository
and source for information necessary to fulfill the requirements of Title IV of the HEA; (12)
evaluating Title IV, HEA program effectiveness; (13) enabling institutions of higher education
designated by the applicant to review and analyze the financial aid data of their applicant
population; (14) assisting students with the completion of the application for the Federal student
financial assistance programs authorized by Title IV of the HEA; (15) determining the eligibility of
applicants for the award of State postsecondary education assistance and for the award of aid by
eligible institutions of higher education or other entities designated by the Secretary and
administering those awards; and 16) promoting and encouraging application for Title IV, HEA program
assistance, State assistance, and aid awarded by institutions of higher education or other entities
designated by the Secretary.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching
agreement.
</p><p>(1) <i>Program Disclosures.</i>
</p><p>(a) To verify the identity of the applicant and the applicant's spouse, if applicable, and the
parent(s) of a dependent applicant; to determine the accuracy of the information contained in the
record; to support compliance with Title IV, HEA statutory and regulatory requirements; and to
assist with the determination, correction, processing, tracking, and reporting of program
eligibility and benefits, the Department may disclose records to guaranty agencies and financial
institutions participating in the Federal Family Education Loan (FFEL) Programs, institutions of
higher education, third-party servicers, and Federal and State agencies;
</p><p>(b) To provide an applicant's financial aid history, including information about the applicant's
Title IV, HEA loan defaults and Title IV, HEA grant program overpayments, the Department may
disclose records to institutions of higher education, guaranty and State agencies, financial
institutions participating in the FFEL Programs, and third-party servicers;
</p><p>(c) To facilitate receiving and correcting application data, processing Federal Pell Grants and
Direct Loans, and reporting Federal Perkins Loan Program expenditures to the Department's processing
and reporting systems, the Department may disclose records to institutions of higher education,
State agencies, and third-party servicers;
</p><p>(d) To assist loan holders with the collection and servicing of Title IV, HEA loans, to support
pre-claims/supplemental pre-claims assistance, to assist in locating borrowers, and to assist in
locating students who owe grant overpayments, the Department may disclose records to guaranty
agencies and financial institutions participating in the FFEL Programs, institutions of higher
education, third-party servicers, and Federal, State, and local agencies;
</p><p>(e) To facilitate assessments of Title IV, HEA program compliance, the Department may disclose
records to guaranty agencies and financial institutions participating in the FFEL Programs,
institutions of higher education, third-party servicers, and Federal, State, and local agencies;
</p><p>(f) To assist in locating holders of loan(s), the Department may disclose records to student
borrowers, guaranty agencies and financial institutions participating in the FFEL Programs,
institutions of higher education, third-party servicers, and Federal, State, and local agencies;
</p><p>(g) To assist in assessing the administration of Title IV, HEA program funds by guaranty
agencies, financial institutions, institutions of higher education, and third-party servicers, the
Department may disclose records to Federal and State agencies;
</p><p>(h) To enforce the terms of a loan or grant or to assist in the collection of loan or grant
overpayments, the Department may disclose records to guaranty agencies and financial institutions
participating in the FFEL programs, institutions of higher education, third-party servicers, and
Federal, State, and local agencies;
</p><p>(i) To assist borrowers in repayment, the Department may disclose records to guaranty agencies
and financial institutions participating in the FFEL program, institutions of higher education,
third-party servicers, and Federal, State, and local agencies;
</p><p>(j) To initiate legal action against an individual involved in illegal or unauthorized Title IV,
HEA program expenditures or activities, the Department may disclose records to guaranty agencies and
financial institutions participating in the FFEL programs, institutions of higher education, third-
party servicers, and Federal, State, and local agencies;
</p><p>(k) To initiate or support a limitation, suspension, or termination action, an emergency action,
or a debarment or suspension action, the Department may disclose records to guaranty agencies and
financial institutions participating in the FFEL programs, institutions of higher education, third-
party servicers, and Federal, State, and local agencies;
</p><p>(l) To investigate complaints, update files, and correct errors, the Department may disclose
records to guaranty agencies and financial institutions participating in the FFEL programs,
institutions of higher education, third-party servicers, and Federal, State, and local agencies;
</p><p>(m) To inform the parent(s) of a dependent applicant or a spouse of an applicant of information
about the parent(s) or spouse in an application for Title IV, HEA funds, the Department may disclose
records to the parent(s) or the spouse, respectively;
</p><p>(n) To disclose to the parent(s) of a dependent applicant applying for a PLUS loan (to be used on
behalf of a student), to identify the student as the correct beneficiary of the PLUS loan funds, and
to allow the processing of the PLUS loan application and promissory note, the Department may
disclose records to the parent(s) applying for the PLUS loan;
</p><p>(o) To expedite the student application process, the Department may disclose information from
this system, upon request by a third-party, provided that the third-party provides the Department
with the applicant's first and last name, SSN, date of birth, and DRN. A DRN is a four-digit number
assigned to an application by Federal Student Aid;
</p><p>(p) To encourage a student to complete a FAFSA or to assist a student with the completion of a
FAFSA, the Department may disclose the FAFSA filing status of the student to a LEA, a secondary
school where the student is or was enrolled, or other State, local, or private entity designated by
the Secretary;
</p><p>(q) To enable an applicant, should the applicant wish to do so, to obtain information from other
Federal agencies' records that will assist the applicant in completing the FAFSA online, the
Department may disclose information from this system of records to other Federal agencies, such as
the Internal Revenue Service; and
</p><p>(r) To determine an applicant's eligibility for the award of State postsecondary education
assistance and for the award of aid by eligible institutions of higher education or other entities
designated by the Secretary and to administer those awards, the Department may disclose information
from this system of records to State agencies, eligible institutions of higher education, and other
entities designated by the Secretary.
</p><p>(2) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(3) <i>Enforcement Disclosure.</i> If information in the system of records, either alone or in
connection with other information, indicates a violation or potential violation of any applicable
statutory, regulatory, or legally binding requirement, the Department may disclose records to an
entity charged with investigating or prosecuting those violations or potential violations.
</p><p>(4) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity where the Department of Justice
(DOJ) agrees to or has been requested to provide or arrange for representation of the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States, where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosures.</i> 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 litigation or ADR, the Department may disclose those records
as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Parties, Counsel, Representatives, and Witnesses.</i> If the Department determines that
disclosure of certain records is relevant and necessary to litigation or ADR, the Department may
disclose those records as a routine use to the party, counsel, representative, or witness.
</p><p>(5) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to the DOJ or to the Office of Management and Budget (OMB) if the Department
determines that disclosure would help in determining whether records are required to be disclosed
under the FOIA or the Privacy Act.
</p><p>(6) <i>Contracting Disclosure.</i> If the Department contracts with an entity to perform any
function that requires disclosing records to the contractor's employees, the Department may disclose
the records to those employees. Before entering into such a contract, the Department shall require
the contractor to establish and maintain the safeguards required under 5 U.S.C. 552a(m) of the
Privacy Act with respect to the records.
</p><p>(7) <i>Congressional Member Disclosure.</i> The Department may disclose records to a member of
Congress in response to an inquiry from the member made at the written request of the individual
whose records are being disclosed. The member's right to the information is no greater than the
right of the individual who requested it.
</p><p>(8) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> The Department
may disclose a record to a Federal, State, local, 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.
</p><p>(9) <i>Employee Grievance, Complaint, or Conduct Disclosure.</i> If a record is relevant and
necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose
the record in the course of investigation, fact-finding, or adjudication to any witness, designated
fact-finder, mediator, or other person designated to resolve issues or decide the matter.
</p><p>(10) <i>Labor Organization Disclosure.</i> The Department may disclose records from this system
of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to
officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation.
</p><p>(11) <i>Disclosure to the DOJ.</i> 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.
</p><p>(12) <i>Research Disclosure.</i> The Department may disclose records to a researcher if 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.
Further, the Department 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.
</p><p>(13) <i>Disclosure to the OMB for Federal Credit Reform Act (CRA) Support.</i> The Department may
disclose records to OMB as necessary to fulfill CRA requirements. These requirements currently
include transfer of data on lender interest benefits and special allowance payments, defaulted loan
balances, and supplemental pre-claims assistance payments information.
</p><p>(14) <i>Disclosures to third-parties through computer matching programs.</i> 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. Purposes of these disclosures may be to determine program
eligibility and benefits, enforce the conditions and terms of a loan or grant, permit the servicing
and collecting of a loan or grant, counsel the individual in repayment efforts, investigate possible
fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, or
initiate legal action against an individual involved in program fraud or abuse.
</p><p>(15) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system to appropriate agencies, entities, and persons when (a) the Department
suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following
information to a consumer reporting agency regarding a valid overdue claim of the Department: (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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper applications are maintained in standard Federal Records Center boxes in locked storage
rooms at the contractor facility in Mt. Vernon, Illinois, and then moved to the Federal archives
where the records are maintained.
</p><p>Computerized applicant records, which include optically imaged documents, are maintained on
magnetic tape reels, cartridges, and hard disks in the computer facility and locked storage rooms
within the Virtual Data Center. Microfiche records maintained in the Washington, DC office are
stored in a locked fireproof file cabinet. Access is available only to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed and retrieved by the applicant's SSN, name, and the academic year in
which the applicant applied for Title IV, HEA program assistance.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical access to the data systems housed within the VDC is controlled by a computerized
badge reading system, and the entire complex is patrolled by security personnel during non-business
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. Paper applications
are maintained in standard Federal Records Center boxes in a locked storage room at the contractor
facility in Mount Vernon, Illinois, and then moved to the Federal archives where the records are
maintained.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Department will retain all identifiable CPS records for a period not to exceed 15 years
after the end of the award year in accordance with the applicable Record Retention Schedule as
approved by the National Archives and Records Administration. At the conclusion of the mandatory
retention period, these records will be destroyed consistent with legal retention requirements
established by the Department in conjunction with the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Application Processing Division, Program Management Systems, Federal Student Aid,
U.S. Department of Education, 830 First St., NE., UCP, room 63C4, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the system manager and provide your name, date of birth, and SSN 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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record for the current processing year (which begins
on January 1 of the calendar year and continues for 18 months until June 30 of the following
calendar year) in the 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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applicants for Federal student financial aid, their spouses (if married), and the parent(s)
of dependent applicants provide the information used in this system by filing a phone, paper, or
electronic version of the FAFSA with the Department of Education. (The electronic FAFSA can be
accessed at <i>http://www.fafsa.ed.gov</i>.)
</p><p>Postsecondary institutions designated by the applicant or third-party servicers designated by the
postsecondary institution may correct the records in this system as a result of documentation
provided by the applicant or by a dependent applicant's parents, such as Federal income return(s)
(IRS Form 1040, IRS Form 1040A, or IRS Form 1040EZ), Social Security card(s), and Department of
Homeland Security I-551 Resident Alien cards.
</p><p>This system contains information added during CPS processing and information received from other
Department systems, including NSLDS, COD, and the SAIG Participation Management System. For more
information about the information received from these other Department systems, see the Appendix.
</p><p>The results of computer matching programs with the following Federal agencies are also added to
the student's record during CPS processing: The Social Security Administration (SSA), the Department
of Veterans Affairs (VA), the Selective Service System (SSS), the Department of Homeland Security
(DHS), the Department of Justice (DOJ), and the Department of Defense (DoD). For more information
about the information received from these computer matching programs, see the Appendix.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-11-01
</b></p>
	<p><i>Additional Information about Categories of Records in the System and Record Source
Categories:
</i></p><p>Data provided to the Department as a result of computer matching with other Federal agencies
are added during CPS processing. These computer matches are with the SSA to verify the SSNs of
applicants, and dependent applicants' parent(s), and to confirm the U.S. citizenship status of
applicants as recorded in SSA records and date of death (if applicable) of applicants, and dependent
applicants' parents, pursuant to sections 428B(f)(2), 483(a)(12), and 484(g) and (p) of the HEA (20
U.S.C. 1078-2(f)(2), 1090(a)(12), and 1091(g) and (p)); with the VA to verify the status of
applicants who claim to be veterans, pursuant to section 480(c) and (d)(1)(D) of the HEA (20 U.S.C.
1087vv(c) and (d)(1)(D)); with the SSS to confirm the registration status of male applicants,
pursuant to section 484(n) of the HEA (20 U.S.C. 1091(n)); with the DHS to confirm the immigration
status of applicants for assistance as authorized by section 484(g) of the HEA (20 U.S.C. 1091(g));
with the DOJ to enforce any requirement imposed at the discretion of a court, pursuant to section
5301 of the Anti-Drug Abuse Act of 1988, Public Law 100-690, as amended by section 1002(d) of
the Crime Control Act of 1990, Public Law 101-647 (21 U.S.C. 862), denying Federal benefits
under the programs established by Title IV of the HEA to any individual convicted of a State or
Federal offense for the distribution or possession of a controlled substance; and with the DoD to
identify dependents of U.S. military personnel who died in service in Iraq and Afghanistan after
September 11, 2001, to determine if they are eligible for increased amounts of Title IV, HEA program
assistance, pursuant to sections 420R and 473(b) of the HEA (20 U.S.C. 1070h and 1087mm(b)).
</p><p>During CPS processing, the Department's COD system sends information to this system for students
who have received a Federal Pell Grant. The CPS uses this information for verification analysis and
for end-of-year reporting. These data include, but are not limited to: Verification Selection and
Status, Potential Over-award Project (POP) indicator, Institutional Cost of Attendance, Reporting
and Attended Campus Pell ID and Enrollment Date, and Federal Pell Grant Program information
(Scheduled Federal Pell Grant Award, Origination Award Amount, Total Accepted Disbursement Amount,
Number of Disbursements Accepted, Percentage of Eligibility Used At This Attended Campus
Institution, and Date of Last Activity from the Origination or Disbursement table).
</p><p>The CPS also receives applicant data from the Department's NSLDS system each time an application
is processed or corrected. This process assesses student aid eligibility, updates financial aid
history, and ensures compliance with Title IV, HEA regulations. Some of these data appear on the
applicant's SAR and ISIR. Title IV, HEA award information is provided to NSLDS from several
different sources. Federal Perkins Loan data and Federal Supplemental Educational Opportunity Grant
(FSEOG) overpayment data are sent from postsecondary institutions or their third-party servicers;
the Department's COD system provides Federal Pell Grant and Direct Loan data; and State and guaranty
agencies provide data on FFEL loans received from lending institutions participating in the FFEL
programs.
</p><p>Financial aid transcript data reported by NSLDS provides applicants, postsecondary institutions,
and third-party servicers with information about the type(s), amount(s), dates, and overpayment
status of prior and current Title IV HEA funds the applicant received. FFEL and William D. Ford
Federal Direct Student Loan (DL) data reported by NSLDS include, but are not limited to: (1)
Aggregate Loan Data, such as Subsidized, Unsubsidized; Combined Outstanding Principal Balances;
Unallocated Consolidated Outstanding Principal Balances, Subsidized, Unsubsidized; Combined Pending
Disbursements, Subsidized, Unsubsidized; Combined Totals; and Unallocated Consolidated Totals; (2)
Detail Loan Data, such as Loan Sequence Number; Loan Type Code; Loan Change Flag; Loan Program Code;
Current Status Code and Date; Outstanding Principal Balance and Date; Net Loan Amount; Loan begin
and End Dates; Amount and Date of Last Disbursement; Guaranty Agency Code; School Code; Contact
Code; and Institution Type and Grade Level; and (3) system flags for Additional Unsubsidized Loan;
Capitalized Interest; Defaulted Loan Change; Discharged Loan Change; Loan Satisfactory Repayment
Change; Active Bankruptcy Change; Overpayments Change; Aggregate Loan Change; Defaulted Loan;
Discharged Loan; Loan Satisfactory Repayment; Active Bankruptcy; Additional Loans; DL Master
Promissory Note; DL PLUS Loan Master Promissory Note; Subsidized Loan Limit; and the Combined Loan
Limit. Federal Perkins Loan data reported by NSLDS include, but are not limited to: Cumulative and
Current Year Disbursement Amounts; flags for Perkins Loan Change; Defaulted Loan; Discharged Loan;
Loan Satisfactory Repayment; Active Bankruptcy; Additional Loans; and Perkins Overpayment Flag and
Contact (School or Region). Federal Pell Grant payment data reported include, but are not limited
to: Pell Sequence Number; Pell Attended School Code; Pell Transaction Number; Last Update Date;
Scheduled Amount; Award Amount; Amount Paid to Date; Percent Scheduled Award Used; Pell Payment EFC;
Flags for Pell Verification; and Pell Payment Change. Federal Teacher Education Assistance for
College and Higher Education (TEACH) Grant Program data include, but are not limited to: TEACH Grant
Overpayment Contact; TEACH Grant Overpayment Flag; TEACH Grant Loan Principal Balance; TEACH Grant
Total; and Teach Grant Change Flag. The National Science and Mathematics Access to Retain Talent
Grant (SMART Grant) data include, but are not limited to: SMART Grant Overpayment Flag; SMART Grant
Overpayment Contact; and SMART Grant Change Flag. Iraq and Afghanistan Service Grants data include,
but are not limited to: Total Award Amount. Academic Competitiveness Grant (ACG) data include, but
are not limited to: ACG Award Amount; ACG Overpayment Flag; and ACG Payment Change Flag. FSEOG data
include, but are not limited to: Overpayment Flag and contact information.
</p><p>The Department obtains and exchanges information that is included in this system of records from
institutions offering secondary level education, local educational agencies, other local agencies,
postsecondary institutions, third-party servicers, State agencies, and lending institutions that
participate in the FFEL programs. These eligible entities register with the SAIG system to
participate in the information exchanges specified for their business processes.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-02" toc="yes">
<systemNumber>18-11-02</systemNumber>
<subsection type="systemName">Common Origination and Disbursement (COD) System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Total Systems Services, Inc. (TSYS), 1600 First Ave., P.O. Box 2567, Columbus, GA 31902
-2567. (This is the Computer Center for the COD Application.) All electronic COD information
is processed and stored here. This includes the William D. Ford Federal Direct Loan (Direct Loan)
Program, the Federal Pell Grant Program, the Academic Competitiveness Grant (ACG) Program, the
National Science and Mathematics Access to Retain Talent (National SMART) Grant Program, the Teacher
Education Assistance for College and Higher Education (TEACH) Grant Program, and the Iraq and
Afghanistan Service Grant Program.)
</p><p>Affiliated Computer Services, Inc. (ACS), 2429 Military Road, Suite 200, Niagara Falls, NY 14304
-1551. (This is the COD Customer Service Center.)
</p><p>HP Enterprise Services, COD Ancillary Services, 201 TechnaCenter Dr., Suite 300, Montgomery, AL
36117-6044. (This center images and stores all of the Direct Loan promissory notes.)
</p><p>Dell Perot Systems, 2300 W. Plano Parkway, Plano, TX 75075-8427. (The Direct Loan
electronic promissory notes, TEACH Agreement to Serve promissory notes, Direct Loan Entrance
Counseling, TEACH Entrance Counseling, and the COD archives are stored here.)
</p><p>HP Enterprise Services, D5-2B-14, 6901 Windcrest Parkway, Plano, TX 75024-8427.
(This is the data center for the paper promissory notes processed by COD Ancillary Services.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records of individuals who apply for or receive a Federal grant or loan
under one of the following programs authorized under title IV of the Higher Education Act of 1965,
as amended (HEA): (1) The Federal Pell Grant Program; (2) the ACG Program; (3) the National SMART
Grant Program; (4) the TEACH Grant Program; (5) the Iraq and Afghanistan Service Grant Program; and
(6) the Direct Loan Program, which consists of Federal Direct Unsubsidized and Subsidized
Stafford/Ford Loans, and Federal Direct PLUS Loans. COD also contains records of individuals who
have completed Direct Loan Entrance Counseling.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the COD system include, but are not limited to: (1) Recipient identifier
information including name, social security number (SSN), and date of birth; (2) recipient
demographic information such as address, e-mail address, driver's license number, telephone number,
citizenship status, dependency status, estimated family contribution, cost of attendance, post-
secondary school identifier, and enrollment information; (3) Federal Pell Grant, ACG, SMART Grant,
TEACH Grant, Iraq and Afghanistan Service Grant, and Direct Loan award amounts and dates of
disbursements; (4) Federal Pell Grant, ACG, SMART Grant, and Iraq and Afghanistan Service Grant
collection referral and payment amounts; (5) Direct Loan promissory notes; (6) TEACH Agreement to
Serve documents; and, (7) Direct Loan and TEACH entrance counseling information, including the SSNs
of the recipients and the dates that they completed the entrance counseling.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system of records is authorized under title IV of the HEA, 20 U.S.C. 1070 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is maintained for the following purposes related to
students and borrowers: (1) To determine recipient eligibility and benefits for the title IV, HEA
programs; (2) to store electronic data that support the existence of a legal obligation to repay
funds disbursed under the title IV, HEA programs, including documentation such as promissory notes,
and other agreements; (3) to identify whether an individual may have received a title IV, HEA
Federal grant or loan at more than one educational institution for the same enrollment period in
violation of title IV, HEA program regulations; and (4) to identify whether an individual may have
exceeded the annual award limits under the title IV, HEA Federal grant or loan programs in violation
of title IV, HEA program regulations.
</p><p>The information in this system is also maintained for the following purposes relating to
institutions participating in and administering the title IV, HEA programs: (1) To enable an
educational institution to reconcile, on an aggregate and recipient-level basis, the amount of title
IV, HEA Federal grant and Direct Loan funds that an institution received with disbursements it made
to, or on behalf of, eligible students (including reconciling verification codes, reconciling the
funds received with disbursements made by type of funds received, and making necessary corrections
and adjustments); (2) to enable an institution of higher education to perform on-line credit checks
to determine the credit worthiness of a borrower for title IV, HEA Federal Direct PLUS Loans; and
(3) to assist an institution of higher education, a software vendor, or a third-party servicer with
questions about a title IV, HEA Federal grant or loan.
</p><p>The information in this system is also maintained for the following purposes relating to the
Department's oversight of the title IV, HEA programs: (1) To support the investigation of possible
fraud and abuse and to detect and prevent fraud and abuse in the title IV, HEA Federal grant and
loan programs; (2) to confirm that an institution of higher education, or a program offered by an
institution of higher education, is eligible to receive title IV, HEA program funds; (3) to set and
adjust program funding authorization levels for each institution; (4) to enforce institutional
compliance with Department reporting deadlines; and (5) to apply appropriate title IV, HEA funding
controls.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis or, if the Department has complied with the computer
matching requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer
matching agreement.
</p><p>(1) <i>Program Purposes.</i> The Department may disclose records from the system of records for
the following program purposes:
</p><p>(a) To verify the identity of the recipient involved or the accuracy of the record, or to assist
with the determination of program eligibility and benefits, the Department may disclose records to
institutions of higher education; financial institutions; third-party servicers; and Federal, State,
or local agencies;
</p><p>(b) To store electronic data that support the existence of a legal obligation to repay funds
disbursed under the title IV, HEA programs, including documentation such as promissory notes and
other agreements, the Department may disclose records to institutions of higher education, third-
party servicers, and Federal agencies;
</p><p>(c) To identify whether an individual may have received a title IV, HEA Federal grant or loan at
more than one institution of higher education for the same enrollment period in violation of title
IV, HEA regulations, the Department may disclose records to institutions of higher education; third-
party servicers; and Federal, State, or local agencies;
</p><p>(d) To identify whether an individual may have exceeded the annual award limits under the title
IV, HEA Federal grant or Direct Loan Programs in violation of title IV, HEA regulations, the
Department may disclose records to institutions of higher education, third-party servicers, and
Federal agencies;
</p><p>(e) To enable institutions of higher education to reconcile, on an aggregate and recipient-level
basis, the amount of title IV, HEA Federal grant and Direct Loan funds that an institution received
with disbursements it made to, or on behalf of, eligible students (including reconciling
verification codes, reconciling the funds received with disbursements made by type of funds
received, and making necessary corrections and adjustments), the Department may disclose records to
institutions of higher education; third-party servicers; and Federal, State, or local agencies;
</p><p>(f) To enable an institution of higher education to perform on-line credit checks to determine
the credit worthiness of a borrower for title IV, HEA Federal Direct PLUS Loans, disclosures may be
made to institutions of higher education, third-party servicers, credit reporting agencies, and
Federal agencies;
</p><p>(g) To assist an individual, institutions of higher education, third-party servicers, or software
vendors with questions about a title IV, HEA Federal grant or loan, disclosures may be made to
institutions of higher education; software vendors; third-party servicers; and Federal, State, or
local agencies;
</p><p>(h) To support the investigation of possible fraud and abuse and to detect and prevent fraud and
abuse in the title IV, HEA Federal grant and loan programs, disclosures may be made to institutions
of higher education; third-party servicers; and Federal, State, or local agencies.
</p><p>(2) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff when necessary to respond 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.
</p><p>(3) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(4) <i>Enforcement Disclosure.</i> 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.
</p><p>(5) <i>Litigation or Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties listed below is involved
in litigation or ADR, or has an interest in litigation or ADR, the Department may disclose certain
records from this system of records to the parties described in paragraphs (b), (c) and (d) of this
routine use under the conditions specified in those paragraphs:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation of the employee.
</p><p>(iv) Any Department employee in his or her individual capacity when the Department has agreed to
represent the employee.
</p><p>(v) The United States when the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and
necessary to litigation or ADR to disclose certain records from this system of 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 or mediate disputes, the
Department may disclose those records as a routine use to the adjudicative body, individual, or
entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.
</p><p>(6) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> The Department may disclose information from this
system of records to a Federal, State, or local agency 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> The Department
may disclose information from this system of 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 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 to the receiving entity's decision on the
matter.
</p><p>(7) <i>Employee Grievance, Complaint, or Conduct Disclosure.</i> If a record is relevant and
necessary to a grievance, complaint, or disciplinary proceeding involving a present or former
employee of the Department, the Department may disclose a record from this system of records in the
course of investigation, fact-finding, or adjudication to any party to the grievance, complaint, or
action; to the party's counsel or representative; to a witness; or to a designated fact-finder,
mediator, or other person designated to resolve issues or decide the matter. The disclosure may only
be made during the course of investigation, fact-finding, or adjudication.
</p><p>(8) <i>Labor Organization Disclosure.</i> The Department may disclose a record from this system
of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to
officials of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary
to their duties of exclusive representation.
</p><p>(9) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records from this system of records to the DOJ or Office of Management and Budget (OMB)
if the Department concludes that disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA or the Privacy Act.
</p><p>(10) <i>Disclosure to the DOJ.</i> The Department may disclose records from this system of
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.
</p><p>(11) <i>Contract Disclosure.</i> 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 must 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.
</p><p>(12) <i>Research Disclosure.</i> The Department may disclose records from this system of records
to a researcher if 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 must be required to maintain Privacy Act
safeguards with respect to the disclosed records.
</p><p>(13) <i>Disclosure to OMB for Credit Reform Act (CRA) Support.</i> The Department may disclose
records from this system of records to OMB as necessary to fulfill CRA requirements.
</p><p>(14) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system of records to appropriate agencies, entities, and persons when (a) the
Department suspects or has confirmed that the security or confidentiality of information in this
system has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise, there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by the Department or by another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist the Department's efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): the Department may disclose to a consumer
reporting agency information regarding a valid, overdue claim of the Department. Such information is
limited to (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 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department electronically stores origination and disbursement records on hard disk at
TSYS in Columbus, Georgia. It stores electronic master promissory notes on hard disk at the Dell
Perot Systems Data Center in Plano, Texas. Paper Direct Loan promissory notes are stored in locked
vaults in Montgomery, Alabama and at a Federal Records Center near Atlanta, Georgia. Data obtained
from the paper promissory notes are stored on hard disks at TSYS in Columbus, Georgia. This data is
referred to as metadata and is used by the system to link promissory notes to borrower data. The
Department also creates electronic images of the paper promissory notes at the HP facility in
Montgomery, AL and stores the images at the HP facility in Plano, Texas.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in the system are retrieved by the individual's SSN or name, or by the institution's
Office of Postsecondary Education identification number (OPEID).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the sites of the Department's contractors where this system of
records is maintained, is controlled and monitored by security personnel who check each individual
entering the buildings for his or her employee or visitor badge.
</p><p>In accordance with the Department's Administrative Communications System Directive OM: 5-
101 entitled "Contractor Employee Personnel Security Screenings," all contract and
Department personnel who have facility access and system access must undergo a security clearance
investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum,
a moderate-risk security clearance level. These individuals are required to undergo periodic
screening at five-year intervals.
</p><p>In addition to undergoing security clearances, contract and Department employees are required to
complete security awareness training on an annual basis. Annual security awareness training is
required to ensure that contract and Department users are appropriately trained in safeguarding
Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.
</p><p>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 identification. The
Department's Federal Student Aid (FSA) Information Security and Privacy Policy requires the
enforcement of a complex password policy. In addition to the enforcement of the complex password
policy, users are required to change their password at least every 90 days in accordance with the
Department's information technology standards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p><i>Federal Direct Loan Records:</i>
</p><p>Records are maintained and disposed of in accordance with ED 072 FSA Application, Origination,
and Disbursement Records, Item b.2. Records are destroyed 15 years after final repayment or audit,
or after relevant data is transferred to an alternate recordkeeping system (i.e., loan servicing
system), whichever occurs first.
</p><p><i>Grant Records:</i>
</p><p>Records are maintained and disposed of in accordance with ED 072 FSA Application, Origination,
and Disbursement Records, Item b.2. Records are destroyed 15 years after final repayment or audit,
or after relevant data is transferred to an alternate recordkeeping system (<i>i.e.,</i> National
Student Loan Data System), whichever occurs first.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>System Manager, Common Origination and Disbursement System, FSA, U.S. Department of
Education, UCP, 830 First Street, NE., 6th Floor, Washington, DC 20202-5454.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 SSN. Requests must meet the
requirements in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, provide the system manager with your
name, date of birth, and SSN. Requests by an individual for access to a record must meet the
requirements in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record regarding you in the system of records,
provide the system manager with your name, date of birth, and SSN. Identify the specific items to be
changed, and provide a written justification for the change. Requests to amend a record must meet
the requirements in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system includes records on individuals who have received title IV, HEA program
assistance. These records include information provided by recipients of title IV, HEA program
assistance and the parents of dependent recipients. This system also includes information from
Federal Grant and Direct Loan origination and disbursement records provided by institutions of
higher education or their agents to the Department. The Central Processing System (CPS) (covered by
the Department's Privacy Act system of records notice entitled "Federal Student Aid
Application File" (18-11-01)) electronically sends the COD system the Abbreviated
Applicant File to validate all CPS-processed Free Application for Federal Student Aid (FAFSA)
records with the Federal Grant and Direct Loan disbursement data processed through the COD system.
</p><p>The Department's Privacy Act system of records notice entitled "Common Services for
Borrowers (CSB)" (18-11-16) sends COD booking acknowledgements, discharge
information, and payments to servicer data.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-03" toc="yes">
<systemNumber>18-11-03</systemNumber>
<subsection type="systemName">Student Financial Assistance Validation File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on applicants and recipients of student financial assistance.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of student financial assistance application, award and servicing forms
and documentation, and parents' and students' personal identification numbers assigned by the
Department.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Higher Education Act of 1965.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in standard file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to authorized staff only and files are maintained in locked cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained until resolved and then transferred to the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Users will be granted access to their own record via the http://www.studentaid.ed.gov Web
site when they are able to provide their User ID and password. Otherwise, users wishing to gain
access to records in this system of records must contact the system manager at fsa.portals@ed.gov e-
mail address or at the above address and follow the steps outlined in the Notification procedure.
Request to access a record must also reasonably specify the record contents sought and otherwise
meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record in this system of records, you may gain access
to the system and alter the record via the http://www.studentaid.ed.gov Web site and using the
system edits and update function. Otherwise, you must contact the system manager at
fsa.portals@ed.gov e-mail address or at the above address and follow the steps outlined in the
Notification procedure. Requests to amend a record must also reasonably identify the record, specify
the information being contested, and otherwise meet the regulations at 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from customers who use the
http://www.studentaid.ed.gov Web site and complete the optional web site personalization referred to
as "My FSA" . The "My FSA"  personalization form provides the information contained within the
system.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<section id="ed18-11-06" toc="yes">
<systemNumber>18-11-06</systemNumber>
<subsection type="systemName">National Student Loan Data System (NSLDS)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Dell Perot Systems, 2300 West Plano Parkway, Plano, TX 75075-8247. (This is the computer center for the NSLDS Application
Virtual Data Center.)
</p><p>Iron Mountain, PO Box 294317, Lewisville, Texas 75029-4317. (This is the location where back-up tapes for NSLDS are
maintained.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on persons who were recipients of aid under the title IV, Higher Education Act of 1965, as amended
(HEA) programs. This system contains records on borrowers who received loans under the William D. Ford Federal Direct Loan (Direct
Loan) Program, the Federal Family Education Loan (FFEL) Program, the Federal Insured Student Loan (FISL) Program, and the Federal
Perkins Loan Program (including National Defense Student Loans, National Direct Student Loans, and Perkins Expanded Lending and
Income Contingent Loans) (Perkins Loans). The system also contains records on recipients of Federal Pell Grants, Academic
Competitiveness Grants (ACG), National Science and Mathematics Access to Retain Talent (National SMART) Grants, Teacher Education
Assistance for College and Higher Education (TEACH) Grants, and Iraq and Afghanistan Service Grants, as well as on persons who owe an
overpayment on a Federal Pell Grant, an ACG Grant, a National SMART Grant, a Federal Supplemental Educational Opportunity Grant
(FSEOG), an Iraq and Afghanistan Service Grant, and a Federal Perkins Loan.
</p><p>NSLDS further contains student enrollment information for persons who have received title IV, HEA student assistance as well as
Master Conduit Loan Program Data, Master Loan Participation Program (LPP) Data, and loan-level detail on FFEL Subsidized,
Unsubsidized, and PLUS loans funded through those programs.
</p><p>The system also contains records on students (both title IV, HEA recipients and students who do not receive title IV aid, but
receive private educational loans and/or institutional financing for education) who, during an award year, begin attendance in a
program that is at least one-academic-year training program that leads to a certificate, or other non-degree recognized credential
and that prepares students for gainful employment in a recognized occupation, or who begin an eligible program provided by a
proprietary institution of higher education or a postsecondary vocational institution.
</p><p>The system also contains records on the level of study, CIP code, and published length of an educational program in which a
student receiving title IV, HEA Federal student aid is enrolled to limit his or her eligibility for Direct Subsidized Loans to no
more than 150 percent of the published length of the educational program in which the student is enrolled, and to determine the
periods for which a borrower who enrolls after reaching the 150 percent limit will be responsible for the accruing interest on
outstanding Direct Subsidized Loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in NSLDS include, but are not limited to: (1) Borrower identifier information including Social Security number (SSN),
name, date of birth, address, phone number, email address, and driver's license information; (2) information on the borrower's
loan(s) covering the period from the origination of the loan through final payment, cancellation, consolidation, discharge, or other
final disposition including details such as loan amount, disbursements, balances, loan status, repayment plan and related
information, collections, claims, deferments, forbearances, refunds, and cancellations; (3) for students who began a program of study
that prepares them for gainful employment in a recognized occupation pursuant to sections 1001 and 1002 of the HEA ("gainful
employment program"), student identifiers including the student's SSN, date of birth, and name, student enrollment information
including the Office of Postsecondary Education identification number (OPEID number) of the institution, the CIP code for the gainful
employment program in which the student enrolled, and, if the student completed the program, the completion date and the CIP code of
the completed program, the level of study, the amount of the student's private educational loan debt, the amount of institutionally
provided financing owed by the student, and whether the student matriculated to a higher credentialed program at the same institution
or another institution; (4) aggregated income information on graduates and non-completers of particular gainful employment programs,
and the median loan debt incurred by students enrolled in the gainful employment program, regardless of whether they completed the
program; (5) student demographic information such as dependency status, citizenship, veteran status, marital status, gender, income
and asset information (including income and asset information on the student's spouse, if married), expected family contribution, and
address; (6) information on the parent(s) of a dependent recipient, including, but not limited to: Name, date of birth, SSN, marital
status, email address, highest level of schooling completed, and income and asset information; (7) information related to a
borrower's application for an income-driven repayment plan, including information such as current income, family size, repayment plan
selection, and, if married, information about the borrower's spouse; (8) Federal Pell Grant, ACG Grant, National SMART Grant, TEACH
Grant, and Iraq and Afghanistan Service Grant amounts and dates of disbursement; (9) Federal Pell Grant, ACG Grant, National SMART
Grant, Iraq and Afghanistan Service Grant, FSEOG, and Federal Perkins Loan Program overpayment amounts; (10) demographic and contact
information on the guaranty agency that guarantees the borrower's FFEL loan and the lender(s), holder(s), and servicer(s) of the
borrower's loan(s); (11) NSLDS user profiles that include name, SSN, date of birth, employer, and NSLDS user name; (12) information
concerning the date of any default on loans and the aggregated loan data to support cohort default rate calculations for educational
institutions, financial institutions, and guaranty agencies; (13) pre- and post-screening results used to determine a student or
parent's aid eligibility; (14) information on financial institutions participating in the loan participation and sale programs
established by the Department under the Ensured Continued Access to Student Loan Act of 2008 (ECASLA), including the collection of:
ECASLA loan-level funding amounts, dates of ECASLA participation for financial institutions, dates and amounts of loans sold to the
Department under ECASLA, and the amount of loans funded by the Department's programs but repurchased by the lender; and (15)
information on the student's educational institution, level of study, the CIP code, and published length for the program in which the
student enrolled for an institution or programs of studies at the institution.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The authority under which the system is maintained includes sections 101, 102, 132(i), 485, and 485B of the HEA (20 U.S.C. 1001,
1002, 1015a(i), 1092, and 1092b) and section 431 of the General Education Provisions Act (20 U.S.C. 1231a(2)-(3)). The
collection of SSNs of borrowers who are covered by this system is authorized by 31 U.S.C. 7701 and Executive Order 9397 (November 22,
1943), as amended by Executive Order 13478 (November 18, 2008).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is maintained for the following purposes relating to students and borrowers: (1) To
determine student/borrower eligibility for title IV, HEA programs by NSLDS pre- and post-screening processes; (2) to report changes
in student/borrower enrollment status and enrollment in gainful employment programs; (3) to track loan borrowers and students who owe
grant overpayment amounts (debtors); (4) to provide an Exit Counseling tool for Teach Grants, FFEL loan programs, and Direct Loan
programs that provides various calculators, requires students to complete a quiz to ensure understanding of their repayment
obligations, and collects information to assist in the activity of skip-tracing for loan holders; (5) to provide Web-based access for
borrowers/students to their loan, grant, and enrollment data; (6) to maintain information on the status of student loans; (7) to
maintain information on the Federal Pell Grant program, the ACG Grant program, the National SMART Grant program, the TEACH Grant
program, the Federal Supplemental Educational Opportunity Grant (FSEOG) program, and the Iraq and Afghanistan Service Grant program
awards to students; (8) to provide borrowers and NSLDS users with loan refund/cancellation details; (9) to track the level of study
and CIP code of students' programs to limit eligibility for Direct Subsidized Loans to no more than 150 percent of the published
length of the educational program in which the student is enrolled, and to determine the periods for which a borrower who enrolls
after reaching the 150 percent limit will be responsible for the accruing interest on outstanding Direct Subsidized Loans; and (10)
to provide consumer tools to prospective students about costs, financial aid, aggregate earnings of title IV aid recipients who were
enrolled at that postsecondary institution participating in title IV, HEA programs so that these prospective students can make
informed decisions about which postsecondary institution to attend.
</p><p>The information in NSLDS is also maintained for the following purposes relating to institutions participating in and administering
the title IV, HEA programs: (1) To permit Department staff, Department contractors, guaranty agencies, eligible lenders, and eligible
institutions of higher education to verify the eligibility of a student, potential student, or parent for loans or Pell grants; (2)
to provide student aggregate loan calculations to educational institutions; (3) to track loan transfers from one entity to another;
(4) to determine default rates for educational institutions, guaranty agencies, and lenders; (5) to prepare electronic financial aid
histories on students or borrowers for educational institutions, guaranty agencies, Department staff, and Department contractors; (6)
to alert educational institutions of changes in financial aid eligibility of students via the Transfer Student Monitoring process;
(7) to assist Department staff, Department contractors and agents, guaranty agencies, educational institutions, lenders, and
servicers in collecting debts arising from receipt of title IV, HEA funds; (8) to assess title IV, HEA program administration of
guaranty agencies, educational institutions, lenders, and servicers; (9) to display organizational contact information provided by
educational institutions, guaranty agencies, lenders, and servicers; (10) to provide reporting capabilities for educational
institutions, guaranty agencies, lenders, and servicers for use in title IV, HEA administrative functions and for the Department for
use in oversight and compliance; (11) to provide financial institutions, servicers, Department staff, and Department contractors with
contact information on loan holders for use in the collection of loans; (12) to provide schools and servicers with information to
resolve overpayments of Pell, ACG, National SMART, TEACH, Iraq and Afghanistan Service Grants, and FSEOG grants; (13) to assist
Department staff, contractors, guaranty agencies, and the Department of Justice in the collection of debts owed to the Department
under title IV of the HEA; (14) to obtain data on and to report on students in a gainful employment program for the purposes of
establishing whether a particular gainful employment program is successfully preparing students to be gainfully employed and making
this information available to the institution; (15) to obtain data and report the level of study, CIP code, and published length of
an educational program in which a student receiving title IV, HEA Federal student aid is enrolled to ensure his or her eligibility
for Direct Subsidized Loans is limited to no more than 150 percent of the published length of the educational program, and to
determine the periods for which a borrower who enrolls after reaching the 150 percent limit will be responsible for the accruing
interest on outstanding Direct Subsidized Loans; and (16) to provide consumer tools that are designed to simplify information that
prospective students receive about costs, financial aid, and aggregate earnings of title IV aid recipients who were enrolled at
postsecondary institutions participating in title IV, HEA programs so that these prospective students can make informed decisions
about which postsecondary institution to attend.
</p><p>The information maintained in this system is also maintained for the following purposes relating to the Department's oversight and
administration of the title IV, HEA programs: (1) To assist audit and program review planning; (2) to support research studies and
policy development; (3) to conduct budget analysis and program review planning; (4) to provide information that supports the
Department's compliance with the Federal Credit Reform Act of 1990, as amended (CRA); (5) to ensure only authorized users access the
database and to maintain a history of the student/borrower information reviewed; (6) to track the Department's interest in loans
funded through ECASLA; (7) to track TEACH grants that have been converted to loans; (8) to track eligibility for and participation in
Public Service Loan Forgiveness; (9) to capture data to support compliance and to calculate and distribute performance metrics
related to gainful employment programs; (10) to provide data for program oversight and strategic decision-making in the
administration of higher education programs; (11) to track eligibility for Direct Subsidized Loans and interest subsidy based upon
the level of study, CIP code, and published length of the educational program in which a student is enrolled; and (12) to evaluate
the effectiveness of an institution's education programs, and help provide information to the public at the institutional and
programmatic level on this effectiveness.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department may disclose information contained in a record in this system of records under the routine uses listed in this
system of records 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 Privacy Act of 1974, as amended, under a computer matching agreement.
</p><p>(1) <i>Program Disclosures</i>.
</p><p>The Department may disclose records to the specified users for the following program purposes:
</p><p>(a) To verify the identity of the applicant involved, the accuracy of the record, or to assist with the determination of program
eligibility and benefits, as well as institutional program eligibility, the Department may disclose records to the applicant,
guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies;
</p><p>(b) To support default rate calculations and/or provide information on borrowers' current loan status, the Department may disclose
records to guaranty agencies, educational institutions, financial institutions, servicers, and State agencies;
</p><p>(c) To determine if educational programs lead to gainful employment in a recognized occupation, the Department may disclose
records to educational institutions;
</p><p>(d) To provide financial aid history information to aid in their administration of title IV, HEA programs, the Department may
disclose records to educational institutions, guaranty agencies, loan holders, or servicers;
</p><p>(e) To support auditors and program reviewers in planning and carrying out their assessments of title IV, HEA program compliance,
the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to
Federal, State, and local agencies;
</p><p>(f) To support governmental researchers and policy analysts, the Department may disclose records to Federal, State, and local
agencies using safeguards for system integrity and ensuring compliance with the Privacy Act;
</p><p>(g) To support Federal budget analysts in the development of budget needs and forecasts, the Department may disclose records to
Federal and State agencies;
</p><p>(h) To assist in locating holders of loan(s), the Department may disclose records to students/borrowers, guaranty agencies,
educational institutions, financial institutions and servicers, and Federal agencies;
</p><p>(i) To assist analysts in assessing title IV, HEA program administration by guaranty agencies, educational institutions, and
financial institutions and servicers, the Department may disclose records to Federal and State agencies;
</p><p>(j) To assist loan holders in locating borrowers, the Department may disclose records to guaranty agencies, educational
institutions, financial institutions that hold an interest in the loan and their servicers, and to Federal agencies;
</p><p>(k) To assist with meeting requirements under the CRA, the Department may disclose records to Federal agencies;
</p><p>(l) To assist program administrators with tracking refunds and cancellations of title IV, HEA loans, the Department may disclose
records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies;
</p><p>(m) To enforce the terms of a loan, assist in the collection of a loan, or assist in the collection of an aid overpayment, the
Department may disclose records to guaranty agencies, loan servicers, educational institutions and financial institutions, to the
Department of Justice and private counsel retained by the Department of Justice, and to other Federal, State, or local agencies;
</p><p>(n) To assist the Department in tracking loans funded under ECASLA, the Department may disclose records to Federal agencies;
</p><p>(o) To assist the Department in complying with requirements that limit eligibility for Direct Subsidized Loans to no more than 150
percent of the published length of the educational program in which the student is enrolled, and to determine the periods for which a
borrower who enrolls after reaching the 150 percent limit will be responsible for the interest accruing on outstanding Direct
Subsidized Loans thereafter, the Department may disclose records to the applicant, guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal and State agencies; and
</p><p>(p) To obtain data needed to assist the Department in evaluating the effectiveness of an institution's education programs and to
provide the public with greater transparency about the level of economic return of an educational institution and their programs that
are paid for with title IV, HEA program assistance, the Department may disclose records to educational institutions and to Federal
and State agencies, including the Social Security Administration.
</p><p>(2) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> The Department may disclose information to any Federal,
State, or 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 prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(3) <i>Enforcement Disclosure.</i> 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.
</p><p>(4) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties is involved in judicial or administrative
litigation or ADR, or has an interest in such 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:
</p><p>(i) The Department or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been
requested to provide or arrange for representation of the employee; or
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; or
</p><p>(v) The United States, where the Department determines that the litigation is likely to affect the Department or any of its
components.
</p><p>(b) <i>Disclosure to the DOJ.</i> If the Department determines that disclosure of certain records to the DOJ is relevant
and necessary to the judicial or administrative litigation or ADR, 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.
</p><p>(c) <i>Adjudicative Disclosures.</i> 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 judicial or administrative litigation or ADR, the Department
may disclose those records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, and Witnesses.</i> If the Department determines that disclosure of
certain records is relevant and necessary to judicial or administrative litigation or ADR, the Department may disclose those records
as a routine use to the party, counsel, representative, or witness.
</p><p>(5) <i>Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure.</i> The Department may disclose records to the
DOJ or the Office of Management and Budget (OMB) if the Department seeks advice regarding whether records maintained in this system
of records are required to be disclosed under the FOIA or the Privacy Act.
</p><p>(6) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any function that requires disclosing
records to the contractor's employees, the Department may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to establish and maintain the safeguards required under the Privacy Act (5
U.S.C. 552a(m)) with respect to the records in the system.
</p><p>(7) <i>Congressional Member Disclosure.</i> The Department may disclose records to a Member of Congress in response to an
inquiry from the Member made at the written request of the individual whose records are being disclosed. The Member's right to the
information is no greater than the right of the individual who requested it.
</p><p>(8) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> 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 Departmental 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> The Department may disclose a record to a
Federal, State, local, 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.
</p><p>(9) <i>Employee Grievance, Complaint, or Conduct Disclosure.</i> 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, or disciplinary or competency determination proceedings. The disclosure
may only be made during the course of the proceeding.
</p><p>(10) <i>Labor Organization Disclosure.</i> The Department may disclose records from this system of records to an arbitrator
to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. 71 when
relevant and necessary to their duties of exclusive representation.
</p><p>(11) <i>Disclosure to the DOJ.</i> 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.
</p><p>(12) <i>Disclosure to the OMB for CRA Support.</i> The Department may disclose records to OMB as necessary to fulfill CRA
requirements. These requirements currently include transfer of data on lender interest benefits and special allowance payments,
defaulted loan balances, and supplemental pre-claims assistance payments information.
</p><p>(13) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose records from this system
to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to
the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or
entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer reporting agency
regarding a valid overdue claim of the Department: (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 in 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>In order for users to retrieve student/borrower information they must supply the student/borrower SSN, name, and date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical access to this system housed within the Virtual Data Center is controlled by a computerized badge reading system, and the
entire complex is patrolled by security personnel during non-business 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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for 15 years after an account is paid in full, and then destroyed in accordance with the Department's records
retention and disposition schedule 051.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, National Student Loan Data System, FSA, U.S. Department of Education, UCP, 830 First Street NE., 4th Floor, Washington,
DC 20202-5454.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records, contact the system manager and provide
your name, date of birth, SSN, and the name of the school or lender from which the loan or grant was obtained. 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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record in the system of records, you must contact the system manager with the information
described in the notification procedures, identify the specific item(s) to be changed, and provide a justification for the change,
including any supporting documentation. Requests to amend a record must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from guaranty agencies, educational institutions, and financial institutions and servicers, and the Free
Application for Federal Student Aid completed by students and parents. Information is also obtained from other Department systems
such as the Direct Loan Servicing System (covered by the system of records entitled "Common Services for Borrowers");
Debt Management Collection System (covered by the system of records entitled "Common Servicers for Borrowers"); Common
Origination and Disbursement System; Financial Management System; Student Aid Internet Gateway, Participant Management System
(covered by the system of records entitled "Student Aid Internet Gateway Enrollment"); Postsecondary Education
Participants System (covered by the system of records entitled "Postsecondary Education Participants System"); and
Central Processing System (covered by the system of records entitled "Federal Student Aid Application File").
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="ed18-11-08" toc="yes">
<systemNumber>18-11-08</systemNumber>
<subsection type="systemName">Student Account Manager System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p><p>Total Systems Services, Inc, 6101 Stone Mill Drive, Columbus, GA; Golden Retriever System, 8 N.
Roosevelt Avenue, Chandler, AZ  85221.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The Student Account Manager System contains records relating to a student and/or borrower's
originated awards and disbursements of Title IV financial assistance and a personal identification
number assigned by the Department.  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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Higher Education Act of 1965, Title IV-A through IV-H, as amended, (20 U.S.C.
1092b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is provided for the purposes of:
</p><p>(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;
</p><p>(2)  Providing eligible institutions of higher education with a standardized method for the
receipt of Title IV student financial assistance; and
</p><p>(3)  Creating summary reports for Federal loan and grant funding sources and program offices for
loans and grants delivered through the Student Account Manager.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Program purposes. Records may be disclosed for the following program purposes:
</p><p>(a)  To report disbursement activity, disclosures may be made to appropriate guaranty agencies,
educational and financial institutions, and Federal agencies.
</p><p>(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.
</p><p>(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.
</p><p>(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 or prosecuting that violation or charged with
enforcing or implementing the statute, or executive order, rule, regulation, or order issued
pursuant thereto.
</p><p>(4) Litigation disclosure and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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
</p><p>(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.
</p><p>(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.
</p><p>(5)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records at the National Computer Systems (NCS) are maintained on the 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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Each student and/or borrower's file is indexed by social security number and the first two
characters of their last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.)
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<section id="ed18-11-10" toc="yes">
<systemNumber>18-11-10</systemNumber>
<subsection type="systemName">Student Aid Internet Gateway (SAIG), Participation Management System.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Pearson, PLC, 2510 N. Dodge, Iowa City IA 52245-0030. (This facility hosts the
database for the Participation Management System.)
</p><p>Vangent, Inc., 2450 Oakdale Boulevard, Coralville IA 52241-9728. (This facility stores
paper documents that are held for less than 12 months.)
</p><p>Iron Mountain, 4437 121st Street, Urbandale, IA 50323-2313. (This facility stores paper
documents for documents that are held for more than 12 months.)
</p><p>Virtual Data Center (VDC), Dell Perot System, 2300 West Plano Parkway, Plano, TX 75075-
8427. (This facility hosts the SAIG Enrollment Web site (titled FSAWebEnrollment.ed.gov) through
which users enroll for electronic access to the Department's Title IV Federal Student Aid Systems.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on those individuals who are eligible to participate in the
Department's Title IV Federal Student Aid Systems--to participate in the electronic exchange of
data with the Department of Education via the SAIG, or enroll in the Participation Management System
for access to the Department's Central Processing System (CPS) Online, eCampus-Based (eCB) System,
National Student Loan Data System (NSLDS) Online, Common Origination and Disbursement (COD) System,
Financial Management System (FMS), Debt Management and Collections System (DMCS), Title IV
Additional Servicers (TIVAS), and Access Information Management System (AIMS). Those individuals
eligible to participate include: student financial aid administrators, authorized employees or
representatives of postsecondary institutions, authorized employees or representatives of third-
party servicers, authorized employees or representatives of lenders, authorized employees or
representatives of guaranty agencies, authorized employees or representatives of State scholarship
programs, authorized employees or representatives of States, authorized employees or representatives
of LEAs, and authorized employees or representatives of secondary schools.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of contact information that individuals affiliated with an authorized
entity (i.e., postsecondary institutions, third party servicers, lenders, guaranty agencies, State
scholarship programs, States, LEAs and secondary schools that the Department authorizes to access
the Department's Title IV Federal Student Aid Systems) provide to request electronic access to the
Department's Title IV Federal Student Aid Systems. This contact information includes the
individual's name, address, and other authentication information (mother's maiden name, user's
Social Security number, and the user's date of birth).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Higher Education Act of 1965, as amended (HEA); 20 U.S.C. 1070 <i>et seq.</i> The collection of Social Security numbers of users of this system is authorized by 31 U.S.C. 7701
and Executive Order 9397, as amended by Executive Order 13478 (November 18, 2008).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is maintained for the purposes of: (1) Processing stored data
from the SAIG Enrollment Forms (Web and paper versions); (2) maintaining the SAIG Enrollment Web
site (titled FSAWebEnrollment.ed.gov); (3) managing the assignment of individual electronic SAIG
mailbox numbers, known as "TG numbers"; and (4) authenticating users of the CPS Online,
eCB System, NSLDS Online, COD System, FMS, DMCS, TIVAS, and AIMS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching
agreement.
</p><p>(1) <i>Program Disclosures.</i> The Department may disclose records maintained in the SAIG,
Participation Management System for the purpose of allowing authorized users who are eligible to
participate in the electronic exchange of data with the Department to transmit files to and from the
following Department databases and access the Department's Web sites online, based on the approved
program functions of each of the Department's systems that include, but are not limited to the
following:
</p><p>(a) COD System;
</p><p>(b) CPS, under the Federal Student Aid Application File;
</p><p>(c) eCB System;
</p><p>(d) NSLDS;
</p><p>(e) FMS;
</p><p>(f) DMCS, under Common Services for Borrowers (CSB);
</p><p>(g) TIVAS; and
</p><p>(h) AIMS.
</p><p>(2) <i>Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure.</i> The Department may
disclose records to the Department of Justice (DOJ) or the Office of Management and Budget (OMB) if
the Department seeks advice regarding whether records maintained in this system of records are
required to be disclosed under the FOIA or the Privacy Act.
</p><p>(3) <i>Disclosure to the DOJ.</i> 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.
</p><p>(4) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any
function that requires disclosing records to the contractor's employees, the Department may disclose
the records to those employees. Before entering into such a contract, the Department shall require
the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C.
552a(m)) with respect to the records in the system.
</p><p>(5) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties 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:
</p><p>(i) The Department, or any of its components;
</p><p>(ii) Any Department employee in his or her official capacity;
</p><p>(iii) Any Department employee in his or her individual capacity where the DOJ agrees to or has
been requested to provide or arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee;
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain records to
the DOJ is relevant and necessary to litigation or ADR, 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.
</p><p>(c) <i>Adjudicative Disclosures.</i> 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 litigation or ADR, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Parties, Counsel, Representatives and Witnesses.</i> If the Department determines that
disclosure of certain records to a party, counsel, representative or witness is relevant and
necessary to the litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative or witness.
</p><p>(6) <i>Research Disclosure.</i> 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.
</p><p>(7) <i>Congressional Member Disclosure.</i> The Department may disclose records to a Member of
Congress in response to an inquiry from the Member made at the written request of the individual
whose records are being disclosed. The Member's right to the information is no greater than the
right of the individual who requested it.
</p><p>(8) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> The Department may disclose
information to any Federal, State, or local 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 prosecutorial responsibility within
the receiving entity's jurisdiction.
</p><p>(9) <i>Enforcement Disclosure.</i> 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.
</p><p>(10) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> 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.
</p><p>(11) <i>Employee Grievance, Complaint or Conduct Disclosure.</i> If a record is relevant and
necessary to an employee grievance, complaint, or disciplinary action, 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.
</p><p>(12) <i>Labor Organization Disclosure.</i> The Department may disclose records from this system
of records to an arbitrator to resolve disputes under a negotiated grievance process or to officials
of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(13) <i>Disclosure in the Course of Responding to a Breach of Data.</i> The Department may
disclose records from this system to appropriate agencies, entities, and persons when (a) the
Department suspects or has confirmed that the security or confidentiality of information in the
system of records has been compromised; (b) the Department has determined that as a result for the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the Department or another agency or entity) that rely upon the
compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the Department's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following
information to a consumer-reporting agency regarding a valid overdue claim of the Department: (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(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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in a computer database as well as in hard copy. All hard copy forms
are loaded into an imaging system accessible through internal systems only. Paper documents less
than 12-months old are stored in locked file cabinets at the Vangent, Inc. facility in Coralville,
Iowa. Paper documents older than 12 months are stored at Iron Mountain secure storage facility.
Documents are stored for three years after final contract payment. After the three-year period,
documents are subsequently sent to the Federal Records Center for storage.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>All individuals affiliated with authorized entities that have been granted access ("
users of the SAIG, Participant Management System") to the Department's Title IV Federal
Student Aid Systems whose information is included in this system of records have a unique user
identification (ID) with a password. Records are retrieved by the names of the individual user
and/or their unique system User ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All users of the SAIG, Participation Management System will have a unique user ID with a
password.
</p><p>All physical access to the data housed at the Pearson location and within the VDC, and the
locations 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.
</p><p>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.
</p><p>All interactions by users of the SAIG, Participation Management System are recorded.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Documents are stored for 3 years after a user of the SAIG, Participation Management System's
individual enrollment account is terminated or closed. Thereafter, documents are sent to the Federal
Records Center for storage. These records are covered by the General Records Schedule (GRS) 24, Item
6(a). The retention requirement is to destroy/delete the record 6 years after the user account is
terminated or password is altered, or when no longer needed for investigative or security purposes,
whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Application Processing Division, Program Management Systems, 830 First Street,
NE., room 63C4, Union Center Plaza (UCP), Washington, DC 20202-5454.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
you must provide the system manager your name, date of birth, and Social Security number. Requests
for notification about whether the system of records contains information about an individual must
meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, you must contact the system manager
and provide information as described in the Notification Procedures. Such requests must meet the
requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest or change the content of a record about you in the system of records,
you must contact the system manager with the information described in the notification procedures.
Requests to amend a record must meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from the following entities: student financial aid
administrators, postsecondary institutions, third-party servicers, lenders, guaranty agencies, State
scholarship programs, States, LEAs, and secondary schools.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>


    <section id="ed18-11-11" toc="yes">
        <systemNumber>18-11-11</systemNumber>


        <subsection type="systemName">
            Office of the Student Loan Ombudsman Records.
        </subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent>
            </subsection>
        <subsection type="systemLocation">
            <xhtmlContent>
                <p>Salesforce Data Center, primary data center in 44521 Hastings Drive, Ashburn, VA 20147.  The system is accessible via the Internet to different categories of users, including Department personnel, customers, and designated agents of the Department.  As a result, these users may be at any location where they have Internet access.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p>This system contains records on individuals who are, were, or may be participants in any of the Student Financial Assistance Programs under title IV of the Higher Education Act of 1965, as amended (HEA), and who request assistance, directly or through a designated third party, from the Ombudsman.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p>This system consists of a variety of records that identify the individuals’ complaints, requests for assistance, or other inquiries.  Records include, but are not limited to:  written documentation of the individual’s complaint, request for assistance, or other comment or inquiry; and information pertaining to the student’s or parent’s title IV Student Financial Assistance Program account(s), such as the person’s name, Social Security number (SSN), date of birth, address, telephone number(s), and Federal Student Aid ID (FSA ID).  Additionally, records will include the name, address, and phone numbers of school(s), lender(s), secondary holder(s) or lender(s), guaranty agency(ies), servicer(s), and private collection agency(ies), if applicable.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p>Section 141(f) of the HEA (20 U.S.C. 1018(f)).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p>The information contained in this system will be used for a number of purposes related to the duties and responsibilities of the Ombudsman, including:  verifying the identities of individuals; recording complaints and comments; tracking individual cases through final resolution; reporting trends; analyzing the data to recommend improvements in Student Financial Assistance Programs; and assisting in the resolution of disputes.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p>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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.</p>
                <p>(1)  Program Disclosure.  The Department may disclose records to Federal agencies, State agencies, schools, lenders, guaranty agencies, servicers, and private collection agencies when it is necessary to obtain further information about the complaint, request for assistance, or other inquiry before it can be resolved.</p>
                <p>(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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
                <p>(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.</p>
                <p>(4)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.</p>
                <p>(a)  Introduction.  In the event that one of the parties listed below is involved in litigation or ADR, or has an interest in such 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:</p>
                <p>(i)  The Department, or any component of the Department;</p>
                <p>(ii)  Any Department employee in his or her official capacity;</p>
                <p>(iii)  Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee;</p>
                <p>(iv)  Any Department employee in his or her individual capacity if the Department has agreed to represent the employee; or</p>
                <p>(v)  The United States if the Department determines that the litigation is likely to affect the Department or any of its components.</p>
                <p>(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.</p>
                <p>(c)  Adjudicative Disclosures.  If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
                <p>(d)  Disclosures to parties, counsels, representatives, and witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
                <p>(5)  Disclosure to the 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.</p>
                <p>(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.</p>
                <p>(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.</p>
                <p>(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.</p>
                <p>(9)  Borrower Complaint Disclosure.  If a record is relevant and necessary to a borrower complaint regarding participants in any Student Financial Assistance Programs under title IV of the HEA, the Department may disclose a record from this system of records in the course of investigating, fact-finding, or adjudicating the complaint to:  any party to the complaint; the party's counsel or representative; a witness; or a designated fact-finder, mediator, or other person designated to resolve issues or decide the matter.  The disclosure may only be made during the course of the investigation, fact-finding, or adjudication.</p>
                <p>(10)  Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.  The Department may disclose records from this system of records to the DOJ or Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
                <p>(11)  Disclosure in the Course of Responding to a Breach of Data.  The Department may disclose records from this system of records to appropriate agencies, entities, and persons when:  (a) the Department suspects or has confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p>Disclosure To Consumer Reporting Agencies:</p>
                <p>Not applicable.</p>
                
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p>Storage:</p>
                <p>These records will be maintained either in hard copy or in an electronic database.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
                <p>Records are indexed by SSN, name, date of birth, and case tracking number.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p>Access to and use of these records shall be limited to those persons whose official duties require access.  This includes staff members of the Office of the Student Loan Ombudsman, other Department offices, and agents of the Department.  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 or visitor badge.</p>
                <p>The computer system offers a high degree of resistance to tampering and circumvention.  This security system limits data access to 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 unique user IDs with personal identifiers.  All interactions by individual users with the system are recorded.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p>The records are retained for 10 years after cut off on close of case or final determination, and then destroyed in accordance with the Department’s records retention and disposition schedule 052 FSA Ombudsman Case Files.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p>Ombudsman, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., room 41I1, Washington, DC 20202.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p>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’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p>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 Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p>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 Department’s Privacy Act regulations at 34 CFR 5b.7.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p>Information is obtained from the individuals (e.g., borrowers), Federal agencies, State agencies, schools, lenders, private collection agencies, and guaranty agencies.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p>None.</p>
            </xhtmlContent>
        </subsection>
    </section>


    <section id="ed18-11-12" toc="yes">
<systemNumber>18-11-12</systemNumber> <subsection type="systemName">Person Authentication Service (PAS).</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>Dell Systems Virtual Data Center, 2300 West Plano Parkway, Plano, TX 75075"8247.  (This is the virtual data center for the PAS application.)</p>
<p>PPS Infotech, 1801 Research Blvd., Suite 615, Rockville, MD 20850-3115.  (PPS Infotech has access to the system and contracts directly with the Department for the development, operations and maintenance support for PAS.)</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>PAS contains records about former, current, and prospective students, their parents and endorsers who apply for a user ID and password (FSA ID).  </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>This system contains identification and authentication information including, but not limited to, first name, middle name, last name, Social Security number (SSN), date of birth, address, telephone number(s), email address, and security challenge questions and corresponding answers.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The collection of personal information for the creation and management of an FSA ID (which includes a user ID and a password) is authorized programmatically by title IV of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C. 1070, et seq.).  </p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in this system will be used to support the administration of title IV of the HEA programs; to generate authentication and log-on credentials for those individuals wishing to access various Departmental student financial assistance systems, online applications, Web sites and services; and to obtain information about their personal records.  The system will also provide tracking of changes to user account information, match user information with the Social Security Administration (SSA) for identity verification, and provide usage and authentication information for FSA systems and Web sites.</p>
<p>PAS will be used to access a variety of Departmental systems, including, but not limited to:</p>
<p> &#8226;  Free Application for Federal Student Aid (FAFSA; www.fafsa.ed.gov)</p>
<p> &#8226;  Studentaid.gov</p>
<p> &#8226;  StudentLoans.gov</p>
<p> &#8226;  TEACH Grant Agreement to Serve (ATS)</p>
<p> &#8226;  Federal Student Aid Information Center (FSAIC)</p>
<p> &#8226;  National Student Loan Data System (NSLDS; www.nslds.ed.gov)</p>
<p>The FSA ID generated and stored by this system may also be used by individuals to electronically sign various student aid applications, including the FAFSA and the Renewal FAFSA, and Direct Loan Master Promissory Notes, as well as to initiate loan deferments or forbearances.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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 a 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 Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a), under a computer matching agreement (CMA).  </p>
<p>(1)  <i>Program Disclosures.</i>  The Department may disclose records for the following program purposes:   </p>
<p> (a)  To verify the identity of the individual whom records indicate is applying for, has applied for, has endorsed, or has received a title IV, HEA loan and/or grant, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies and their authorized representatives; private parties such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; adjudicative bodies; and the individual whom the records identify as the endorser or the party obligated to repay the debt; </p>
<p> (b)  To determine program eligibility and benefits, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies; </p>
<p> (c)  To facilitate default reduction efforts by program participants, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; consumer reporting agencies; and adjudicative bodies;  </p>
<p> (d)  To permit the making, servicing, collecting, assigning, adjusting, transferring, referring, or discharging of a loan or collecting a grant obligation, disclosures may be made to:  guaranty agencies, educational institutions, financial institutions, Federal Loan Servicers, or Federal Perkins Loan Servicers that made, held, serviced, or have been assigned the debt, and their authorized representatives; a party identified by the debtor as willing to advance funds to repay the debt; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies;  </p>
<p> (e)  To investigate possible fraud or abuse or verify compliance with program regulations, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, present and former employers, and business and personal associates; creditors; consumer reporting agencies; and adjudicative bodies; </p>
<p> (f)  To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan or grant, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies;</p>
<p> (g)  To conduct credit checks or to respond to inquiries or disputes arising from information on the debt already furnished to a credit reporting agency, disclosures may be made to:  credit reporting agencies; guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, present and former employers, and business and personal associates; creditors; and adjudicative bodies; </p>
<p> (h)  To investigate complaints or to update information or correct errors contained in Department records, disclosures may be made to:  guaranty agencies, educational and financial institutions, Federal Loan Servicers, Federal Perkins Loan Servicers, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties such as relatives, present and former employers, and business and personal associates; creditors; credit reporting agencies; and adjudicative bodies; and</p>
<p> (i)  To report information required by law to be reported, including, but not limited to, reports required by 26 U.S.C. 6050P and 6050S, disclosures may be made to the Internal Revenue Service (IRS).   </p>
<p> (2)  <i>Feasibility Study Disclosure.</i>  The Department may disclose information from this system of records to other Federal agencies, and to guaranty agencies and their authorized representatives, to determine whether computer matching programs should be conducted by the Department for purposes such as to locate a delinquent or defaulted debtor or to verify compliance with program regulations.    </p>
<p> (3)  <i>Disclosure for Use by Other Law Enforcement Agencies.</i>  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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
<p> (4)  <i>Enforcement Disclosure.</i>  In the event that information in this system of records indicates, either alone or in connection with other information, a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose the relevant records to an entity charged with the responsibility for investigating or enforcing those violations or potential violations.</p>
<p> (5)  <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i></p>
<p> (a)  Introduction.  In the event that one of the parties listed below is involved in judicial or administrative litigation or ADR, or has an interest in such 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:</p>
<p> (i)  The Department or any of its components; </p>
<p> (ii)  Any Department employee in his or her official capacity; </p>
<p> (iii)  Any Department employee in his or her individual capacity where the Department of Justice (DOJ) has been requested to or agrees to provide or arrange for representation for the employee;</p>
<p> (iv)  Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; </p>
<p> (v)  The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p> (b)  <i>Disclosure to the DOJ.</i>  If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to the judicial or administrative litigation or ADR 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.</p>
<p> (c)  <i>Adjudicative Disclosure.</i>  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 or mediate disputes is relevant and necessary to judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
<p> (d)  <i>Disclosure to Parties, Counsel, Representatives, and Witnesses.</i>  If the Department determines that disclosure of certain records is relevant and necessary to judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to a party, counsel, representative, or witness.</p>
<p> (6)  <i>Employment, Benefit, and Contracting Disclosure.</i></p>
<p> (a)  <i>For Decisions by the Department.</i>  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.</p>
<p> (b)  <i>For Decisions by Other Public Agencies and Professional Organizations.</i>  The Department may disclose a record to a Federal, State, local, 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.</p>
<p> (7)  <i>Employee Grievance, Complaint, or Conduct Disclosure.</i>  If a record is relevant and necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose the record in this system of records in the course of investigation, fact-finding, or adjudication to any party or the party's counsel or representative, a witness, or to a designated fact-finder, mediator, or other person designated to resolve issues or decide the matter.  </p>
<p> (8)  <i>Labor Organization Disclosure.</i>  The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.</p>
<p> (9)  <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i>  The Department may disclose records to the DOJ or the Office of Management and Budget, if the Department seeks advice regarding whether records maintained in this system of records are required to be disclosed under the FOIA or the Privacy Act.</p>
<p> (10)  <i>Disclosure to the DOJ.</i>  The Department may disclose records to the DOJ, or the authorized representative of 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.</p>
<p> (11)  <i>Contract Disclosure.</i>  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 establish and maintain Privacy Act safeguards as required under subsection (m) of the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system. </p>
<p> (12)  <i>Research Disclosure.</i>  The Department may disclose records to a researcher if 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 Department 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 safeguards required under the Privacy Act with respect to the records in the system.</p>
<p> (13)  <i>Congressional Member Disclosure.</i>  The Department may disclose the records of an individual to a Member of Congress in response to an inquiry from the Member made at the written request of that individual whose records are being disclosed.  The Member's right to the information is no greater than the right of the individual who requested the inquiry.</p>
<p> (14)  <i>Disclosure to OMB for Federal Credit Reform Act (CRA) Support.</i>  The Department may disclose records to OMB as necessary to fulfill CRA requirements.  These requirements currently include transfer of data on lender interest benefits and special allowance payments, defaulted loan balances, and supplemental pre-claims assistance payments information. </p>
<p> (15)  <i>Disclosure in the Course of Responding to a Breach of Data.</i>  The Department may disclose records from this system to appropriate agencies, entities, and persons when:  (a) the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other system or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
<p> (16)  <i>Disclosure to Third Parties through Computer Matching Programs.</i>  Unless otherwise prohibited by other laws, 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 that is conducted under a CMA between the Department and the third party and requires that the matching be conducted in compliance with the requirements of the Privacy Act.  Purposes of these disclosures may be to:  (a) establish or verify program eligibility and benefits; (b) establish or verify compliance with program regulations or statutory requirements, such as to investigate possible fraud or abuse; and (c) recoup payments or delinquent debts under any Federal benefit programs, such as locating or taking legal action against a delinquent or defaulted debtor.  </p>
<p>Disclosure to consumer reporting agencies:</p>
<p> <i>Disclosures pursuant to 5 U.S.C. 552a(b)(12):</i>  The Department may disclose to a consumer reporting agency information regarding a valid overdue claim of the Department; such information is limited to:  (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 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3). </p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The records are stored electronically.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>The records are retrievable by SSN, name, or an unique internal account identifier.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>All physical access to the Department site, and the sites of the 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. </p>
<p>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 will have an unique User ID and corresponding password conforming to the Department"s security policy.  All interactions by individual users with the system are recorded. </p>
<p> Additionally, in accordance with the Federal Information Security Management Act of 2002 (FISMA), PAS must receive a signed Authority to Operate (ATO) from a designated Department official.  The ATO process includes an assessment of security controls, a plan of action, milestones to remediate any identified deficiencies, and a continuous monitoring program.</p>
<p>FISMA controls implemented by the Department include a combination of management, operational, and technical controls, and include the following control families:  access control, awareness and training, audit and accountability, security assessment and authorization, configuration management, contingency planning, identification and authentication, incident response, maintenance, media protection, physical and environmental protection, planning, personnel security, privacy, risk assessment, system and services acquisition, system and communications protection, system and information integrity, and program management.</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>The Department of Education has submitted a records retention and disposition schedule for the records covered by this system of records to the National Archives and Records Administration (NARA) for approval.  No records will be destroyed prior to receiving NARA-approved disposition authority. </p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>PAS Manager, Technology Office, Federal Student Aid, UCP, 830 First St., NE., room 103E2, Washington, DC 20202. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>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 SSN.  Your request must meet the requirements of the Department"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.  You may address your request to the system manager at the address above. </p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>If you wish to gain access to a record regarding you in the system of records, you can visit the ED PAS Account Management site, call the FAFSA on the web phone number listed on the Web site, or contact the system manager at the address given above.  Your request must meet the requirements of the Department"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity. </p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>If you wish to contest the content of a record regarding you in the system of records, you can contact the Customer Service Department at the telephone number listed on the PAS login or registration Web site (Federal Student Aid Information Center (FSAIC):  1-800-4-FED-AID (1-800-433-3243) or TTY (for the hearing impaired):  1-800-730-8913.  Your request must meet the requirements of the Department"s Privacy Act regulations at 34 CFR 5b.7. </p>
<p>If the SSN you provided to create the account does not match the records of the Social Security Administration (SSA), you will need to correct your SSN in PAS or contact the local office of the SSA for a SSN correction. </p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>The identifying information (first name, middle name, last name, SSN, date of birth, address, telephone number, email address, security challenge questions and corresponding answers) will be collected from individuals  applying for an FSA ID at the PAS registration Web site.  In addition, PAS receives records from SSA which are maintained in the system.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.</p></xhtmlContent></subsection></section>

<section id="ed-11-13" toc="yes">
<systemNumber>18-11-13</systemNumber>
<subsection type="systemName">Student Authentication Network Audit File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Student Authentication Network Audit File is located at NCS Pearson, 2510 North Dodge
Street, Iowa City, Iowa 52245.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records (i.e., an audit file) on individuals who have had, or attempted
to have, their identity verified for the purpose of electronically completing and signing promissory
notes and other documents in connection with applying for or obtaining aid, or carrying out other
activities under the Student Financial Assistance Programs authorized by Title IV of the Higher
Education Act of 1965, as amended.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains records including an individual's Social Security Number; date of
birth; first and last names; user code (i.e., the Department, lenders, schools, guarantee agencies
and holders of Federal student loans) identifying the entity seeking to verify the individual's
identity; data provided by the user that may subsequently be used for auditing or other internal
purposes of the user); an action code documenting the "affirmed"  or "denied"  verification response
the system receives from the Department's Personal Identification Number (PIN) database; a unique
identifier comprising a system-generated sequence number; and, the date and time the individual's
identity is authenticated against the Department's PIN database.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Higher Education Act of 1965, as amended, (20 U.S.C. 1092b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the purposes
of verifying the identity of the individual, enforcing the conditions and terms of the loan,
permitting the servicing and collecting of the loan, investigating possible fraud and verifying
compliance with program regulations, initiating legal action against an individual involved in
program fraud, abuse, or noncompliance, and enforcing Title IV requirements against schools,
lenders, and guaranty agencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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, contractors and hearing officials for the following purposes:
</p><p>(a) To verify the identity of the individual;
</p><p>(b) To enforce the conditions or terms of the loan;
</p><p>(c) To permit servicing, collecting, or accepting the loan;
</p><p>(d) To investigate possible fraud and verify compliance with program regulations;
</p><p>(e) To prepare for litigation or to litigate collection service and audit;
</p><p>(f) To initiate a limitation, suspension, and termination (LS&amp;T) or debarment or suspension
action;
</p><p>(g) To ensure Title IV requirements are met by schools, lenders, and guaranty agencies; and
</p><p>(h) To investigate complaints, update files, and correct errors.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>The records are maintained on magnetic tape or other electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by Social Security Number and all or part of an individual's last
name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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
non-business hours. The computer systems offer 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 identification (ID) with personal
identifiers. All interactions by individual users with the system are recorded.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Department will retain and dispose of these records in accordance with National Archives
and Records Administration General Records Schedule 20, Item 1.c. This schedule provides disposal
authorization for electronic files and hard-copy printouts created to monitor system usage,
including, but not limited to log-in files, audit trail files, system usage files, and cost-back
files used to assess charges for system use. Records will be deleted or destroyed when the
Department determines they are no longer needed for administrative, legal, audit, or other program
purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Manager, Students Channel, Student Financial Assistance, Department of Education,
7th and D Streets, SW., Washington, DC, 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest a record in the system of records, contact the system manager with
the information described in the notification procedure, identify the specific items you are
contesting, and provide a written justification for each item. Requests to amend a record must meet
the requirements of the regulations at 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from individuals who have had or seek to have their identity
authenticated, except that user codes and user-provided data are obtained specifically from the
entity (the Department, lenders, schools, guarantee agencies and holders of Federal student loans)
that seeks to verify the individual's identity.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-14" toc="yes">
<systemNumber>18-11-14</systemNumber>
<subsection type="systemName">FSA Students Portal.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Virtual Data Center (VDC) (operated by CSC, Inc.), Meriden Data Center, 71 Deerfield
Lane, Meriden, CT 06450.
</p><p>(2) Students Portal Database (operated by XAP Corp.) 3534 Hayden Ave., Culver City, CA 90232.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any user with Internet accessibility that is interested in exploring financial aid
information and chooses to personalize the "Students Portal"  an Internet Portal web site (hereafter
"the Web site" ). The personalization functionality is referred to as "My FSA"  (http://www.studentaid.ed.gov).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records will include the information listed below. It is optional for the user to enter this
information. This list is not all-inclusive, but it is a sample of the types of information that may
be entered by the user. (See Appendix at the end of the Notice for a listing of the types of records
collected). Some of the information requested in the Web site includes such information as: User's
name; User's address(es); User's e-mail; User's personal information, such as social security
number, date of birth, marital status, and telephone number; User's high school information such as
current grade level, courses taken, grades, and activities; User's educational information, such as
educational level, degree, etc.; User's interests such as job interests, values, and college
preferences; Scores from User's standardized tests such as SAT or ACT; Parent's information such as
address and veteran status; Spouse's information such as name and address; User's employment/work
history; and User's bookmarks (URL's) Students will have the option of choosing the data to enter
into the text fields. The Web site also includes a short survey where information about user
experiences and opinions of the FSA Students Portal is stored for future Web site enhancement. While
the surveys are not intended to be able to identify a particular user, some users may choose to
include personally identifiable information in some text fields. (For instance if they have a
question that requires a response.)
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Higher Education Act of 1965, as amended, 40 U.S.C. 1425 (b), and 44 U.S.C.
Chapter 35.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary reason for storing the records of users of the Web site is to provide them with
better service. The information stored by the Web site will be used for the following reasons:
</p><p>&#149; To allow the Web site to provide information relevant and targeted to the user
(information about schools, loans, organizations, etc.)
</p><p>To assist with filling out applications to colleges and universities (i.e., enter the information
only once)
</p><p>To "prepopulate"  the electronic Free Application for Federal Student Aid (FAFSA)
</p><p>To store personal information so that it can be retrieved later without having to start over
(such as schools, programs, majors, loan information of interest to a specific user)
</p><p>Some fields are used to help indicate which of the records are active (such as last modified
date)
</p><p>Some fields are used for security reasons (e.g. User ID, password, and password expiration).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the Department of Justice (DOJ) and the Office of Management and Budget if the Department seeks
advice regarding whether records maintained in the system of records are required to be released
under the FOIA and the Privacy Act of 1974.
</p><p>(2) Disclosure to the 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.
</p><p>(3) 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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her official capacity where the Department of Justice
(DOJ) is requested to provide or arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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
or ADR, 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.
</p><p>(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to
the adjudicative body, individual, or entity.
</p><p>(d) Parties, counsels, representatives and witnesses. If the Department determines that
disclosure of certain records to a party, counsel, representative or witness is relevant and
necessary to the litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative or witness.
</p><p>(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.
</p><p>(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.
</p><p>(7) Disclosure for Use By Law Enforcement Agencies. The Department may disclose information to
any Federal, State, local or other agencies 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 prosecutorial responsibility within the entity's
jurisdiction.
</p><p>(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.
</p><p>(9) Employment, Benefit, and Contracting Disclosure.
</p><p>(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 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.
</p><p>(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.
</p><p>(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 determination proceedings. The disclosure may only be made
during the course of the proceeding.
</p><p>(11) Labor Organization Disclosure. The Department may disclose records from this system of
records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials
of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(12) Disclosure to Providers of Web-based Postsecondary Education Admissions Applications. The
Department may disclose records in this system of records to providers of Web-based postsecondary
educational institution admissions applications so that users of the Web site may "pre-populate"
their college or university admissions applications with their own registration information that was
previously saved on the Web site. (See Appendix at the end of the Notice where registration
information is identified as "Data Collected in Students Portal Modules" ).
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>A majority of the Student data will be stored in a database (SQL Server 2000) maintained at
XAP Corp. The student data is also stored in an Oracle database at the Virtual Data Center (VDC).
Each location includes safeguards, including physical security of the server room, firewalls, etc.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Each record in this system is indexed and retrieved by a user name and password that is
created by the user of the http://www.studentaid.ed.gov Web site.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All users of this system will have a unique user ID with a personal identifier.
</p><p>This system does not use persistent cookies (data that a web server causes to be placed on a
user's hard drive) to implement personalization. It is the policy of the Department to prohibit the
use of persistent cookies on U.S. Department of Education web sites except where: there is a
compelling need; there are appropriate safeguards in place; the use is personally approved by the
Secretary of Education; and there is clear and conspicuous notice to the public.
</p><p>All physical access to the U.S. Department of Education web 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.
</p><p>The computer system employed by the U.S. Department of Education 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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FSA Students Portal customers can remove any information about their web preferences (i.e.,
the subjects, levels of education, types of resources, and audience-targeted materials in which they
are interested), as well as any bookmarks or saved searches they have stored on the Department's web
pages. U.S. Department of Education customers, however, cannot delete their names, zip codes, or e-
mail addresses from the system (although they can replace it with other information). The system,
however, automatically will purge any unused accounts after a certain period of disuse. National
Archives and Records Administration General Records Schedule 20, Item 1.c provides disposal
authorization for electronic files and hard-copy printouts created to monitor system usage,
including, but not limited to, log-in files, password files, audit trail files, system usage files,
and cost-back files used to assess charges for system use. Records will be deleted or destroyed when
the agency determines they are no longer needed for administrative, legal, audit, or other
operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Manager, Students Channel, Federal Student Aid, U.S. Department of Education, 830
First Street, NE., Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
you may gain access to the system by entering your user name and password to the
http://www.studentaid.ed.gov Web site. Individuals may also present their requests in writing or in
person by contacting the system administrator through the fsa.portals@ed.gov e-mail address or at
the above address. If you wish to determine whether a record exists about you in the system of
records, provide the system manager with your name, date of birth and social security number. Your
request for notification must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
</p><p>Attribute (Description)
</p><p>Profile
</p><p>User Name
</p><p>First Name
</p><p>Last Name
</p><p>email address
</p><p>Password
</p><p>Password Hint
</p><p>Fax Number
</p><p>Prefix
</p><p>Suffix
</p><p>Social Security Number
</p><p>Affiliation
</p><p>Telephone Number
</p><p>Date Created
</p><p>Date Modified
</p><p>Date Password Expires
</p><p>Date of Birth
</p><p>Education Level
</p><p>State Residence
</p><p>State School
</p><p>School Name
</p><p>Major
</p><p>Country
</p><p>Modified By
</p><p>Password Hint Question
</p><p>Password Hint Answer
</p><p>Edpack (Edpack stores favorites for the user)
</p><p>Applications List (List of College Applications in process/submitted)
</p><p>College List (Store a list of Colleges the user is interested in from College
Search/Wizard)
</p><p>Career List (Store List of interesting Careers from the Self Assessment Tool)
</p><p>Financial Aid List (Store Scholarships, Loans, and Cost of attendance Info for schools in
the Edpack)
</p><p>Calendar Events (See Calendar Events Section Below)
</p><p>User Profile (Access User data from Applications)
</p><p>Bookmarks list (Stores a list of links/bookmarks for the user (some generated by the
system, others entered by the user))
</p><p>Self Assessment
</p><p>JobInterest (Stores a list of jobs the user finds interesting, the list is dynamic (database
driven)
</p><p>These describe how it applies to me
</p><p>MeTools (like to work with animals, tools, or machines)
</p><p>MeMath (study math or science)
</p><p>MeCreate (creative activities)
</p><p>MeHelpOthers (Helping others)
</p><p>MeLeadership (Lead and pursuade)
</p><p>MeOrdered (work in an orderly way)
</p><p>These describe how I compare to others my age
</p><p>CompTools (like to work with animals, tools, or machines)
</p><p>CompMath (study math or science)
</p><p>CompCreate (creative activities)
</p><p>CompHelp (Helping others)
</p><p>CompLeadership (Lead and pursuade)
</p><p>CompOrdered (work in an orderly way)
</p><p>To what extent do I value
</p><p>ValueTools (like to work with animals, tools, or machines)
</p><p>ValueScience (study math or science)
</p><p>ValueCreate (creative activities)
</p><p>ValueHelp (Helping others)
</p><p>ValueLeadership (Success in politics,leadership, or business)
</p><p>ValueSuccess (success in business)
</p><p>How do I see myself
</p><p>AmPractical (like to work with animals, tools, or machines)
</p><p>AmPrecise (study math or science)
</p><p>AmArtistic (creative activities)
</p><p>AmHelpful (Helping others)
</p><p>AmAmbitious (Lead and pursuade)
</p><p>AmOrderly (work in an orderly way)
</p><p>These are true of me
</p><p>TruePractical (like to work with animals, tools, or machines)
</p><p>TruePrecise (study math or science)
</p><p>TrueArtistic (creative activities)
</p><p>TrueHelpful (Helping others)
</p><p>TrueAmbitious (Lead and pursuade)
</p><p>TrueOrderly (work in an orderly way)
</p><p>Career Finder  Interest Areas
</p><p>Realistic
</p><p>Investigative
</p><p>Artistic
</p><p>Social
</p><p>Enterprising
</p><p>Conventional
</p><p>Industry (Pick an Industry of interest from a list)
</p><p>General Work Activities (Pick from a list)
</p><p>Abilities
</p><p>Knowledge-Based
</p><p>Physical Dexterity
</p><p>Physical Strength
</p><p> Sensory Abilities
</p><p>Work Environment (Indoor/Outdoor)
</p><p>College Finder/College Matching Wizard
</p><p>CollegeType (2 year/4year/trade)
</p><p>CollegePublic (Public or Private)
</p><p>CollegePublicWeight (How important is this factor)
</p><p>CollegeState1 (Location)
</p><p>CollegeState2
</p><p>CollegeState3
</p><p>CollegeZip
</p><p>CollegeCityType (Small Town/Big City)
</p><p>CollegeCityTypeWeight (How important is this factor)
</p><p>CollegeSize
</p><p>CollegeSizeWeight (How important is this factor)
</p><p>ClassSizeFr (Class size freshman year)
</p><p>ClassSizeUpper (Class size for upper division courses)
</p><p>StudentFacultyRatio
</p><p>Major1 (Pick from a list)
</p><p> Major2
</p><p>Major3
</p><p>GPArange
</p><p>ACTscoreRange
</p><p>SATscoreRange
</p><p>InStateCost (Pick from a range of costs)
</p><p>OutStateCost
</p><p>HelpOffCampHousing
</p><p>OnCampusHousing
</p><p> OCHweight (How important is this factor)
</p><p>Sport1 (Sports that interest the user)
</p><p>Sport2
</p><p>Sport3
</p><p>FratSorority (Does the campus have
</p><p>Fraternities/Sororities)
</p><p>Fsweight (How important is this factor)
</p><p>StActivity (Choose from a list)
</p><p>Coed
</p><p>ReligousAffiliation
</p><p>HBC (Historically Black college)
</p><p>Scholarship Search
</p><p>A majority of the fields used here are already captured in the college application (Personal
Info, Address Info, HS Info, College Info, Testing Info, Parents Info)
</p><p>MaritalStatus
</p><p>Heritage1 (Choose up to 4 from a list)
</p><p>Heritage2
</p><p>Heritage3
</p><p>Heritage4
</p><p>CurrentGradeLevel
</p><p>EnrollmentStatus
</p><p>Activities List (Pick from a number of activities grouped by category (Business/Corp., Club
Affiliation, Disability, Hobbies, Military Affiliation, National Merit, Athletics, Union
Affiliation, Misc., Career Objective, or Programs of Study))
</p><p>ParentVeteran? (Is either parent a Veteran)
</p><p>ParentDisabledInMilitary?
</p><p>ParentKilledInMilitary?
</p><p>HouseholdIncome (Annual)
</p><p>Financial Aid Wizard  For each School tracked in the user's EDpack
</p><p>Tuition
</p><p>RoomBoard
</p><p>Fees
</p><p>Books
</p><p>OtherExpense
</p><p>Used in the EFC calculation
</p><p>StOfResidence
</p><p>Veteran?
</p><p>SchoolsOfAttendance
</p><p>ChildSupport?
</p><p>OtherDependants?
</p><p>Orphan?
</p><p>PeopleInHousehold
</p><p>CollegeStudentIn House
</p><p>CompletedTaxReturn?
</p><p>1040EZ Able to file 1040A or 1040EZ)
</p><p>AGI (Adjusted Gross Income)
</p><p>IncomeTax
</p><p>Exemptions
</p><p>YouWages
</p><p>SpouseWages
</p><p>WorksheetA
</p><p>WorksheetB
</p><p>WorksheetC
</p><p>CurrentSavings
</p><p>NetWorthInvestments
</p><p>NetWorthFarms
</p><p>EFC (Expected Family Contribution)
</p><p>For each School tracked in Edpack
</p><p>Scholarship (Amount available in outside scholarships)
</p><p>PellGrant (Amount available from Pell Grant)
</p><p>StScholarshipGrant
</p><p>InstitutionalGrant
</p><p>Perkins
</p><p>DirectLoan
</p><p>WorkStudy
</p><p>Events/Calendar
</p><p>Title
</p><p>Detail
</p><p>Category
</p><p>StartDate
</p><p>StartTime
</p><p>EndDate
</p><p>EndTime
</p></xhtmlContent></subsection></section>
<section id="ed18-11-15" toc="yes">
<systemNumber>18-11-15</systemNumber>
<subsection type="systemName">Return of Title IV Funds on the Web.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Application Processing Division, Students Channel, Federal Student Aid, U.S. Department of
Education, 830 First St. NE., Washington, DC 20202-5454.
</p><p>Virtual Data Center (VDC), Meriden Data Center, 71 Deerfield Lane, Meriden, Connecticut 06450.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system includes records on individuals who were enrolled at a postsecondary institution,
have received or are eligible to receive assistance under a Title IV, HEA program for a payment
period or period of enrollment, and have withdrawn prior to the planned completion date of school
during that period.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains personally identifiable information provided by the school
from which a student has withdrawn that may include, but is not limited to, a student's name,
permanent and local addresses, social security number, date of birth, driver's license number and
state, permanent and local phone numbers, and student identification (ID). This system also contains
information provided by the institution from which the student has withdrawn that is necessary to
compute the earned and unearned amounts of Title IV funds. This information may include, but is not
limited to, the student's: Federal school code, award year, grade level, program type (i.e. credit
hour or clock hour), school calendar (that maintains the term start and end dates and
institutionally scheduled breaks of five or more consecutive days), a description and amount of each
institutional charge (a charge for tuition and fees, a charge for room, a charge for board, and
charges for other educationally-related costs), and the total institutional charges for a program,
program title, or program type, whether the R2T4 calculation is based upon a payment period or
period of enrollment, the total clock hours or number of days in the payment period or period of
enrollment, the withdrawal date, the net number of days in the payment period or period of
enrollment, the date the institution determined the student withdrew (as reported by the
institution), a description of the type of withdrawal, the number of days of an approved leave of
absence, whether an outside entity requires the school to take attendance, the clock hours
scheduled, the clock hours completed, the date the student provided the institution with written
authorization to credit Title IV aid to the student's account, the date the institution notified the
student of the amounts and types of Title IV funds that must be returned, the date and response of
the student, the types and amounts of Title IV aid disbursed and that could have been disbursed, the
types and amounts of Title IV aid that must be returned to each program by the student and the
institution, the types and amounts of aid that the student and the institution may retain, post-
withdrawal disbursement information (i.e., the amount of outstanding charges, the dates notices were
sent informing the student that a credit was applied and/or that a disbursement was available and
the dates and responses of the student, the amount and the date the student accepted a post-
withdrawal disbursement, and the date the post-withdrawal disbursement was completed), the date the
R2T4 procedure was completed, the user defined field data provided by the institution such as grade
point average, major in college, overpayment status, withdrawal reason, leave of absence reason, and
contemporaneous notes regarding the student's return process.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The information maintained in the R2T4OTW system is authorized under section 484B of the
HEA. Under section 484B of the HEA (20 U.S.C. 1091b), if a recipient of Title IV grant or loan
assistance withdraws from an institution during a payment period or period of enrollment in which
the student began attendance, a participating institution must determine the amount of grant and
loan assistance to be returned to the Title IV programs.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information contained in this system is maintained for the purposes of: (1) Allowing
postsecondary institutions to calculate the treatment of Title IV funds when a student withdraws
from a postsecondary institution, (2) allowing institutions to track students' statuses and
responses to institutional notifications, and (3) generating listings and reports, allowing
institutions to establish compliance with the applicable statutory and regulatory requirements in
the HEA for the treatment of Title IV funds when a student ceases his or her enrollment before the
planned end date. (<i>Note:</i> The use of this software is not required.)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Program Disclosures. The Department may disclose records to the postsecondary institution
that input the information into the R2T4OTW system, in order to simplify the current process,
provide institutions and their agents with consolidated information about the Federal loans and
grants they administer for students, and enable them to provide students with accurate required
information when a student withdraws.
</p><p>(2) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information
to any Federal, State, or local agency responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law if that information is relevant to any
authorized enforcement, investigative, or prosecutorial effort.
</p><p>(3) Enforcement Disclosure. If information in the system of records either alone or in connection
with other information indicates a violation or potential violation of any applicable statutory,
regulatory, or legally binding requirement, the Department may disclose records to an entity charged
with investigating or prosecuting those violations or potential violations.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity where the Department of Justice
(DOJ) agrees to or has been requested to provide or arrange for representation of the employee; or
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) Disclosure to DOJ. If the Department determines that disclosure of certain records to the DOJ
is relevant and necessary to litigation or ADR, 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.
</p><p>(b) Adjudicative 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 litigation or ADR, the Department may disclose those records as a
routine use to the adjudicative body, individual, or entity.
</p><p>(c) Parties, counsel, representatives and witnesses. If the Department determines that disclosure
of certain records to a party, counsel, representative or witness is relevant and necessary to the
litigation or ADR, the Department may disclose those records as a routine use to the party, counsel,
representative or witness.
</p><p>(5) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the DOJ or the OMB if the Department determines that disclosure would help in determining whether
records are required to be disclosed under the FOIA or the Act.
</p><p>(6) Contract Disclosure. If the Department contracts with an entity to perform any function that
requires disclosing records to the contractor's employees, the Department may disclose the records
to those employees. Before entering into such a contract, the Department shall require the
contractor to establish and maintain the safeguards required under the Act (5 U.S.C. 552a(m)) with
respect to the records.
</p><p>(7) Congressional Member Disclosure. The Department may disclose records to a Member of Congress
in response to an inquiry from the Member made at the written request of the individual whose
records are being disclosed. The Member's right to the information is no greater than the right of
the individual who requested it.
</p><p>(8) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(b) For Decisions by Other Public Agencies and Professional Organizations. The Department may
disclose a record to a Federal, State, local, 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.
</p><p>(9) 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: a complaint,
grievance, discipline or competence determination proceeding. The disclosure may only be made during
the course of the proceeding.
</p><p>(10) Labor Organization Disclosure. The Department may disclose records from this system of
records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials
of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(11) Disclosure to 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
any program covered by this system.
</p><p>(12) Research Disclosure. The Department may disclose records to a researcher if 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. Further, the
Department 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 safeguards with respect to the disclosed
records as required by the Act.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following
information to a consumer reporting agency regarding a valid overdue claim of the Department: (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 in 31 U.S.C.
3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>R2T4OTW records are backed up and maintained on magnetic tape at the Department's Virtual
Data Center (VDC), located at 71 Deerfield Lane, Meriden, CT 06450, and locked storage rooms within
the VDC.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records for R2T4OTW are indexed and can be retrieved by only the institution that created
the record at the VDC and the Department. The institution accesses its own student R2T4OTW records
through a secure log-in process and subsequently entering the institution's unique Federal school
code and the student's Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical access to the data systems housed within the VDC facility is controlled by a
computerized badge reading system, and the entire complex is patrolled by security personnel during
non-business hours. This computer system 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 staff, participating institutions,
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. Users are only able to access and alter records created with their unique
identifiers. All interactions by individual users with the system are recorded. The systems manager
annually updates and sends the Department the Central Processing System Security Plan, documenting
the VDC's detailed security systems, including the physical location of the data stored at the VDC.
This system does not use persistent cookies (data that a web server causes to be placed on a user's
hard drive) to implement personalization. It is the policy of the Department to prohibit the use of
persistent cookies on U.S. Department of Education web sites except where: there is a compelling
need; there are appropriate safeguards in place; the use is personally approved by the Secretary of
Education; and there is clear and conspicuous notice to the public.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Department will retain all identifiable records received from schools with identifying
information for a period not to exceed three years after the repayment or cancellation of the loan
in accordance with the Education Comprehensive Schedule, ED-RDS--Part 10, Item 16(d) for
applicants with federally insured loans. For applicants without federal insured loans, the
Department will retain all identifiable records received with identifying information for a period
not to exceed fifteen years after the final Pell Grant payment or audit, whichever is first in
accordance with the Education Comprehensive Schedule, ED-RDS--Part 10, Item 17(a) and
(b). At the conclusion of the mandatory retention period, these records will be destroyed. This
procedure is consistent with legal retention requirements established by the Department in
conjunction with the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Application Processing Division, Students Channel, Federal Student Aid,
U.S. Department of Education, 830 First St., NE., UCP room 32E2, Washington, DC 20202-5454.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
contact the system manager and provide the name of the system (R2T4OTW), your name, date of birth,
and Social Security Number or call 1-800-4-FED-AID (1-800-433
-3243) and provide the identifiers indicated above when requesting information contained in
this system of records. Requests for notification about whether this system of records contains
information about an individual must meet the requirements of the regulations in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, contact the system manager and
provide the information described in the Notification Procedure. Requests by an individual for
access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record in the system of records for the current
processing year R2T4OTW, contact the system manager with the information described in the
Notification Procedure, identify the specific items to be changed, the institution and period of
time the student was enrolled, and provide a justification for the change. The Department will
contact the institution, which will make the change to the student's record, as applicable. Requests
to amend a record must meet the requirements of the regulations in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The institution from which a student receiving Title IV aid for the payment period or period
of enrollment has withdrawn provides the information used in this system by manually entering it in
the web product on the Department's web site. For institutions that have access to the Internet,
R2T4OTW is available on the Department of Education web site located at:
http://www.fafsa.ed.gov/FOTWWebApp/faa/faa.jsp.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-16" toc="yes">
<systemNumber>18-11-16</systemNumber>
<subsection type="systemName">Common Services for Borrowers (CSB).
</subsection>
    <subsection type="securityClassification">
        <xhtmlContent>
            <p> None.</p></xhtmlContent>
        </subsection>
    <subsection type="systemLocation">
        <xhtmlContent>
            <p> Maximus Federal Services, Inc., 9651 Hornbaker Road, Manassas, VA 20109  [Department contractor –Debt Management Collection System (DMCS) Data Center].</p>
            <p> U.S. Department of Education, Federal Student Aid, 830 First Street, NE., Union Center Plaza (UCP), Washington, DC 20202-5132.</p>
            <p> See Appendix II to this notice for the name and location of additional Department locations as well as those of Department contractors with access to this system of records.</p>
            <p> Federal Loan Servicers:</p>
            <p>>&#8226;Great Lakes Educational Loan Services, Inc., 2401 International Lane, Madison, WI 53704-3121;</p>
            <p>>&#8226;Nelnet Servicing LLC, 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005, 6420 Southpoint Parkway, Jacksonville, FL 32216-8009 and 3015 South Parker Road, Aurora, CO 80014-2906;</p>
            <p>>&#8226;Pennsylvania Higher Education Assistance Agency (PHEAA), 1200 North 7th Street, Harrisburg, PA 17102-1419;and</p>
            <p>>&#8226;Navient Corporation, 11100 USA Parkway, Fishers, IN 46037-9203.</p>
            <p> The Department contracts with the aforementioned four Federal Loan Servicers group to effectively manage the servicing and processing of the large number of Federal Family Education Loan Program loans purchased by the Department and as a result of the transition to 100 percent Direct Loans.</p>
            <p> The Department also contracts with Not-for-Profit (NFP) Servicers, which also serve as Federal Loan Servicers to support loan servicing.  See Appendix II to this notice for the name and location of each NFP Servicer with which the Department contracts.</p>
            <p> In addition to the Federal Loan Servicers listed above, the Department contracts with Educational Computer Systems, Inc. (ECSI), 181 Montour Run Road, Coraopolis, PA 15108-9408, to service Federal Perkins Loans.</p>
            <p> The Department also contracts with Private Collection Agencies (PCAs) to collect delinquent or defaulted loans.  See Appendix II to this notice for the name and location of each PCA with which the Department contracts.</p>
            <p> Other contractors that the Department contracts with to maintain this system of records are found in Appendix II to this notice along with the name of the system that they support.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfIndividuals">
        <xhtmlContent>
            <p> The CSB system contains records on those individuals who received a loan or who are otherwise obligated to repay a loan or grant made under title IV of the Higher Education Act of 1965, as amended (HEA), held and collected by the Department, which was made under:  (1) the Federal Family Education Loan (FFEL) Program, including Stafford Loans, Federal Insured Student Loans (FISL), Supplemental Loans for Students (SLS), PLUS Loans (formerly Parental Loans for Undergraduate Students), and Consolidation Loans; (2) the William D. Ford Federal Direct Loan (Direct Loan) Program, including Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, Federal Direct Consolidation Loans, and Federal Direct PLUS Loans; (3) the Federal Perkins Loan Program; (4) the Federal Pell Grant Program; (5) the Federal Supplemental Education Opportunity Grant (FSEOG) Program; (6) the Leveraging Educational Assistance Partnership (LEAP) Program; (7) the Special Leveraging Educational Assistance Partnership (SLEAP) Program; (8) Academic Competiveness Grant (ACG) Program; (9) National Science and Mathematics Access to Retain Talent (SMART) Grant Program; (10) Teach Education Assistance for College and Higher Education (TEACH) Grant Program; (11) the Iraq and Afghanistan Service Grant Program; (12) the Civil Legal Assistance Attorney Student Loan Repayment Program (CLAARP); and (13) the Public Service Loan Forgiveness (PSLF) Program.</p>
            <p>     This system also contains records on individuals who apply for, but do not receive a Direct Loan, as well as individuals identified by the borrower or recipient of the Federal title IV, HEA loan or grant as references or as household members whose income and expenses are considered in connection with the making or the enforcement of the grant or loan.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="categoriesOfRecords">
        <xhtmlContent>
            <p> This system of records covers the records in all systems used by the Department to carry out activities with regard to making and servicing loans, including collecting or otherwise resolving obligations owed by an individual under title IV of the HEA.  The following systems are covered by this system of records notice:  DMCS, CLAARP system, PSLF system, systems operated by the Federal Loan Servicers to accomplish the purpose(s) of this system of records, systems operated by the Federal Perkins Loan Program Servicer to accomplish the purpose(s) of this system of records, systems operated by the PCAs to accomplish the purpose(s) of this system of records, and Total and Permanent Disability (TPD) system, as well as paper records obtained by the Department from guarantee agencies in the process of considering appeals by title IV loan borrowers of guarantee agency decisions.</p>
            <p> This system of records contains the employment information, educational status, family income, Social Security number (SSN), address(es), email address(es), and telephone number(s) of the individuals obligated on the debt or whose income and expenses are included in a financial statement submitted by the individual.  This system also contains records including, but not limited to, the application for, agreement to repay, and disbursements on the loan, and loan guaranty, if any; the repayment history, including deferments and forbearances; claims by lenders on the loan guaranty; and cancellation or discharges on grounds of qualifying service, bankruptcy discharge, disability (including medical records submitted to support application for discharge by reason of disability), death, or other statutory or regulatory grounds for relief.</p>
            <p> Additionally, for title IV, HEA grant overpayments, the system contains records about the amount disbursed, the school that disbursed the grant, and the basis for overpayment; for all debts, the system contains demographic, employment, and other data on the individuals obligated on the debt or provided as references by the obligor, and the collection actions taken by any holder, including write-off amounts and compromise amounts.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="authorityForMaintenance">
        <xhtmlContent>
            <p> Titles IV-A, IV-B, IV-D, and IV-E of the HEA.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="purpose">
        <xhtmlContent>
            <p> The information maintained in this system of records is used for the following purposes:</p>
            <p>     (1)  To verify the identity of an individual;</p>
            <p> (2)  To determine program eligibility and benefits;</p>
            <p> (3)  To facilitate default reduction efforts by program participants;</p>
            <p> (4)  To enforce the conditions or terms of a loan or grant;</p>
            <p> (5)  To make, service, collect, assign, adjust, transfer, refer, or discharge a loan or collect a grant obligation;</p>
            <p> (6)  To counsel a debtor in repayment efforts;</p>
            <p> (7)  To investigate possible fraud or abuse or verify compliance with program regulations;</p>
            <p> (8)  To locate a delinquent or defaulted borrower or an individual obligated to repay a loan or grant;</p>
            <p> (9)  To prepare a debt for litigation, provide support services for litigation on a debt, litigate a debt, or audit the results of litigation on a debt;</p>
            <p> (10)  To prepare for, conduct, or enforce a limitation, suspension, termination, or debarment action;</p>
            <p> (11)  To ensure that program requirements are met by educational and financial institutions, Federal Loan Servicers, the Federal Perkins Loan Servicer, PCAs, and guaranty agencies;</p>
            <p> (12)  To verify whether a debt qualifies for discharge, cancellation, or forgiveness;</p>
            <p> (13)  To conduct credit checks or respond to inquiries or disputes arising from information on the debt already furnished to a credit-reporting agency;</p>
            <p> (14)  To investigate complaints, update information, or correct errors contained in Department records;</p>
            <p> (15)  To refund credit balances to the individual or loan holder;</p>
            <p> (16)  To allow educational institutions, financial institutions, Federal Loan Servicers, the Federal Perkins Loan Servicer, PCAs, and guaranty agencies to report information to the Department on all aspects of loans and grants made under title IV of the HEA in uniform formats to permit the Department directly to compare data submitted to the Department by individual educational institutions, financial institutions, third-party servicers, guaranty agencies, Federal Loan Servicers, the Federal Perkins Loan Servicer, or PCAs; and</p>
            <p> (17)  To report to the Internal Revenue Service (IRS) information required by law to be reported, including, but not limited to, reports required by 26 U.S.C. 6050P and 6050S.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="routineUsesOfRecords">
        <xhtmlContent>
            <p> 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 information in 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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.  Return information that the Department obtains from the IRS (i.e., taxpayer mailing address) per a computer matching program (discussed in Appendix I to this notice) under the authority of 26 U.S.C. 6103(m)(2) or (m)(4) may be disclosed only as authorized by 26 U.S.C. 6103.   </p>
            <p> (1)  Program Disclosures.  The Department may disclose records for the following program purposes:</p>
            <p> (a)  To verify the identity of the individual whom records indicate has applied for or received the loan or grant, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; to adjudicative bodies; and to the individual whom the records identify as the party obligated to repay the debt;   </p>
            <p> (b)  To determine program eligibility and benefits, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p> (c)  To facilitate default reduction efforts by program participants, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p>   (d)  To enforce the conditions or terms of the loan or grant, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p> (e)  To permit making, servicing, collecting, assigning, adjusting, transferring, referring, or discharging a loan or collecting a grant obligation, disclosures may be made to guaranty agencies, educational institutions, or financial institutions that made, held, serviced, or have been assigned the debt, and their authorized representatives; to a party identified by the debtor as willing to advance funds to repay the debt; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies;   </p>
            <p> (f)  To counsel a debtor in repayment efforts, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; and to Federal, State, or local agencies, and their authorized representatives;</p>
            <p> (g)  To investigate possible fraud or abuse or verify compliance with program regulations, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, present and former employers, and business and personal associates; to creditors; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p> (h)  To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan or grant, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p>  (i)  To prepare a debt for litigation, to provide support services for litigation on a debt, to litigate a debt, or to audit the results of litigation on a debt, disclosures may be made to guaranty agencies and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; and to adjudicative bodies;</p>
            <p> (j)  To prepare for, conduct, or enforce a limitation, suspension, and termination or a debarment action, disclosures may be made to guaranty agencies, educational or financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; and to adjudicative bodies;</p>
            <p> (k)  To ensure that HEA program requirements are met by educational and financial institutions, guaranty agencies, Federal Loan Servicers, the Federal Perkins Loan Servicer, and PCAs, disclosures may be made to guaranty agencies, educational or financial institutions, and their authorized representatives, and to auditors engaged to conduct an audit of a guaranty agency or an educational or financial institution; to Federal, State, or local agencies, their authorized representatives, or accrediting agencies; and to adjudicative bodies;</p>
            <p> (l)  To verify whether a debt qualifies for discharge, forgiveness, or cancellation, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, present and former employers, and business and personal associates; to creditors; to consumer reporting agencies; and to adjudicative bodies;</p>
            <p> (m)  To conduct credit checks or to respond to inquiries or disputes arising from information on the debt already furnished to a credit reporting agency, disclosures may be made to credit reporting agencies; to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, present and former employers, and business and personal associates; to creditors; and to adjudicative bodies;</p>
            <p> (n)  To investigate complaints or to update information or correct errors contained in Department records, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, present and former employers, and business and personal associates; to creditors; to credit reporting agencies; and to adjudicative bodies;</p>
            <p> (o)  To refund credit balances that are processed through the Department’s systems, as well as the U.S. Department of the Treasury’s (Treasury’s) payment applications, to the individual or loan holder, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies, and their authorized representatives; to private parties, such as relatives, present and former employers, and business and personal associates; and to creditors;</p>
            <p> (p)  To allow the reporting of information to the Department on all aspects of loans and grants made under title IV of the HEA in uniform formats and to permit the Department directly to compare data submitted to the Department by individual educational institutions, financial institutions, third-party servicers, guaranty agencies, Federal Loan Servicers, the Federal Perkins Loan Servicer, or PCAs, disclosures may be made to educational institutions, financial institutions, guaranty agencies, Federal Loan Servicers, the Federal Perkins Loan Servicer, and PCAs; and</p>
            <p> (q)  To report information required by law to be reported, including, but not limited to, reports required by 26 U.S.C. 6050P and 6050S, disclosures may be made to the IRS.</p>
            <p> (r)  To allow the Department to make disclosures to governmental entities at the Federal, State, local, or tribal levels regarding the practices of Department contractors who have been provided with access to the CSB system (e.g., Federal Loan servicers, including not-for-profit servicers, the Federal Perkins Loan servicer, and private collection agencies) with regards to all aspects of loans and grants made under title IV of the HEA, in order to permit these governmental entities to verify the contractor’s compliance with debt collection, financial, and other applicable statutory, regulatory, or local requirements.  Before making a disclosure to these Federal, State, local, or tribal governmental entities, the Department will require them to maintain Privacy Act safeguards to protect the security and confidentiality of the disclosed records.</p>
            <p> (2)  Feasibility Study Disclosure.  The Department may disclose information from this system of records to other Federal agencies, and to guaranty agencies and to their authorized representatives, to determine whether computer matching programs should be conducted by the Department for purposes such as to locate a delinquent or defaulted debtor or to verify compliance with program regulations. </p>
            <p> (3)  Disclosure for Use by Other Law Enforcement Agencies.  The Department may disclose information to any Federal, State, local, tribal, 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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
            <p> (4)  Enforcement Disclosure.  In the event that information in this system of records indicates, either alone or in connection with other information, a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose the relevant records to an entity charged with the responsibility for investigating or enforcing those violations or potential violations.</p>
            <p> (5)  Litigation and Alternative Dispute Resolution (ADR) Disclosure.</p>
            <p> (a)  Introduction.  In the event that one of the parties listed below is involved in judicial or administrative litigation or ADR, or has an interest in such 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:</p>
            <p> (i)  The Department or any of its components;</p>
            <p> (ii)  Any Department employee in his or her official capacity;</p>
            <p> (iii)  Any Department employee in his or her individual capacity where the Department of Justice (DOJ) has been requested to or agrees to provide or arrange for representation for the employee;</p>
            <p> (iv)  Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; and</p>
            <p> (v)  The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
            <p> (b)  Disclosure to the DOJ.  If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the DOJ.</p>
            <p> (c)  Adjudicative Disclosure.  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 or mediate disputes is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
            <p> (d)  Parties, Counsel, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
            <p> (6)  Employment, Benefit, and Contracting Disclosure.</p>
            <p> (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.</p>
            <p> (b)  For Decisions by Other Public Agencies and Professional Organizations.  The Department may disclose a record to a Federal, State, local, 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.</p>
            <p> (7)  Employee Grievance, Complaint, or Conduct Disclosure.  If a record is relevant and necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose the record in this system of records in the course of investigation, fact-finding, or adjudication to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter.</p>
            <p> (8)  Labor Organization Disclosure.  The Department may disclose a record from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. </p>
            <p> (9)  Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.  The Department may disclose records to the DOJ or to the Office of Management and Budget (OMB) if the Department determines that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
            <p> (10)  Disclosure to the DOJ.  The Department may disclose records to the DOJ, or the authorized representative of 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.</p>
            <p> (11)  Contracting 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) of the Privacy Act with respect to the records in the system. </p>
            <p> (12)  Research Disclosure.  The Department may disclose records to a researcher if 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 Department 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.</p>
            <p> (13)  Congressional Member Disclosure.  The Department may disclose the records of an individual to a Member of Congress in response to an inquiry from the Member made at the written request of that individual whose records are being disclosed.  The Member's right to the information is no greater than the right of the individual who requested the inquiry.</p>
            <p> (14)  Disclosure to OMB for Credit Reform Act (CRA) Support.  The Department may disclose records to OMB as necessary to fulfill CRA requirements.  These requirements currently include transfer of data on lender interest benefits and special allowance payments, defaulted loan balances, and supplemental pre-claims assistance payments information.</p>
            <p> (15)  Disclosure in the Course of Responding to a Breach of Data.  The Department may disclose records to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of information in a system covered by this system of records notice has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other system or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
            <p> (16)  Disclosure to Third Parties through Computer Matching Programs.  Unless otherwise prohibited by other laws, 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, which is conducted under a Computer Matching Agreement between the Department and the third party, and requires that the matching be conducted in compliance with the requirements of the Privacy Act.  Purposes of these disclosures may be:  (a) to establish or verify program eligibility and benefits, (b) to establish or verify compliance with program regulations or statutory requirements, such as to investigate possible fraud or abuse; and (c) to recoup payments or delinquent debts under any Federal benefit programs, such as to locate or take legal action against a delinquent or defaulted debtor.  Appendix I to this notice includes a listing of the computer matching programs that the Department currently engages in or has recently engaged in with respect to this system of records.</p>
            <p> (17)  Disclosure of Information to Treasury.  The Department may disclose records of this system to (a) a Federal or State agency, its employees, agents (including contractors of its agents), or contractors, or (b) a fiscal or financial agent designated by the Treasury, including employees, agents, or contractors of such agent, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a State in a State-administered, Federally funded program; and disclosure may be made to conduct computerized comparisons for this purpose.</p>
            <p>Disclosure To Consumer Reporting Agencies:</p>
            <p> Disclosure pursuant to 5 U.S.C. 552a(b)(12):  The Department may disclose to a consumer reporting agency information regarding a valid overdue claim of the Department; such information is limited to:  (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 in 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).</p>
            </xhtmlContent>
    </subsection>
    <subsection type="policiesAndPractices">
        <xhtmlContent>
            <p>Storage:</p>
            <p> The records are maintained in hardcopy, microfilm, magnetic storage, and optical storage media, such as tape, disk, etc.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retrievability">
        <xhtmlContent>
            <p> Records in this system pertaining to a title IV, HEA loan borrower or grant recipient are retrieved by a single data element or a combination of the following data elements to include the SSN, name, address, randomly generated number, debt number, phone number, debt type reference, debt type extension debt number, commercial name, commercial contact name, legacy ID, driver’s license number, American Bankers Association (ABA) routing number, bankruptcy docket number, debt placement date, debt user defined page (UDP), email address, last worked date, payment additional extension reference ID, payment extension reference ID, tag short name, total balance, credit bureau legacy ID, debt type group short name, debt type short name, department name, institution account number, judgment docket number, license-issuing State, next scheduled payment amount, next scheduled payment date, office name, original debt type name, PCA group short name, and PCA short name.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="safeguards">
        <xhtmlContent>
            <p>All physical access to the Department’s site, and to the sites of the Federal Loan Servicers, PCAs, the Federal Perkins Loan Servicer, and other contractors listed in Appendix II to this notice, 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.</p>
            <p>In accordance with the Department’s Administrative Communications System Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings," all contract and Department personnel who have facility access and system access are required to undergo a security clearance investigation.  Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level.  These individuals are required to undergo periodic screening at five-year intervals.</p>
            <p>In addition to conducting security clearances, contract and Department employees are required to complete security awareness training on an annual basis.  Annual security awareness training is required to ensure that contract and Department users are appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.</p>
            <p>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 identification and password.  The Department’s FSA Information Security and Privacy Policy requires the enforcement of a complex password policy.  In addition to the enforcement of a complex password policy, users are required to change their password at least every 60 to 90 days in accordance with the Department’s Information Technology standards.</p>
            <p>At the system locations of the Federal Loan Servicers, PCAs, the Federal Perkins Loan Servicer, and other contractors, as listed in Appendix II entitled "Additional System Locations," additional physical security measures are in place and access is monitored 24 hours per day, 7 days a week.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="retentionAndDisposal">
        <xhtmlContent>
            <p> In accordance with the Department’s record retention and disposition schedule, records for Pell Grant Program awards are retained for fifteen years after final payment or audit, whichever is sooner, and thereafter destroyed.  Insured loans are retained for three years after repayment or cancellation of the loan and thereafter destroyed.  The Department will work with the National Archives and Records Administration to develop a disposition schedule for the other records in this system of records.  The records will be maintained until such a schedule has been established.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="systemManager">
        <xhtmlContent>
            <p> Sue O’Flaherty, Director, Program Management Services, Business Operations, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., room 64E1, UCP, Washington, DC 20202-5132.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="notificationProcedure">
        <xhtmlContent>
            <p> 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, and SSN.  Requests must meet the requirements of the regulations in 34 CFR 5b.5 and 5b.7, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordAccessProcedures">
        <xhtmlContent>
            <p> If you wish to gain access to a record in this system, provide the system manager with your name, date of birth, and SSN.  Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="contestingRecordProcedures">
        <xhtmlContent>
            <p> If you wish to contest the content of a record in this system of records, contact the system manager with your name, date of birth, and SSN; 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 in 34 CFR 5b.7.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="recordSourceCategories">
        <xhtmlContent>
            <p>  The system includes information that the Department obtains from applicants and those individuals and their families who received, or who are otherwise obligated to repay, a loan or grant held and collected by the Department.  The Department also obtains information from Federal Loan Servicers, PCAs, the Federal Perkins Loan Servicer, references, guaranty agencies, educational and financial institutions and their authorized representatives, and Federal, State, and local agencies and their authorized representatives; private parties, such as relatives and business and personal associates; present and former employers; creditors; consumer reporting agencies; and adjudicative bodies.</p>
        </xhtmlContent>
    </subsection>
    <subsection type="exemptionsClaimed">
        <xhtmlContent>
            <p> None.</p></xhtmlContent>
    </subsection>
            <p><b>APPENDIX I to 18-11-16</b></p>
            <p><i>COMPUTER MATCHING PROGRAMS IN WHICH THE DEPARTMENT CURRENTLY ENGAGES OR HAS RECENTLY ENGAGED WITH RESPECT TO THIS SYSTEM: </i>
            </p>
            <p>(1)  The Department is performing, or has recently engaged in, computer matching programs involving a computerized comparison between this system of records and systems of records maintained by the following Federal agencies:</p>
            <p>(a)  The U.S. Department of the Treasury, IRS [matching notice last published on May 31, 2012 (77 FR 32085-32086)], as authorized under section 6103(m)(2) and (m)(4) of the Internal Revenue Code (26 U.S.C. 6103(m)(2) and (m)(4)), to obtain taxpayer mailing addresses for use in locating individuals to collect or compromise Federal claims, in accordance with 31 U.S.C. §§ 3711, 3717, and 3718, and in locating individuals who received overpayments of grants made under subpart 1 of part A of title IV of the HEA or who defaulted on loans made under part B, D, or E of title IV of the HEA;</p>
            <p>(b)  The Department of Housing and Urban Development’s</p>
            <p>Credit Alert Interactive Voice Response System (CAIVRS) [matching notice last published on July 5, 2011 (76 FR 39119-39120)] to allow program agencies to prescreen applicants for loans made or loans guaranteed by the Federal government to determine if the applicant is delinquent or has defaulted on a debt owed to, or insured by, the Federal government; and</p>
            <p>(c)  The Department of Health and Human Services’</p>
            <p>National Directory of New Hires Data Base (NDNH) [matching notice last published on May 9, 2006 (71 FR 26934-26935)], as authorized under Section 453(j)(6) of the Social Security Act (42 U.S.C. 653(j)(6)), to obtain employment-related and address information on individuals who have defaulted on a loan made under title IV of the HEA or have an obligation to refund a grant overpayment awarded under title IV of the HEA.</p>
            <p> These computer matching programs are conducted in compliance with the requirements of the Privacy Act, including publishing in the Federal Register a notice describing the new or altered matching program and the entry into a Computer Matching Agreement between the Department and the Federal agencies listed above, which are approved by the Data Integrity Boards of the Department and the Federal agency with which the Department conducts the computer matching program.</p>
            <p>
                <b>APPENDIX II to 18-11-16</b>
            </p>
            <p>
                <i>Additional System Locations</i>
            </p>
            <p>The Department and its Contractors:</p>
            <p>U.S. Department of Education, 50 Beale Street, San Francisco, CA 94105.</p>
            <p>U.S. Department of Education, 500 West Madison Street, Chicago, IL 60661.</p>
            <p>U.S. Department of Education, 61 Forsyth Street, Atlanta, GA 30303.</p>
            <p>Nelnet Servicing LLC, 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005 (Department contractor – TPD).</p>
            <p> PHEAA [FedLoan Servicing (FedLoan) &amp; American Education Services (AES)], 1200 North 7th Street, Harrisburg, PA 17102-1419 (FedLoan:  Department contractor – TEACH Grant; AES:  Department contractor – FFEL Program).</p>
            <p>Maximus Federal Services, Inc.:</p>
            <p>Maximus Federal Services, Inc., 5202 Presidents Court,</p>
            <p>Frederick, MD 21703 (Department contractor – DMCS Program Management and Help Desk).</p>
            <p> Maximus Federal Services, Inc., 1891 Metro Center Drive, Reston, VA 20190 (Department contractor – Help Desk Application).</p>
            <p> Maximus Federal Services, Inc., 11400 Westmoor Circle, Westminster, CO  80021 (Department contractor – DMCS Disaster Recovery Site).</p>
            <p>Maximus Federal Services, Inc., 501 Bleecker Street, Utica, NY 13501 (Department contractor – DMCS Business and Financial Operations Management).</p>
            <p>Maximus Federal Services, Inc., 6201 I-30, Greenville, TX 75403 (Department contractor – DMCS Financial Processing).</p>
            <p>MPM Communications, 3480 Catterton Place, Suite 102, Waldorf, MD 20602 (sub-contractor - Fulfillment Services for DMCS mailings).</p>
            <p>Call Centers:</p>
            <p>General Dynamics Information Technology, 2400 Oakdale Boulevard, Coralville, IA 52241 (Department contractor - DMCS).</p>
            <p>General Dynamics Information Technology, 1 Imeson Park Boulevard, Jacksonville, FL 32218 (Department contractor – DMCS).</p>
            <p>Not-For-Profit (NFP) Servicers:</p>
            <p>&#8226;Missouri Higher Education Loan Authority (MOHELA):  633 Spirit Drive, Chesterfield, MO 63005; 400 East Walnut Street, Columbia, MO 65201; 1001 N. 6th Street, Harrisburg, PA 17102; 300 Long Meadow Road, Sterling Forest, NY 10979.</p>
            <p>&#8226;ducation Servicers of America, Inc. (ESA)/Edfinancial:  298 N. Seven Oaks Drive, Knoxville, TN 37922; 120 N. Seven Oaks Drive, Knoxville, TN  37922; 5600 United Drive, Smyrna, GA 30082; 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005-4247; 700 East 54th Street North, Suite 200, Sioux Falls, SD 57104; 13271 North Promenade Boulevard, Stafford, TX 77477-3957; 2307 Directors Row, Indianapolis, IN 46241.</p>
            <p>&#8226;Utah Higher Education Assistance Authority (UHEAA)/Cornerstone Education Loan Services:  60 S. 400 W., Board Of Regents’ Building, Gateway Two, Salt Lake City, UT 84101-1284; 350 S. 900 W., Richfield, UT 84701; 6279 East Little Cottonwood Road, Sandy, UT 84092; 1001 N. 6th Street, Harrisburg, PA 17102.</p>
            <p>&#8226;Oklahoma Student Loan Authority (OSLA):  525 Central Park Drive, Suite 600, Oklahoma City, OK  73154; 7499 East Paradise Lane Suite 108, Scottsdale, AZ 85260; 11300 Partnership Drive #C, Oklahoma City, OK 73013; 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005; 700 East 54th Street North, Suite 200, Sioux Falls, SD 57104; 13100 North Promenade Boulevard, Stafford, TX  77477; 1601 Leavenworth Street, Omaha, NE 68102.</p>
            <p>&#8226;Vermont Student Assistance Corporation (VSAC):  10 East Allen Street, Winooski, VT  05404; 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005-4247; 700 East 54th Street North, Suite 200, Sioux Falls, SD 57104.</p>
            <p>&#8226;ISL Service Corporation/Aspire Resources Inc.:  6775 Vista Drive, West Des Moines, IA 50266; 6955 Vista Drive, West Des Moines, IA 50266; 3096 104th Street, Urbandale, IA 50322; 1870 East Euclid Avenue, Des Moines, IA 50313; 1435 Northridge Cr., NE, Altoona, IA 50009; 1001 N. 6th Street, Harrisburg, PA 17102; 300 Long Meadow Road, Sterling Forest, NY 10979.</p>
            <p>&#8226;New Hampshire Higher Education Loan Corporation (NHHELCO)/ Granite State Management &amp; Resources (GSM&amp;R):  3 and 4 Barrell Court, Concord, NH 03301; 401 N. Broad Street, Suite 600, Philadelphia, PA 19108; 21 Terry Avenue, Burlington, MA 01803; 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005-4247; 700 East 54th Street North, Suite 200, Sioux Falls, SD 57104; 13100 North Promenade Boulevard, Stafford, TX 77477; 1601 Leavenworth Street, Omaha, NE., 68102.</p>
            <p>&#8226;South Carolina Student Loan Corporation:  16 Berryhill Road, Ste. 121, Columbia, SC  29210; 401 North Broad Street, Philadelphia, PA  19108; 2400 Reynolda Road, Winston-Salem, NC  27106.</p>
            <p>&#8226;Tru Student, Inc.:  2500 Broadway, Helena, MT 59601; 680 E. Swedesford Road, Wayne, PA 19087; 1424 National Avenue, Helena, MT  59601; 1700 National Avenue, Helena, MT 59601;  1001 N. 6th Street, Harrisburg, PA 17102; 300 Long Meadow Road, Sterling Forest, NY 10979.</p>
            <p>&#8226;Kentucky Higher Education Student Loan Corporation (KHESLC):  10180 Linn Station Road, Louisville, KY 40223; 2400 Reynolda Road, Winston-Salem NC 27106; 6825 Pine Street, Omaha, NE 68106; 1001 Fort Crook Road N., Suite 132, Bellevue, NE 68005-4247.</p>
            <p>&#8226;College Foundation, Inc.:  2917 Highwoods Boulevard, Raleigh, NC 27604; 3120 Poplarwood Court, Raleigh, NC 27604; 924 Ellis Road, Durham, NC 27703; 2400 Reynolda Road, Winston-Salem, NC 27106.</p>
            <p>&#8226;Council for South Texas Economic Progress (COSTEP):  2540 W. Trenton Road, Edinburg, TX 78539; 1044 Liberty Park Drive, Austin, TX 78746; 2400 Reynolda Road, Winston-Salem, NC 27106.</p>
            <p>&#8226;Georgia Student Finance Authority:  2082 East Exchange Place, Tucker, Georgia 30084; 401 North Broad Street, Philadelphia, PA 19130; 5600 United Drive, Smyrna, GA 30082; 2400 Reynolda Road, Winston-Salem, NC 27106.</p>
            <p>&#8226;New Mexico Educational Assistance Foundation:  7400 Tiburon NE, Albuquerque, NM 87109; 123 Central Ave NW, Albuquerque, NM 87102; 1200 North Seventh Street, Harrisburg, PA 17102-1444; 300 Long Meadow Lane, Sterling Forest, NY 10979.</p>
            <p>&#8226;Connecticut (Campus Partners):  2400 Reynolda Road, Winston-Salem, NC 27106; 8906 Two Notch Road, Columbia, SC 29223; 10180 Linn Station Road, Suite C200, Louisville, KY 40223; 2917 Highwoods Boulevard, Raleigh, NC 27629; 1001 Fort Crook Road North, Suite 132, Bellevue, NE 68005; 11425 South 84th Street, Papillion, NE 68046; 20441 Century Boulevard, Germantown, MD 20874; 400 Perimeter Park Drive, Morrisville, NC 27560; 1600 Malone Street, Millville, NJ 08332; 123 Wyoming Avenue, Scranton, PA 18503.</p>
            <p>Private Collection Agencies (PCAs):</p>
            <p>&#8226;Collecto, Inc. Dba EOS CCA:  700 Longwater Drive, Norwell, MA 02061.</p>
            <p>&#8226;GC Services:  4326 N. Broadway Northgate Plaza, Knoxville, TN 37917.</p>
            <p>&#8226;Allied Interstate:  335 Madison Avenue, 27th floor, New York, NY 10017.</p>
            <p>&#8226;The CBE Group, Inc.:  1309 Technology Parkway, Cedar Falls IA 50613.</p>
            <p>&#8226;Diversified Collection Service (DCS):  333 North Canyons Parkway, Suite 100, Livermore, California 94551.</p>
            <p>&#8226;Financial Asset Management Systems, Inc. (FAMS):  1967 Lakeside Parkway, Suite 402, Tucker, GA 30084.</p>
            <p>&#8226;NCO Financial Systems, Inc.:  507 Prudential Road, Horsham, PA 19044.</p>
            <p>&#8226;Pioneer Credit Recovery, Inc.:  26 Edward Street, Arcade, NY 14009.</p>
            <p>&#8226;Account Control Technology, Inc.:  6918 Owensmouth Avenue, Canoga Park, CA 91303.</p>
            <p>&#8226;Van Ru Credit Corporation:  1350 E. Touhy Avenue, Suite 300E, Des Plaines, IL 60018.</p>
            <p>&#8226;Progressive Financial Services:  1510 Chester Pike Suite 250, Eddystone, PA 19022.</p>
            <p>&#8226;West Asset Management Enterprises, Inc.:  2221 New Market Parkway, Suite 120, Marietta, GA 30067.</p>
            <p>&#8226;Premiere Credit of North America:  2002 Wellesley Boulevard, Suite 100, Indianapolis, IN 46219.</p>
            <p>&#8226;ConServe:  200 CrossKeys Office Park, Fairport, NY 14450.</p>
            <p>&#8226;Financial Management Systems (FMS):  1000 E. Woodfield Road, Suite 102, Schaumburg, IL 60173-4728.</p>
            <p>&#8226;Collection Technology, Inc.:  1200 Corporate Center Drive, Suite 325, Monterey Park, CA 91754.</p>
            <p>&#8226;Enterprise Recovery Systems, Inc. (ERS):  2400 S. Wolf Road, Suite 200, Westchester, IL 60154.</p>
            <p>&#8226;Windham Professionals, Inc.:  380 Main Street, Salem, NH 03079.</p>
            <p>&#8226;Delta Management Associates, Inc.:  100 Everett Avenue Suite 6, Chelsea, MA 02150.</p>
            <p>&#8226;Immediate Credit Recovery, Inc.:  169 Myers Corners Road Suite 110, Wappingers Falls, NY 12590.</p>
            <p>&#8226;National Recoveries:  14735 Hwy. 65, Ham Lake, MN  55403.</p>
            <p>&#8226;Coast Professional, Inc.:  214 Expo Circle, West Monroe, LA 71292.</p></section>

            <section id="ed18-11-17" toc="yes">
<systemNumber>18-11-17</systemNumber>
<subsection type="systemName">Financial Management System (FMS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Financial Management Group, Office of the Chief Financial Officer (OCFO), Federal
Student Aid, U.S. Department of Education, 830 First Street, NE., Union Center Plaza (UCP), room
54C3, Washington, DC 20202-5345.
</p><p>(2) Perot Systems Corporation, 2300 W. Plano Parkway, Plano, TX 75075-8427.
</p><p>(3) ACS Education Services, Inc., 501 Bleecker Street, Utica, NY 13501-2401.
</p><p>(4) ACS Education Solutions, LLC, 12410 Milestone Center, Germantown, MD 20876-7101.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on those individual borrowers who are eligible for refunds of
loan overpayments received by the Department's Office of Federal Student Aid under Title IV of the
Higher Education Act of 1965, as amended.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The FMS system contains personally identifiable information about individual borrowers who
are entitled to a refund of an overpayment or discharge, or both. The system includes a borrower's
social security number, name and address, amount of overpayment to be refunded, and name of the loan
holder.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Higher Education Act of 1965, as amended (HEA), (20 U.S.C. 1070 <i>et seq.
</i>).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system is maintained for the purpose of processing refunds to borrowers
or loan holders (lenders and guaranty agencies) for overpayments and discharges of Title IV Federal
student aid. When a loan overpayment or loan discharge occurs and FMS receives loan refund
information, FMS sends refund transaction data (the borrower's name and other identifiers) to the
Department of Education's Central Automated Processing System (EDCAPS) for posting to the general
ledger and subsequent payment by the Department of the Treasury to the borrower or loan holder
(lenders and guaranty agencies).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 purposes for which
the record was collected.
</p><p>These disclosures may be made on a case-by-case basis, or, if the Department has complied with
the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as
amended, under a computer matching agreement.
</p><p>(1) <i>Program Disclosure.</i> In order to refund loan overpayments back to the borrower or loan
holder and to answer questions that may arise about the refund payments, the Department may disclose
information from this system to the Department of the Treasury via Treasury's Electronic
Certification System (eCS) or to the loan holder.
</p><p>(2) <i>Contract Disclosure.</i> 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.
</p><p>(3) <i>Research Disclosure.</i> The Department may disclose records to a researcher if the
Director, Financial Management Group, Office of Chief Financial Officer, Federal Student Aid,
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 Director
may disclose records from this system of records to that researcher solely for the purpose of
carrying out 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.
</p><p>(4) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(5) <i>Enforcement Disclosure.</i> 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, Executive order, regulation, or rule 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, order, regulation, or rule,
issued pursuant thereto.
</p><p>(6) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and
necessary to the litigation or ADR to disclose certain records to an adjudicative body before which
the Department is authorized to appear, to an individual, or to an entity designated by the
Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to litigation or ADR, the Department may disclose those records as a routine
use to a party, counsel, representative, or witness.
</p><p>(7) <i>Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure.</i> The Department may
disclose records to the DOJ or the OMB if the Department concludes that disclosure is desirable or
necessary in determining whether particular records are required to be disclosed under the FOIA or
Privacy Act.
</p><p>(8) <i>Disclosure to the DOJ.</i> The Department may disclose records to the DOJ to the extent
necessary to obtain DOJ advice on any matter relevant to an audit, inspection, or other inquiry
related to the programs covered by this system.
</p><p>(9) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff 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 the inquiry.
</p><p>(10) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system of records to appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or confidentiality of information in the FMS
has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise, there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of the FMS or other systems or programs (whether
maintained by the Department or another agency or entity) that rely upon the compromised
information; and, (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hardcopy, microfilm, magnetic storage and optical storage media,
such as tape, disk, etc.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are retrievable by social security number or name of borrower.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>This system of records 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 identification and are required to establish
a password that adheres to the Federal Student Aid Information Security and Privacy Policy requiring
a complex password that must be changed every 60-90 days in accordance with Department
information technology standards. Annually, all users of FMS must acknowledge the completion of FMS-
specific security awareness training before they can obtain or renew their access to this system of
records. An automated audit trail documents the identity of each person and device having access to
FMS.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FMS' records retention and disposal schedule is in compliance with the Department's Records
Retention and Disposition Schedule (RRDS) policy and the guidance specified in the National Archives
and Records Administration (NARA) General Records Schedule (GRS) 7 entitled "Expenditure
Accounting Records."
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Financial Management System (FMS)--Director, Financial Management Group, OCFO,
Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington, DC 20202
-5345.
</p><p>(2) Direct Loan Servicing System (DLSS)--Director, Servicing Group, Borrower Services,
Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington, DC 20202
-5345.
</p><p>(3) Direct Loan Consolidation System (DLCS)--Director, Consolidation Group, Borrower
Services, Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington,
DC 20202-5345.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 requests
must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system of records, provide the system manager
with your name, date of birth, and social security number. Your requests for access to a record must
meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the system manager. Your request to correct or amend a record must meet the requirements of
the regulations in 34 CFR 5b.7, including proof of identity, specification of the particular record
that you are seeking to have changed, and the written justification for making such a change.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from other Department and contractor-managed systems,
such as the Direct Loan Servicing, Direct Loan Consolidation System, Conditional Disability
Discharge Tracking System, Campus Based Student Loan System, as well as manual and electronic
processes internal to Federal Student Aid.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-11-18" toc="yes">
<systemNumber>18-11-18</systemNumber>
<subsection type="systemName"> Data Challenges and Appeals Solutions (DCAS) System.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p> None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Operations Performance Division, Gainful Employment Team, Federal Student Aid, U.S. Department of Education, Union Center Plaza, 830 First Street, NE., room 62A4, Washington, DC 20202-5353.</p>
<p> (2)  Virtual Data Center (VDC), Dell Systems, 2300 W. Plano Parkway, Plano, TX 75075-8427 (Department’s Contractor).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p> The DCAS System contains records on all recipients under title IV of the Higher Education Act of 1965, as amended (HEA), who receive loans, grants, or work-study.  Although the DCAS System contains information about institutions associated with individuals, this system of records notice pertains only to individuals protected under the Privacy Act of 1974, as amended (Privacy Act).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p> The DCAS System contains records regarding:  (1) student/borrower identifier information including Social Security number and name; (2) loan information (e.g., last date of attendance, date entered repayment, default date); (3) student status information (e.g., program enrollment information, dates of enrollment, amounts paid for tuition and fees); and (4) documentation submitted by an institution of higher education (institution) or data manager to support its data challenges, requests for adjustments, or appeals (e.g., enrollment verification, copies of cancelled checks, etc.).  Note:  Data managers are determined on the basis of the holder of the loan.  For FFEL Program loans held by the lender or its guaranty agency, the guaranty agency is the data manager for the purpose of the appeal.  If the Department is the holder of the FFEL Program loan, then the Department is the data manager.  For Direct Loans, the Direct Loan servicer is the data manager.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p> 20 U.S.C. 1001, 1002, 1082, 1085, 1088, 1094, 1099c.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p> The information contained in the records maintained in this system is used for the following purposes:</p>
<p>(1)  To allow institutions to electronically challenge, request adjustments to, and appeal their cohort default rates (CDRs) and calculations (GE calculations) required under the Department’s regulations that apply to educational programs that are required to prepare students for gainful employment in a recognized occupation (GE regulations).</p>
<p>(2)  To allow FSA and data managers to electronically view and respond to these challenges, requests for adjustments, and appeals from institutions.  </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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 purposes for which the record was collected.  The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Privacy Act, under a computer matching agreement.</p>
<p>(1)  <i>Program Disclosures.</i>  The Department may disclose records to the institution or data manager responsible for entering the information into the DCAS System, in order to provide an institution with an opportunity to challenge the accuracy of the data and the calculations made by the Department using that data, and to obtain clarification or additional information to assist in determining the outcome of the challenges, requests for adjustments, or appeals.</p>
<p>(2)  <i>Disclosure for Use by Other Law Enforcement Agencies.</i>  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 prosecutorial responsibility within the receiving entity’s jurisdiction.</p>
<p>(3)  <i>Enforcement Disclosure.</i>  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 statutory, regulatory, or legally binding requirement, 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.</p>
<p>(4)  <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i></p>
<p>(a)  <i>Introduction.</i>  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:</p>
<p>(i)  The Department or any of its components.</p>
<p>(ii)  Any Department employee in his or her official capacity.</p>
<p>(iii)  Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.</p>
<p>(iv)  Any Department employee in his or her individual capacity where the Department has agreed to represent the employee.</p>
<p>(v)  The United States where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p>(b)  <i>Disclosure to DOJ.</i>  If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.  </p>
<p>(c)  <i>Adjudicative Disclosure.</i>  If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
<p>(d)  <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i>  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
<p>(5)  <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i>  The Department may disclose records to DOJ or the Office of Management and Budget if the Department concludes that disclosure would help in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
<p>(6)  <i>Contract Disclosure.</i>  If the Department contracts with an entity to perform any function that requires disclosing records to the contractor's employees, 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.</p>
<p>(7)  <i>Congressional Member Disclosure.</i>  The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.</p>
<p>(8)  <i>Disclosure in the Course of Responding to Breach of Data.</i>  The Department may disclose records to appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or confidentiality of information in the DCAS System has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of the DCAS System or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p> None.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p> Records are maintained in a database on the Department’s secure servers and in other electronic storage media.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p> Records are retrieved by a unique institution of higher education code number provided by the Department to participating institutions and the borrower’s Social Security number.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p> Access to the records is limited to authorized personnel only.  All physical access to the Department’s site, and to the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.</p>
<p> The computer system employed by the Department and by the Department’s contractor 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 an individual user’s ability to access and alter records within the system.  All users of this system of records are given a unique user identification.  The Department’s Federal Student Aid Information Security Privacy Policy requires the enforcement of a complex password policy.  In addition, users are required to change their password at least every 60 to 90 days in accordance with the Department’s information technology standards.  At the principal site of the Department’s contractor in Plano, Texas, additional physical security measures are in place and access is monitored 24 hours per day, 7 days a week.</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p> The records associated with an institution's challenges, requests for adjustments, or appeals are currently unscheduled pending National Archives and Records Administration (NARA) approval of a records retention schedule.  Until a NARA-approved records schedule is in effect, no records will be destroyed.</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p> Nikki Harris, Operations Performance Division, Gainful Employment Team, U.S. Department of Education, Federal Student Aid, Union Center Plaza, 830 First Street, NE., room 62A4, Washington, DC 20202-5353.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p> 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 in 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p> If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS.  Requests should contain your full name, address, and telephone number.  Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p> 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 in 34 CFR 5b.7, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p> Information maintained in this system of records is obtained from institutions of higher education, data managers, and other FSA systems of records, including the National Student Loan Data System (18-11-06).</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p> None.

</p></xhtmlContent></subsection></section>
<section id="ed18-11-19" toc="yes">
<systemNumber>18-11-19</systemNumber>
<subsection type="systemName">"School Participation Division--Complaints Tracking System (SPD-CTS)".
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The information in the SPD-CTS is on an Intranet Web site called PCNet and is maintained by a School Participation Division
(SPD) staff member in the Department's Dallas Regional Office located at 1999 Bryan Street, Suite 1410, Dallas, Texas 75201-6817.
The Web site itself is located at the Virtual Data Center, maintained by Dell Perot Systems, 2300 W. Plano Parkway, Plano, Texas
75075-8427.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records of individuals who file a complaint or allegation against an institution of higher education (IHE)
related to the administration of title IV, Higher Education Act of 1965, as amended (HEA) programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the SPD-CTS include, but are not limited to, data about individuals who have filed a complaint or allegation about
an IHE. The records contain individually identifying information about these individuals, including, but not limited to their: names,
addresses, email addresses, and telephone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system of records is authorized under Executive Order 13607 of April 27, 2012 and title IV of the HEA, 20 U.S.C. 1070 <i>et seq.</i>
</p>
	<p>Purposes:</p>
	<p>The information contained in this system is maintained for the following purposes: (1) To capture complaint and allegation
information from any source; (2) to track complaints and allegations accurately by maintaining an audit trail of actions taken by the
SPD; (3) to provide geographically dispersed staff with meaningful and up-to-date information at decision points for SPD activities;
(4) to routinely resolve complaints within a timely manner; (5) to report annually to Congress; (6) to provide oversight and to ensure
program integrity, thus safeguarding taxpayers' interests; (7) to identify title IV, HEA program issues that may lead to law
enforcement investigations, litigation, or other proceedings and for use in such proceedings; (8) to refer instances of possible fraud
and abuse in Federal, State, or local programs to appropriate persons, entities, or authorities, where they may be covered by other
Privacy Act system of records notices; and, (9) to create a centralized complaint system for students receiving educational benefits to
register complaints that can be tracked and responded to by appropriate Federal, State, or local persons, entities, or authorities,
where they also may be covered by other Privacy Act system of records notices.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
The Department may make these disclosures on a case-by-case basis, or if the Department has complied with the computer matching
requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement. To the extent any routine use
disclosure published below involves the disclosure of personally identifiable information from education records protected by the
Family Educational Rights and Privacy Act (FERPA), such disclosure only will be made to the extent that it is permissible under FERPA.
</p><p>(1) <i>Program Purposes.</i> The Department may disclose records from the SPD-CTS system of records for the following
program purposes:
</p><p>(a) To verify the identity of the complainant involved or the accuracy of any complaint record in this system of records, or to
assist with the determination of program eligibility and benefits, the Department may disclose records to IHEs; third-party servicers;
or Federal, State, or local agencies.
</p><p>(b) To support the investigation of possible fraud and abuse and to detect and prevent fraud and abuse in Federal, State, or local
programs, disclosures may be made to IHEs; third-party servicers; or Federal, State, or local agencies.
</p><p>(c) To support the creation of a centralized complaint system for students receiving educational benefits and to permit those
complaints to be responded to by appropriate persons, entities, or authorities, disclosures may be made to appropriate Federal, State,
or local persons, entities, or authorities.
</p><p>(2) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an individual to a member of Congress
or the member's staff when necessary to respond 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.
</p><p>(3) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(4) <i>Enforcement Disclosure.</i> 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.
</p><p>(5) <i>Litigation or Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following 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:
</p><p>(i) The Department, or any of its components;
</p><p>(ii) Any Department employee in his or her official capacity;
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has been requested to or has
agreed to provide or arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the Department or any of its
components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and necessary to litigation or ADR to
disclose certain records from this system of 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 or mediate disputes, the Department may
disclose those records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i> If the Department determines that disclosure of
certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may
disclose those records as a routine use to the party, counsel, representative, or witness.
</p><p>(6) <i>Employment, Benefit, and Contracting Disclosure.</i>
</p><p>(a) <i>For Decisions by the Department.</i> The Department may disclose information from this system of records to a Federal,
State, or local agency 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.
</p><p>(b) <i>For Decisions by Other Public Agencies and Professional Organizations.</i> The Department may disclose information
from this system of 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 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 to the receiving entity's decision on the matter.
</p><p>(7) <i>Employee Grievance, Complaint, or Conduct Disclosure.</i> If a record is relevant and necessary to a grievance,
complaint, or disciplinary proceeding involving a present or former employee of the Department, the Department may disclose a record
from this system of records in the course of investigation, fact-finding, or adjudication to any party to the grievance, complaint, or
action; to the party's counsel or representative; to a witness; or to a designated fact-finder, mediator, or other person designated to
resolve issues or decide the matter. The disclosure may only be made during the course of investigation, fact-finding, or adjudication.
</p><p>(8) <i>Labor Organization Disclosure.</i> The Department may disclose a record from this system of records to an arbitrator
to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. chapter 71
when relevant and necessary to their duties of exclusive representation.
</p><p>(9) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department may disclose records from this
system of records to the DOJ or Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or
necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.
</p><p>(10) <i>Disclosure to the DOJ.</i> The Department may disclose records from this system of 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.
</p><p>(11) <i>Contract Disclosure.</i> 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 must 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.
</p><p>(12) <i>Research Disclosure.</i> The Department may disclose records from this system of records to a researcher if 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 must be required to maintain Privacy Act safeguards with respect to the disclosed records.
</p><p>(13) <i>Disclosure to OMB for Credit Reform Act (CRA) Support.</i> The Department may disclose records from this system of
records to OMB as necessary to fulfill CRA requirements.
</p><p>(14) <i>Disclosure in the Course of Responding to a Breach of Data.</i> The Department may disclose records from this system
of records to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or
confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected
or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist
the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): the Department may disclose information regarding a valid, overdue claim of the
Department to a consumer reporting agency. Such information is limited to (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 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department electronically stores the complaints and allegations on an Intranet Web site. The Web site is located at the Virtual
Data Center in Plano, Texas.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in the SPD-CTS system are retrieved by searching any of the following data elements: complainant's name, institution's
name, reviewer's name or Office of Postsecondary Education identification (OPEID) number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>In addition to undergoing security clearances, contract and Department employees are required to complete security awareness
training on an annual basis. Annual security awareness training is required to ensure that contract and Department users are
appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.
</p><p>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 password. The Department's FSA
Information Security and Privacy Policy requires the enforcement of a complex password policy. This password is only given to SPD staff
who are assigned to investigate and resolve the complaint(s).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records created by this system are currently unscheduled. ED will apply to the National Archives and Records Administration
(NARA) for disposition authority that covers these records. Until disposition authority is received from NARA, no records will be
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Dale Shaw, FSA, U.S. Department of Education, 1999 Bryan Street Suite 1410, Dallas, Texas 75201-6817.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name,
address, email address, and phone number. Requests must meet the requirements in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system, provide the system manager with your name, address, email address, and phone
number. Requests by an individual for access to a record must meet the requirements in the regulations at 34 CFR 5b.5, including proof
of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of your personal record within the system of records, provide the system manager with your name,
address, email address, and phone number. Identify the specific items to be changed, and provide a written justification for the
change. Requests to amend a record must meet the requirements in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system includes records on individuals who may have received title IV, HEA program assistance. These records include
information provided by various sources (including, but not limited to, the public, school officials, external oversight partners,
students, referrals from Federal, State, or local agencies, and other FSA offices). The Department's Office of Inspector General (OIG)
may also refer complaints and allegations received via the OIG Hotline that do not appear to require an OIG audit, a formal OIG
investigation, or action by any other federal agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

    <section id="ed18-11-20" toc="yes">
        <systemNumber>18-11-20</systemNumber>

        <subsection type="systemName">Health Education Assistance Loan (HEAL) program.</subsection>
        <subsection type="securityClassification">
            <xhtmlContent>
                <p> None.</p>
            </xhtmlContent>
            </subsection>
        <subsection type="systemLocation">
            <xhtmlContent>
                <p> Office of Information Technology Parklawn Data Center, Health Resources and Services Administration, U.S. Department of Health and Human Services (HHS), 5600 Fishers Lane, Room 9–105, Rockville, MD 20857 (HEAL program data center).</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfIndividuals">
            <xhtmlContent>
                <p> The HEAL program system covers recipients of HEAL program loans that remain outstanding.  This system also contains records on HEAL program loans that are paid in full.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="categoriesOfRecords">
            <xhtmlContent>
                <p> Each HEAL recipient record contains the borrower’s name, contact information (such as e-mail address and telephone number), area of practice, Social Security number (SSN) or other identifying number, birth date, demographic background, educational status, loan location and status, and financial information about the individual for whom the record is maintained.  Each loan record contains lender and school identification information.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="authorityForMaintenance">
            <xhtmlContent>
                <p> The authority for maintenance of the system includes sections 701 and 702 of the Public Health Service Act, as</p>
                <p>amended (PHS Act) (42 U.S.C. 292 and 292a), which authorize the establishment of a Federal program of student loan insurance; section 715 of the PHS Act (42 U.S.C. 292n), which directs the Secretary of Education to require institutions to provide information for each student who has a loan; section 709(c) of the PHS Act (42 U.S.C. 292h(c)), which authorizes disclosure and publication of HEAL defaulters; the Debt Collection Improvement Act (31 U.S.C. 3701 and 3711–3720E); and the Consolidated Appropriations Act, 2014, Div. H, title V, section 525 of Pub. L. 113–76, which transferred the authority to administer the HEAL program from the Secretary of HHS to the Secretary of Education.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="purpose">
            <xhtmlContent>
                <p> The information maintained in this system of records is used for the following purposes:</p>
                <p>     (1)  To verify the identity of an individual;</p>
                <p> (2)  To determine program benefits;</p>
                <p> (3)  To enforce the conditions or terms of a loan;</p>
                <p> (4)  To service, collect, assign, adjust, transfer, refer, or discharge a loan;</p>
                <p> (5)  To counsel a debtor in repayment efforts;</p>
                <p> (6)  To investigate possible fraud or abuse or verify compliance with program regulations;</p>
                <p> (7)  To locate a delinquent or defaulted borrower or an individual obligated to repay a loan;</p>
                <p> (8)  To prepare a debt for litigation, provide support services for litigation on a debt, litigate a debt, or audit the results of litigation on a debt;</p>
                <p> (9)  To prepare for, conduct, enforce, or assist in the conduct or enforcement of a Medicare Exclusion of the individual in default on a HEAL loan;</p>
                <p> (10)  To ensure that program requirements are met by HEAL program participants; </p>
                <p> (11)  To verify whether a debt qualifies for discharge, cancellation, or forgiveness;</p>
                <p> (12)  To conduct credit checks or respond to inquiries or disputes arising from information on the debt already furnished to a credit-reporting agency;</p>
                <p> (13)  To investigate complaints, update information, or correct errors contained in Department records;</p>
                <p> (14)  To refund credit balances to the individual or loan holder;</p>
                <p> (15)  To allow HEAL program participants to report information to the Department on all aspects of HEAL loans in uniform formats;</p>
                <p> (16)  To report to the Internal Revenue Service (IRS) information required by law to be reported, including, but not limited to, reports required by 26 U.S.C. 6050P and 6050S;</p>
                <p> (17) To compile and generate managerial and statistical reports; and</p>
                <p> (18) To carry out the statutory requirement to compile and publish a list of the HEAL program borrowers who are in default.</p>
             
            </xhtmlContent>
        </subsection>
        <subsection type="routineUsesOfRecords">
            <xhtmlContent>
                <p> 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 information in 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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement. Return information that the Department obtains from the Internal Revenue Service (IRS) (i.e., taxpayer mailing address) under the authority in 26 U.S.C. 6103(m)(2) or (m)(4) may be disclosed only as authorized by 26 U.S.C. 6103.</p>
                <p> (1)  Program Disclosures.  The Department may disclose records for the following program purposes:</p>
                <p> (a)  To verify the identity of the individual whom records indicate has received the loan, disclosures may be made to HEAL program participants, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, business and personal associates; educational and financial institutions; present and former employers; collection agencies; creditors; consumer reporting agencies; adjudicative bodies; and the individual whom the records identify as the party obligated to repay the debt;</p>
                <p> (b)  To determine program benefits, disclosures may be made to HEAL program participants, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, business and personal associates; educational and financial institutions; present and former employers; to creditors; consumer reporting agencies; and adjudicative bodies;</p>
                <p> (c)  To enforce the conditions or terms of the loan, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies;</p>
                <p> (d)  To permit servicing, collecting, assigning, adjusting, transferring, referring, or discharging a loan, disclosures may be made to HEAL program participants; educational institutions, or financial institutions that made, held, serviced, or have been assigned the debt, and their authorized representatives; a party identified by the debtor as willing to advance funds to repay the debt; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies;   </p>
                <p> (e)  To counsel a debtor in repayment efforts, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; and Federal, State, or local agencies, and their authorized representatives;</p>
                <p> (f)  To investigate possible fraud or abuse or verify compliance with any applicable statutory, regulatory, or legally binding requirement, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, present and former employers, and business and personal associates; creditors; consumer reporting agencies; and adjudicative bodies;</p>
                <p> (g)  To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, business and personal associates, and present and former employers; creditors; consumer reporting agencies; and adjudicative bodies;</p>
                <p>  (h)  To prepare a debt for litigation, to provide support services for litigation on a debt, to litigate a debt, or to audit the results of litigation on a debt, disclosures may be made to HEAL program participants, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; and adjudicative bodies;</p>
                <p> (i)  To prepare for, conduct, enforce, or assist in the conduct or enforcement of a Medicare exclusion action, disclosures may be made to HEAL program participants; educational or financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; and adjudicative bodies;</p>
                <p> (j)  To ensure that HEAL program requirements are met by HEAL program participants, disclosures may be made to HEAL program participants; educational or financial institutions, and their authorized representatives; auditors engaged to conduct an audit of a HEAL program participant or of an educational or financial institution; Federal, State, or local agencies, and their authorized representatives; accrediting agencies; and adjudicative bodies;</p>
                <p> (k)  To verify whether a debt qualifies for discharge, forgiveness, or cancellation, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, present and former employers, and business and personal associates; creditors; consumer reporting agencies; and adjudicative bodies;</p>
                <p> (l)  To conduct credit checks or to respond to inquiries or disputes arising from information on the debt already furnished to a credit reporting agency, disclosures may be made to credit reporting agencies; HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, present and former employers, and business and personal associates; creditors; and adjudicative bodies;</p>
                <p> (m)  To investigate complaints or to update information or correct errors contained in Department records, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, present and former employers, and business and personal associates; creditors; credit reporting agencies; and adjudicative bodies;</p>
                <p> (n)  To refund credit balances that are processed through the Department’s systems, as well as the U.S. Department of the Treasury’s (Treasury’s) payment applications, to the individual or loan holder, disclosures may be made to HEAL program participants; educational and financial institutions, and their authorized representatives; Federal, State, or local agencies, and their authorized representatives; private parties, such as relatives, present and former employers, and business and personal associates; and creditors;</p>
                <p> (o)  To allow the reporting of information to the Department on all aspects of loans made under the HEAL program in uniform formats and to permit the Department directly to compare data submitted to the Department by HEAL program participants, educational and financial institutions, or third-party servicers, disclosures may be made to HEAL program participants and to educational and financial institutions;</p>
                <p> (p)  To report information required by law to be reported, including, but not limited to, reports required by 26 U.S.C. 6050P and 6050S, disclosures may be made to the IRS; and</p>
                <p> (q)  To allow the Department to make disclosures to governmental entities at the Federal, State, local, or tribal levels regarding the practices of Department contractors who have been provided with access to the HEAL program system with regards to all aspects of loans made under the HEAL program, in order to permit these governmental entities to verify the contractor’s compliance with debt collection, financial, and other applicable statutory, regulatory, or local requirements.  Before making a disclosure to these Federal, State, local or tribal governmental entities, the Department will require them to maintain Privacy Act safeguards to protect the security and confidentiality of the disclosed records.</p>
                <p> (2)  Feasibility Study Disclosure.  The Department may disclose information from this system of records to other Federal agencies, and to guaranty agencies and to their authorized representatives, to determine whether computer matching programs should be conducted by the Department for purposes such as to locate a delinquent or defaulted debtor or to verify compliance with program regulations. </p>
                <p> (3)  Disclosure for Use by Other Law Enforcement Agencies.  The Department may disclose information to any Federal, State, local, tribal, 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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
                <p> (4)  Enforcement Disclosure.  In the event that information in this system of records indicates, either alone or in connection with other information, a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose the relevant records to an entity charged with the responsibility for investigating or enforcing those violations or potential violations.</p>
                <p> (5)  Litigation and Alternative Dispute Resolution (ADR) Disclosure.</p>
                <p> (a)  Introduction.  In the event that one of the parties listed below is involved in judicial or administrative litigation or ADR, or has an interest in such 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:</p>
                <p> (i)  The Department or any of its components;</p>
                <p> (ii)  Any Department employee in his or her official capacity;</p>
                <p> (iii)  Any Department employee in his or her individual capacity where the Department of Justice (DOJ) has been requested to or agrees to provide or arrange for representation for the employee;</p>
                <p> (iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; and</p>
                <p> (v) The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
                <p> (b)  Disclosure to the DOJ.  If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the DOJ.</p>
                <p> (c)  Adjudicative Disclosure.  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 or mediate disputes is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.</p>
                <p> (d)  Parties, Counsel, Representatives, and Witnesses.  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.</p>
                <p> (6)  Employment, Benefit, and Contracting Disclosure.</p>
                <p> (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.</p>
                <p> (b)  For Decisions by Other Public Agencies and Professional Organizations.  The Department may disclose a record to a Federal, State, local, 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.</p>
                <p> (7)  Employee Grievance, Complaint, or Conduct Disclosure.  If a record is relevant and necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose the record in this system of records in the course of investigation, fact-finding, or adjudication to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter.</p>
                <p> (8)  Labor Organization Disclosure.  The Department may disclose a record from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. </p>
                <p> (9)  Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.  The Department may disclose records to the DOJ or to the Office of Management and Budget (OMB) if the Department determines that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
                <p> (10)  Disclosure to the DOJ.  The Department may disclose records to the DOJ, or the authorized representative of 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.</p>
                <p> (11)  Contracting 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) of the Privacy Act with respect to the records in the system. </p>
                <p> (12)  Research Disclosure.  The Department may disclose records to a researcher if 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 Department 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.</p>
                <p> (13)  Congressional Member Disclosure.  The Department may disclose the records of an individual to a Member of Congress in response to an inquiry from the Member made at the written request of that individual whose records are being disclosed.  The Member's right to the information is no greater than the right of the individual who requested the inquiry.</p>
                <p> (14)  Disclosure to OMB for Credit Reform Act (CRA) Support.  The Department may disclose records to OMB as necessary to fulfill CRA requirements.  These requirements currently include transfer of data on lender interest benefits and special allowance payments, defaulted loan balances, and supplemental pre-claims assistance payments information.</p>
                <p> (15)  Disclosure in the Course of Responding to a Breach of Data.  The Department may disclose records to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of information in a system covered by this system of records notice has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other system or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
                <p> (16)  Disclosure to Third Parties through Computer Matching Programs.  Unless otherwise prohibited by other laws, 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, which is conducted under a Computer Matching Agreement between the Department and the third party, and requires that the matching be conducted in compliance with the requirements of the Privacy Act.  Purposes of these disclosures may be:  (a) to establish or verify program eligibility and benefits, (b) to establish or verify compliance with program regulations or statutory requirements, such as to investigate possible fraud or abuse; and (c) to recoup payments or delinquent debts under any Federal benefit programs, such as to locate or take legal action against a delinquent or defaulted debtor.  At the time of the publication of this notice, the Department is not engaged in a computer matching program for the HEAL program.</p>
                <p> (17)  Disclosure of Information to Treasury.  The Department may disclose records of this system to (a) a Federal or State agency, its employees, agents (including contractors of its agents), or contractors, or (b) a fiscal or financial agent designated by the Treasury, including employees, agents, or contractors of such agent, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a State in a State-administered, Federally funded program; and disclosure may be made to conduct computerized comparisons for this purpose.   </p>
                <p> (18)  Disclosure of Defaulted Debtors in Federal Register Publication or on Designated Web sites.  In accordance with the directive in 42 U.S.C. 292h(c), ED must publish in the Federal Register a list of borrowers who are in default on a HEAL loan.  FSA intends to publish the names of the defaulted borrowers, last known city and state, area of practice, and amount of HEAL loan in default.  FSA intends to publish the additional information about the borrower, as well as the names, in order to correctly identify the person in default and to provide relevant information to the intended recipients of this information, such as State licensing boards and hospitals.  Additionally, this information may be published on a Defaulted Borrowers Web site, should the Department elect to reestablish this, or a similar, Web site.  The Department may do this in order to provide the information to the intended recipients in a timely and effective way.</p>
                <p> (19)  Disclosure of Defaulted Debtors to Other Authorized Parties.  In accordance with the directive in 42 U.S.C. 292h(c)(2), disclosure of borrowers who are in default on a HEAL loan may be made to relevant Federal agencies, schools, school associations, professional and specialty associations, State licensing boards, hospitals with which a HEAL loan defaulter may be associated, or other similar organizations.</p>
                <p>DISCLOSURE TO CONSUMER REPORTING AGENCIES:</p>
                <p> Disclosures pursuant to 5 U.S.C. 552a(b)(12) (as set forth in 31 U.S.C. 3711(e)):  Disclosures may be made from</p>
                <p>this system to "consumer reporting agencies," as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Improvement Act (31 U.S.C. 3701(a)(3)).  The purpose of these disclosures is to provide an incentive for debtors to repay delinquent Federal Government debts by making these debts part of their credit records. </p>
                 
                </xhtmlContent>
    </subsection>
        <subsection type="policiesAndPractices">
            <xhtmlContent>
                <p>Storage:</p>
                <p> Records are maintained in database servers, file folders, CDs, DVDs, and magnetic tapes.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retrievability">
            <xhtmlContent>
            <p> Records are retrieved by SSN or other identifying number.</p>
        </xhtmlContent>
        </subsection>
        <subsection type="safeguards">
            <xhtmlContent>
                <p>Authorized users:  Access to the system is limited to authorized HEAL program personnel and contractors responsible for administering the HEAL program.  Authorized personnel include ED employees and officials, financial and fiscal management personnel, computer personnel and program managers who have responsibilities for implementing the HEAL program.  Read-only users:  Read-only access is given to servicers, holders, and financial/fiscal management personnel.</p>
                <p>Physical safeguards:  Magnetic tapes, disc packs, computer equipment, and other forms of personal data are stored in areas where fire and life safety codes are strictly enforced.  All documents are protected during lunch hours and nonworking hours in locked file cabinets or locked storage areas.  Security guards are staffed 24 hours a day, seven days a week, to perform random checks on the physical security of the records storage areas.</p>
                <p>Procedural safeguards:  A password is required to access the terminal and a data set name controls the release of data to only authorized users.  All users of personal information in connection with the performance of their jobs protect information from public view and from unauthorized personnel entering an unsupervised office.  In addition, all sensitive data is encrypted using Oracle Transparent Data Encryption functionality.  Access to records is strictly limited to those staff members trained in accordance with the Privacy Act and automatic data processing (ADP) security procedures.  Contractors are required to maintain, and are also required to ensure that subcontractors maintain, confidentiality safeguards with respect to these records.  Contractors and subcontractors are instructed to make no further disclosure of the records except as authorized by the System Manager and permitted by the Privacy Act.  All individuals who have access to these records receive the appropriate ADP security clearances.  ED personnel make site visits to ADP facilities for the purpose of ensuring that ADP security procedures continue to be met.  Privacy Act and ADP system security requirements are specifically included in contracts.  The HEAL program project directors, project officers, and the system manager oversee compliance with these requirements.</p>
                <p>Implementing guidelines:  The safeguards described above were established in accordance with HHS Chapter 45–13 and supplementary Chapter PHS.hf:  45–13 of HHS’ General Administration Manual.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="retentionAndDisposal">
            <xhtmlContent>
                <p> In accordance with the Department’s record retention and disposition schedule, records for HEAL program awards are retained for seven years after final payment or discharge of the loan, whichever is sooner, and thereafter destroyed.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="systemManager">
            <xhtmlContent>
                <p> Valerie Sherrer, Director, Systems Integration Division, Systems Operations and Aid Delivery Management Services, Business Operations, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., room 44F1, UCP, Washington, DC 20202-5454.  Telephone:  (202) 377–3547.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="notificationProcedure">
            <xhtmlContent>
                <p> If you wish to determine whether a record exists about you in the system of records, provide the System Manager with your name, date of birth, and SSN.  Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. </p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordAccessProcedures">
            <xhtmlContent>
                <p> If you wish to gain access to your record in the system of records, provide the System Manager with your name, date of birth, and SSN.  Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="contestingRecordProcedures">
            <xhtmlContent>
                <p> If you wish to contest the content of your record in the system of records, provide the System Manager with your name, date of birth, and SSN as well as a reasonable description of the record, specify the information being contested, the corrective action sought, and the reasons for requesting the correction, along with supporting information to show how the record is inaccurate, incomplete, untimely, or irrelevant.  Requests by an individual to amend a record must meet the requirements of the regulations in 34 CFR 5b.7.</p>
            </xhtmlContent>
        </subsection>
        <subsection type="recordSourceCategories">
            <xhtmlContent>
                <p> Record source categories include individual loan recipients, HEAL schools, lenders, holders of HEAL loans and their agents, HHS, and other Federal agencies.</p>
             
            </xhtmlContent>
        </subsection>
        <subsection type="exemptionsClaimed">
            <xhtmlContent>
                <p> None.</p>
            </xhtmlContent>
        </subsection>
    </section>


<section id="18-11-21" toc="yes">
<systemNumber>18-11-21</systemNumber>
<subsection type="systemName">Integrated Partner Management (IPM) system (18-11-21).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>
None.</p></xhtmlContent>
</subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>Federal Student Aid Virtual Data Center (VDC), Dell Systems, Plano Technology Center, 2300 West Plano Parkway, Plano, TX 75075.</p>
<p>Effective December 2017, the Department expects to relocate the IPM system to:  Hewlett Packard Enterprise Services Mid-Atlantic Data Center (HPES MDC), Federal Student Aid Next Generation Data Center (FSA NGDC), 250 Burlington Drive, Clarkesville, VA 23927.</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Program Director, Integrated Partner Management, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., room 82D4, Washington, DC  20202.</p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The data collected and stored in the IPM system is authorized under sections 131, 481, 487, and 498 of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C. 1088, 1094, 1099c), and the Debt Collection Improvement Act of 1996 (31 U.S.C. 7701).  The collection of Social Security numbers (SSNs) in this system is authorized by 31 U.S.C. 7701 and Executive Order 9397 (November 22, 1943), as amended by Executive Order 13478 (November 18, 2008).</p>
<p>The Government Paperwork Elimination Act (GPEA), Public Law 105-277, 44 U.S.C. 3504 note, Title XVII, Section 1704, requires agencies, by October 21, 2003, to provide the option of electronic submission of information by the public when practicable.  The Freedom to E-File Act, E-Government Act, and the President’s Management Agenda authorize eGovernment functions as alternatives to traditional paper-based processes.</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the IPM system will be used for the purposes of determining initial and continued eligibility, administrative capability, and financial responsibility of postsecondary schools, lenders, and guaranty agencies that participate in title IV, HEA student assistance programs, and third-party servicers contracted by these entities; tracking changes to those entities; maintaining a history of this information for all entities that have ever applied to participate or have participated in these programs; documenting any protective or corrective action against an entity or an individual associated with the entity; and establishing the identity of individuals who request access to title IV, HEA Federal student aid systems.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The IPM system contains records about individual owners (either solely or as partners or shareholders), officials, and individuals acting as authorized agents of postsecondary institutions, lenders, and guaranty agencies that participate in the student assistance programs authorized under title IV of the HEA; members of boards of directors or trustees of such entities; employees of foreign entities that evaluate the quality of education; employees of third-party servicers, including contact persons, that contract with schools, lenders, or guaranty agencies; and individuals affiliated with authorized entities who request electronic access to title IV, HEA student assistance systems.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>The records in the IPM system will include, but are not limited to, names, taxpayer identification numbers (TINs), and bank account numbers of individuals with substantial ownership interests in, or control over, schools, lenders, guaranty agencies, or third party servicers.  The IPM system will also contain SSNs, personal identification numbers assigned by the Department, personal addresses, personal phone numbers, and personal email addresses of the individuals with substantial ownership interests in, or control over, those entities.</p>
<p>Records for individuals affiliated with authorized entities (schools, lenders, guaranty agencies, or third-party servicers) who request electronic access to title IV, HEA student assistance systems will also be included in the system.  Such information will include, but is not limited to, the individual's name, SSN, and date of birth, address, phone number, and authentication information (User ID and password).</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Information is obtained from applications submitted by postsecondary institutions and other entities that seek to participate in the student financial assistance programs and from components of the Department; from other Federal, State, Tribal, and local governmental agencies; and from non-governmental agencies and organizations that acquire information relevant to the purposes of the IPM system.</p>
</xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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 when 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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement (CMA).</p>
<p>The routine uses for the IPM system are as follows:</p>
<p>(1) <i>Program Purposes.</i>  The Department may disclose information contained in the IPM system 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.</p>
<p>(2) <i>Enforcement Disclosure.</i>  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 IPM system, 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.</p>
<p>(3) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i></p>
<p>(a) <i>Introduction.</i>  In the event that one of the parties listed below is involved in judicial or administrative litigation or alternative dispute resolution (ADR), or has an interest in judicial or administrative litigation or ADR, the Department may disclose records in the IPM system to the parties described in paragraphs (b), (c), and (d) of this routine use under the conditions specified in those paragraphs:</p>
<p>(i)  The Department, or any component of the Department;</p>
<p>(ii)  Any Department employee in his or her official capacity;</p>
<p>(iii) Any employee of the Department in his or her individual capacity where the Department of Justice (DOJ)  has agreed to or has been requested to provide or arrange for representation for the employee;</p>
<p>(iv)  Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee; or</p>
<p>(v)  The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.</p>
<p>(b) <i>Disclosure to the Department of Justice.</i>  If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to the judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the DOJ.</p>
<p>(c) <i>Adjudicative Disclosure.</i>  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 judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to that adjudicative body, entity, or individual.</p>
<p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses. </i>  If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to judicial or administrative litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.</p>
<p>(4) <i>Employment, Benefit, and Contracting Disclosure. </i></p>
<p>(a) <i>For decisions by the Department. </i>  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.</p>
<p>(b) <i>For decisions by Other Public Agencies and Professional Organizations. </i>  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.</p>
<p>(5) <i>Employee Grievance, Complaint, or Conduct Disclosure. </i> The Department may disclose a record in the IPM system to another agency of the Federal government if the record is relevant to a complaint, grievance, disciplinary, or competency determination proceeding regarding a present or former employee of the Department.  The disclosure may only be made during the course of the proceeding.</p>
<p>(6) <i>Labor Organization Disclosure. </i> The Department may disclose a record in the IPM system to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.</p>
<p>(7) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. </i>  The Department may disclose records to the DOJ or the Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
<p>(8) <i>Disclosure to the Department of Justice. </i> 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.</p>
<p>(9) <i>Contract Disclosure. </i> 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 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.</p>
<p>(10) <i>Research Disclosure. </i> 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.</p>
<p>(11) <i>Congressional Member Disclosure. </i> 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.</p>
<p>(12) <i>Disclosure to the Office of Management and Budget for Credit Reform Act (CRA) Support. </i>  The Department may disclose records to OMB as necessary to fulfill CRA requirements.</p>
<p>(13) <i>Feasibility Study Disclosure. </i>  The Department may disclose information from this system of records to other Federal agencies, and to guaranty agencies and to their authorized representatives, to determine whether computer matching programs should be conducted by the Department for purposes such as to locate a delinquent or defaulted debtor or to verify compliance with program regulations.</p>
<p>(14) <i>Disclosure for Use by Other Law Enforcement Agencies. </i>  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 prosecutorial responsibility within the receiving entity's jurisdiction.</p>
<p>(15) <i>Disclosure in the Course of Responding to a Breach of Data. </i>  The Department may disclose records from this system to appropriate agencies, entities, and persons when:  (a) the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</p>
<p>(16) <i>Disclosure in Assisting Another Agency in Responding to a Breach of Data. </i> The Department may disclose records from this system to another Federal agency or entity when the Department determines that information from this system of records is reasonably necessary to assist the recipient agency or entity (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.</p>
<p>(17) <i>Disclosure to Third Parties through Computer Matching Programs. </i>  Unless otherwise prohibited by other laws, 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 that is conducted under a computer matching agreement between the Department and the third party, and requires that the matching be conducted in compliance with the requirements of the Privacy Act.  The purposes of these disclosures may be:  (a) to establish or verify program eligibility and benefits; (b) to establish or verify compliance with program regulations or statutory requirements, such as to investigate possible fraud or abuse; and (c) to recoup payments or delinquent debts under any Federal benefit programs, such as to locate or take legal action against a delinquent or defaulted debtor.</p>
<p>(18) <i>Disclosure of Information to U.S. Department of the Treasury (Treasury). </i> The Department may disclose records of this system to (a) a Federal or State agency, its employees, agents (including contractors of its agents), or contractors, or (b) a fiscal or financial agent designated by the Treasury, including employees, agents, or contractors of such agent, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a State in a State-administered, federally funded program; and disclosure may be made to conduct computerized comparisons for this purpose.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>The records are maintained in electronic data files on the IPM system servers.</p>
</xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>The records in this system are indexed by the name of the institution or organization, and may be retrieved by an identifying number, such as, but not limited to, the Routing ID (RID) of the organization, the Entity Identification Number (EIN), or Partner ID or Data Universal Numbering System (DUNS) of the entity; or the name, SSN, or the TIN of an individual associated with the institution or organization.</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained for 30 years after the final action is completed in accordance with the Department’s records retention and disposition schedule 074 FSA Guaranty Agency, Financial &amp; Education Institution Eligibility, Compliance, Monitoring and Oversight Records.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>In accordance with the Federal Information Security Management Act of 2002, as amended by the Federal Information Security Modernization Act of 2014 (FISMA), every Federal Student Aid information system must receive a signed Authority to Operate (ATO) from a designated official.  The ATO process includes a rigorous assessment of security controls, a plan of action and milestones to remediate any identified deficiencies, and a continuous monitoring program.</p>
<p>The IPM system controls include a combination of FISMA management, operational, and technical controls, including the following control families:  access control, awareness and training, audit and accountability, security assessment and authorization, configuration management, contingency planning, identification and authentication, incident response, maintenance, media protection, physical and environmental protection, planning, personnel security, privacy, risk assessment, system and services acquisition, system and communications protection, system and information integrity, and program management.</p>
<p>All physical access to the Department’s Virtual Data Center system 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 staff of the Department, schools, guarantors, authorized third-party servicer employees, lenders, 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.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>You may gain access to any records in the IPM system that pertain to you.  This is done by contacting the system manager and following the procedures for notification listed above.  You must meet the requirements of 34 CFR 5b.5.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>You may contest the content of a record in the IPM system 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 IPM system that you wish to have changed, state whether you wish to have the record amended, corrected, or rescinded, and explain the reasons why you wish to have the record changed.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7.</p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>If you wish to determine whether a record exists regarding you in the IPM system, provide the system manager with your name, date of birth, and SSN.  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.</p>
<p> DISCLOSURE TO CONSUMER REPORTING AGENCIES:</p>
<p> Disclosures pursuant to 5 U.S.C. 552a(b)(12) (as set forth in 31 U.S.C. 3711(e)):  Disclosures may be made from this system to "consumer reporting agencies," as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Improvement Act (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="history"><xhtmlContent>
<p>Pursuant to the requirements of OMB Circular No. A-108, the last full Federal Register publication of the PEPS system of records (18-11-09), which this system of records rescinds and replaces, was published in the Federal Register on June 4, 1999 (64 FR 30106, 30171-30173), and amended on December 27, 1999 (64 FR 72384, 72405).</p></xhtmlContent></subsection></section>


    <section id="ed18-12-01" toc="yes">
<systemNumber>18-12-01</systemNumber>
<subsection type="systemName">Title VI Foreign Language and Area Studies Fellowships (FLAS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p><p>AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Graduate Students, who have been nominated for FLAS fellowships by grantee institutions of
higher education.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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-evaluation, and a brief description and
evaluation of the study program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Higher Education Act of 1965, as amended, Part A, Title VI, Section 602(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>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:
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hardcopy files are retrieved by individual names and educational institution.  Electronic
files can be accessed through all data elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact the system manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contact the system managers.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the individual and grantee institutions on approved forms in
hardcopy or electronic format.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-02" toc="yes">
<systemNumber>18-12-02</systemNumber>
<subsection type="systemName">Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad
(FRA), Seminars Abroad (SA), Fellows.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p><p>AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA  22046.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Mutual Educational and Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451-
2458).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system is used for the following purposes:  (1) To
determine the 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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hardcopy files are retrieved by individual names and educational institution.  Electronic
files can be accessed through all data elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-03" toc="yes">
<systemNumber>18-12-03</systemNumber>
<subsection type="systemName">Jacob K. Javits Fellowship System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who apply for fellowships under the Jacob K.
Javits Fellowship Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained principally from individual applicants, references, and schools
attended by the applicant.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-04" toc="yes">
<systemNumber>18-12-04</systemNumber>
<subsection type="systemName">Title VI International Research and Studies Program (IRS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p><p>AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA  22046.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individual researchers who have been selected to be
recipients of International Research and Studies (IRS) awards.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Higher Education Act of 1965, as amended, Part A, Title VI, section 605(a).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5)  Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hard copy files are retrieved by individual names and educational institution.  Electronic
files can be accessed through all data elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, International Education and Graduate Programs Service, Office of Postsecondary
Education, US Department of Education, 400 Maryland Avenue, SW., Washington, DC  20202-5247.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the individuals and institutions on approved application forms
and from field readers.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-05" toc="yes">
<systemNumber>18-12-05</systemNumber>
<subsection type="systemName">Graduate Assistance in Areas of National Need (GAANN) Program Assessment System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Department of Education, Office of Postsecondary Education, Program Monitoring and
Information Technology Service, 1990 K St., NW, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who apply for fellowships and receive admission
to a GAANN project.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains information including the individual's name, Social Security number,
gender, ethnicity, field of study, source of student's GAANN Fellowship, amount of stipend per year
of student's GAANN Fellowship, amount of institutional contribution to tuition per year of student's
GAANN Fellowship, amount of support the student received after the GAANN Fellowship, year and term
the student entered institution's graduate program, current education status, current employment
status, how the fellow's financial need was determined, whether Title IV financial need analysis was
used, whether amount of student's financial need is known, cost of education, and financial need.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>20 U.S.C. 1135C (1993).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is used to provide performance data about the GAANN Fellowship Program for the
Department's use in responding to the requirements of the GPRA. In addition, information obtained
from the system of records may also be used for the general purpose of administering the GAANN
Fellowship Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (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 Privacy Act, under a computer matching agreement.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552 (a)(b)(12).The Department may disclose to a consumer
reporting agency information regarding any Federal 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) after completing 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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Information in this system is maintained in an electronic centralized database on a computer
server. Information extracted from the system will be maintained on access-controlled personal
computers and in physical file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system can be retrieved by name and Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records on successful applications are destroyed five years after final payment from the
Department to the institution, or after completion of audit-related activities or litigation,
whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Program Monitoring and Information Technology Service, Office of Postsecondary
Education, U.S. Department of Education, 1990 K St., NW, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
you should provide the system manager with your name, Social Security number or nine-digit
identification number. Your request must meet the requirement of the Department's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record in this system of records, you should contact the
system manager and provide information as described in the Notification Procedures. Requests for
access to a record should reasonably specify the particular record content being sought. Your
request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest information contained in a record in this system of records, you
should contact the system manager. Your request 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 you are seeking to amend; (3) whether you are seeking a deletion, an addition, or
a substitution; and (4) the reason(s) for the requested change(s). You should include any
appropriate documentation supporting the requested change(s). Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from the institutions the fellows attend.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="ed18-12-06" toc="yes">
<systemNumber>18-12-06</systemNumber>
<subsection type="systemName">Teacher Quality Recruitment Scholarship System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Teacher Quality Enhancement Grants Program, Office of Policy, Planning, and Innovation,
Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., room 6151,
Washington, DC 20006-8525.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who have been awarded scholarships with funds
provided under Title II of the Higher Education Act by States or partnerships to prepare to become
kindergarten through twelfth-grade teachers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of information about scholarship recipients, including the amount and
period of their scholarships and the institution that awarded them; information about former
recipients, including data about the amount and percentage of time the teacher spends teaching;
information about the awarding entity; information about the terms of the scholarship; the amount of
the scholarship and information about the employing school and the school district, including a
certification by the employing school or school district that it meets the regulatory definition of
high-need.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title II, sec. 204(e) of the Higher Education Act of 1965, as amended by the 1998 Higher
Education Amendments, and 31 U.S.C. Chapter 37.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system will be used to ensure that recipients of scholarships
provided with funds under Title II of the Higher Education Act who complete teacher education
programs subsequently (1) teach in a high-need school of a high-need local educational agency for a
period of time equivalent to the period for which the recipient received scholarship assistance; or
(2) repay the amount of the scholarship. The information, therefore, is a tracking mechanism that
will be used to carry out the statutory requirement found in Title II, Section 204(e). In addition
the system information will be used to determine the success of the Teacher Recruitment component of
the Teacher Quality Enhancement Grant Programs in preparing new teachers for employment in high-need
schools and school districts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department of Education (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.
</p><p>(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.
</p><p>(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.
</p><p>(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Employment, Benefit, and Contracting Disclosure.
</p><p>(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 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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy, filed in standard filing cabinets; on access
controlled personal computers; and on personal computer diskettes that are stored in filing
cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hardcopy files are retrieved by individual names, institutions of higher education and
employing school districts. Electronic files may be accessed by using an individual's social
security number, individual's name, name of institution of higher education, or name of employing
school district.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the program location where this system of records is maintained is
controlled and monitored by security personnel. The computers used by program staff to store any
system data offer a high degree of resistance to tampering and circumvention. This security system
limits data access to program staff and any contract staff that may be hired in the future. The
system is available on a "need to know"  basis. Controls are in place on individual's ability to
access and alter records within the system. All users of this system are given unique user IDs with
personal identifiers. All interactions by individual users with the system are recorded.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposition: Destroy five years after audit or ED's determination either that the
scholarship recipient fulfills the service obligation or the indebtedness has been repaid or
forgiven, whichever is later. (ED/RDS, Part 10, Item 3a)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Teacher Quality Enhancement Grant Programs, Office of Postsecondary Education,
1990 K Street, NW., room 6150, Washington, DC 20006-8525.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine if you have a record in this system, provide the system manager
with your name, date of birth, and social security number. Your request must meet the regulatory
requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in this system, provide the system manager with
your name, date of birth, and social security number. Your request must meet the regulatory
requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record, contact the system manager. Your request
must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from individual scholarship recipients, institutions of higher
education attended by the recipients, and school districts that have employed the recipients.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-07" toc="yes">
<systemNumber>18-12-07</systemNumber>
<subsection type="systemName">TRIO Programs Annual Performance Report (APR) System (TRIO APR).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Federal TRIO Programs, Office of Postsecondary Education, U.S. Department of Education,
1990 Street, NW., suite 7000, Washington, DC 20006-8510.
</p><p>(2) Computer Business Methods, Inc. (CBMI), 2750 Prosperity Avenue, suite 100, Fairfax, VA 22031
-4312. CBMI annually collects records from grantees, prepares databases of records by program,
and transfers the data to the analysis contractor.
</p><p>(3) National Opinion Research Center (NORC) at the University of Chicago, 1155 East 60th Street,
Chicago, IL 60637-2745. NORC maintains the system of records for data analysis.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The TRIO APR system contains records on participants served by the following Federal TRIO
Programs: Upward Bound (which includes regular Upward Bound, Upward Bound Math-Science, and Veterans
Upward Bound); Student Support Services; and the Ronald E. McNair Postbaccalaureate Achievement
programs. Although the TRIO APR system contains some information about institutions, agencies, and
organizations that receive grants under these programs, this system of records notice pertains only
to individuals protected under the Privacy Act of 1974, as amended.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The TRIO APR system contains records regarding: (1) Participant identifier information
including SSN, name, and date of birth; (2) participant eligibility for services and demographic
information such as gender, race, ethnicity, and secondary or postsecondary school attended; and (3)
academic information such as grade level, grade point average, and high school (postsecondary or
graduate school) graduation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV, Part A, Subpart 2 of the Higher Education Act of 1965, as amended (20 U.S.C. 1070
<i>et seq.</i>) and the Government Performance and Results Act of 1993 (Pub. L. 103-62).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following
purposes:
</p><p>(1) To monitor each funded project's compliance with the program requirements;
</p><p>(2) To assess the progress of each funded project (grantee) in meeting its goals and objectives
and to award "prior experience" points for meeting approved objectives;
</p><p>(3) To determine program outcomes and areas for program improvement in response to the
requirements of the Government Performance and Results Act of 1993 (GPRA) and the OMB's Program
Assessment Rating Tool (PART) process; and
</p><p>(4) To produce program and grantee-level data for annual reporting and program profile reports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 purposes for which
the record was collected. The Department may make these disclosures on a case-by-case basis, or, if
the Department has complied with the computer matching requirements of the Computer Matching and
Privacy Protection Act of 1988, as amended, under a computer matching agreement.
</p><p>(1) <i>Program Disclosures</i>. The Department may disclose records to an institution of higher
education, agency, or organization responsible for entering the information into the TRIO APR system
in order to obtain clarification or additional information about the data submitted.
</p><p>(2) <i>Contract Disclosure</i>. If the Department contracts with an entity to perform any
function that requires disclosing records to the contractor's employees, 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.
</p><p>(3) <i>Research Disclosure</i>. The Department may disclose records from this system 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 and purposes of this system of records. The official may disclose information
from this system of records to that researcher solely for the purpose of carrying out research
related to the functions or purposes of this system of records. The researcher will be required to
maintain Privacy Act safeguards with respect to the disclosed records.
</p><p>(4) <i>Disclosure for Use by Other Law Enforcement Agencies</i>. 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(5) <i>Enforcement Disclosure</i>. 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 statutory, regulatory, or legally binding requirement, 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.
</p><p>(6) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure</i>.
</p><p>(a) <i>Introduction</i>. 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ</i>. If the Department determines that disclosure of certain records to
DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a
routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure</i>. If the Department determines that it is relevant and
necessary to the litigation or ADR to disclose certain records to an adjudicative body before which
the Department is authorized to appear, to an individual, or to an entity designated by the
Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses</i>. If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.
</p><p>(7) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure</i>. The Department
may disclose records to DOJ or the OMB if the Department concludes that disclosure would help in
determining whether particular records are required to be disclosed under the FOIA or the Privacy
Act.
</p><p>(8) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff 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 the inquiry.
</p><p>(9) <i>Disclosure in the Course of Responding to Breach of Data</i>. The Department may disclose
records to appropriate agencies, entities, and persons when (a) the Department suspects or confirms
that the security or confidentiality of information in the TRIO APR system has been compromised; (b)
the Department has determined that as a result of the suspected or confirmed compromise, there is a
risk of harm to economic or property interests, identity theft or fraud, or harm to the security or
integrity of the TRIO APR system or other systems or programs (whether maintained by the Department
or by another agency or entity) that rely upon the compromised information; and (c) the disclosure
made to such agencies, entities, and persons is reasonably necessary to assist in connection with
the Department's efforts to respond to the suspected or confirmed compromise and to prevent,
minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department's data collection contractor, CBMI, annually collects records from grantees
via a secure Web site and prepares databases of the records by program. CBMI transfers the data via
a secure File Transfer Protocol site to NORC that maintains the system of records and is responsible
for analyzing the data. Archival and analysis copies of the databases are maintained on NORC's
secure servers and in other electronic storage media. The data are submitted electronically and
stored electronically; paper records of the individual student data are not collected.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are indexed by the grant number(s) assigned to each project. The following data
elements are used for matching participant records with prior year's data and with other data
sources: SSN, first and last name, and date of birth. Electronic files on participants can be
accessed through these data elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel only. All physical access to the
Department's site and to the sites of the Department's contractors where the data is collected and
this system of records maintained is controlled and monitored by security personnel who check each
individual entering the buildings for his or her employee or visitor badge.
</p><p>The computer systems employed by the Department and by the Department's contractors offer a high
degree of resistance to tampering and circumvention. The data reside in secured facilities on
secured servers behind a Department-approved firewall system that continuously monitors for
intrusion and unauthorized access. Access to the data is permitted only for contractor staff who
support the data collection or data analysis and a small number of Department staff who have a need
for the data to perform their responsibilities. Contractor staff have appropriate security
clearances and also sign confidentiality and non-disclosure agreements to protect against
unauthorized disclosure of confidential information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention and disposal of records associated with the TRIO APR system is currently
unscheduled pending National Archives and Records Administration (NARA) approval of a records
retention schedule. Until a NARA-approved records schedule is in effect, no records will be
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Team Leader, Program Management and Development, Federal TRIO Programs, Office of
Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., room 7059, Washington, DC
20006-8510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 in 34 CFR
5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under, <i>System Manager and Address</i>. Requests should contain your
full name, address, and telephone number. Your request must meet the requirements of the regulations
in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system of records is obtained from institutions of higher
education and non-profit agencies and organizations that are recipient of grants under one or more
of the following Federal TRIO programs: Upward Bound (including Upward Bound Math-Science and
Veterans Upward Bound), Student Support Services, and Ronald E. McNair Postbaccalaureate
Achievement. The system of records will also include information obtained from data matching with
the Federal Student Aid Application File and the Recipient Financial Management System.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-12-08" toc="yes">
<systemNumber>18-12-08</systemNumber>

<subsection type="systemName">Erma Byrd Scholarship Program (EBSP).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., 6th
Floor, Washington, DC 20006-8510.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on students who apply for EBSP scholarships to pursue a course
of study that will lead to a career in industrial health and safety occupations, including mine
safety. To be eligible for EBSP scholarships, applicants must be United States citizens, nationals,
or permanent residents who are enrolled or planning to enroll in an accredited institution of higher
education in a degree program that will prepare them for a career in industrial health and safety
occupations, including mine safety. Individuals must be enrolled or planning to enroll in an
associate's degree program, or be within two years of completing a degree at the bachelor's or
graduate level.
</p><p>In selecting undergraduate applicants to receive an EBSP scholarship, the Department will give
priority first to students who are eligible to receive a Federal Pell Grant. The Federal Pell Grant
Program provides need-based grants to low-income undergraduate and certain postbaccalaureate
students to promote access to postsecondary education. In addition, the Department will evaluate
eligibility for the EBSP scholarships based on an applicant's course of study.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The EBSP system contains a variety of information relating to a student's application for,
and participation in, the EBSP. Information on an applicant in the system includes the student's
name, the student's Social Security number, the student's address, the student's phone number, the
student's e-mail address, the student's course of study, and the name of the institution of higher
education in which the student is enrolled or intends to enroll. The Department is collecting the
student's Social Security number in order to verify the Federal Pell Grant eligibility of EBSP
undergraduate applicants through the U.S. Department of Education's National Student Loan Data
System. If the applicant receives an EBSP scholarship, the system also includes information about
the amount and period of the student's scholarship, the student's agreement to the terms of the
scholarship, verification of the institution's agreement to disburse the scholarship, and
verification of the student's employment in a career related to industrial health and safety
occupations, including mine safety, for a period of at least one year, beginning no more than six
months after completion of the degree. The Department is also collecting the student's Social
Security number in order to facilitate conversion of the scholarship into a Federal Direct Loan
should the recipient fail to comply with the terms and conditions of the scholarship.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Division F, Title III of the Omnibus Appropriations Act, 2009 (Pub. L. 111-8) and the
Government Performance Results Act of 1993 (Pub. L. 103-62).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Department is establishing this system of records for the following purposes:
</p><p>(1) To determine the qualifications and eligibility of EBSP scholarship applicants, including the
determination of Pell eligibility (for undergraduates).
</p><p>(2) To ensure compliance with program requirements.
</p><p>(3) To demonstrate program effectiveness.
</p><p>(4) To ensure that an EBSP scholarship recipient fulfills the service obligation associated with
this program by obtaining employment in a career related to industrial health and safety
occupations, including mine safety, for at least one year after completion of the degree.
</p><p>(5) To ensure the repayment of the amount of the scholarship if the student is not employed in a
career related to industrial healthy and safety occupations, including mine safety, for at least one
year after completion of the degree.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 purposes for which
the record was collected. The Department may make these disclosures on a case-by-case basis, or, if
the Department has complied with the computer matching requirements of the Computer Matching and
Privacy Protection Act of 1988, as amended, under a computer matching agreement.
</p><p>(1) <i>Program Disclosures.</i> The Department may disclose records to an institution of higher
education to verify that the scholarship recipient is enrolled in an eligible program at that
institution and to facilitate the disbursement of scholarship funds under this program. In addition,
the Department may disclose records to the scholarship recipient's employer to verify that the
scholarship recipient is employed in a career position related to industrial health and safety,
including mine safety, for at least one year after completion of the degree.
</p><p>(2) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(3) <i>Enforcement Disclosure.</i> 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 statutory, regulatory, or legally binding requirement, 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.
</p><p>(4) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain records to
DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a
routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and
necessary to the litigation or ADR to disclose certain records to an adjudicative body before which
the Department is authorized to appear, to an individual, or to an entity designated by the
Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.
</p><p>(5) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to DOJ or OMB if the Department concludes that disclosure would help in
determining whether particular records are required to be disclosed under the FOIA or the Privacy
Act.
</p><p>(6) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any
function that requires disclosing records to the contractor's employees, 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.
</p><p>(7) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff 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 the inquiry.
</p><p>(8) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records to appropriate agencies, entities, and persons when: (a) The Department suspects or has
confirmed that the security or confidentiality of information in the EBSP system has been
compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or
harm to the security or integrity of the EBSP system or other systems or programs (whether
maintained by the Department or by another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>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 the preceding sentence in accordance with 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 in 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The hard copy records will be stored in locked filing cabinets, and the electronic copy
records will be maintained in a database on the Department's secure servers and in other electronic
storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved using an individual's name, Social Security number, or institution of
higher education in which the applicant is enrolled.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel only. All physical access to the
Department's site where the data is collected and this system of records is maintained is controlled
and monitored by security personnel who check each individual entering the buildings for his or her
employee or visitor badge.
</p><p>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 an individual user's ability to access and alter
records within the system. All users of this system of records are given a unique user
identification. The Department's Privacy Policy requires the enforcement of a complex password
policy. In addition, users are required to change their passwords at least every 60 to 90 days in
accordance with the Department's information technology standards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the Department's Records Disposition Schedules, part 10, Item 3a, records
will be destroyed five years after final payment to grantee, or after audit, whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Lauren Kennedy, Erma Byrd Scholarship Program Office, Office of Postsecondary Education,
U.S. Department of Education, 1990 K Street, NW., 6th Floor, Washington, DC 20006-8510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 in 34 CFR
5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>. Requests should
contain your full name, address, and telephone number. Your request must meet the requirements of
the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system of records is obtained from applicants, institutions
of higher education, and employers of scholarship recipients. In addition, information from the U.S.
Department of Education's National Student Loan Data System will be used to verify information
maintained in this system of records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-01" toc="yes">
<systemNumber>18-13-01</systemNumber>
<subsection type="systemName">National Center for Education Statistics Longitudinal Studies and the School and Staffing
Surveys.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on the following groups:
</p><p>(1)  High school seniors who participated in the National Longitudinal Study of the High School
Class of 1972;
</p><p>(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;
</p><p>(3)  Approximately 26,000 eighth grade students in 1,050 U.S. schools who participated in the
National Education Longitudinal Study of 1988;
</p><p>(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;
</p><p>(5)  Approximately 21,000 kindergartners, their parents, and 6,000 teachers who are participating
in the Early Childhood Longitudinal Study, Kindergarten Cohort in 1998;
</p><p>(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;
</p><p>(7)  Approximately 78,000 teachers, administrators, and librarians who participate in each
administration of the School and Staffing Surveys of NCES;
</p><p>(8)  Approximately 11,000 faculty and administrators who participated in the 1987-88
National Study of Postsecondary Faculty;
</p><p>(9)  Approximately 30,000 faculty, instructional staff, and administrators who participate in
subsequent administrations of the National Study of Postsecondary Faculty;
</p><p>(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;
</p><p>(11)  Approximately 5,000 U.S. students who will participate in an international Civics Education
Study;
</p><p>(12)  9,000 U.S. students who will participate in the Program of International Student
Assessment;
</p><p>(13)  8,000 U.S. adults who will participate in the International Life Skills Survey.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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 transcripts are appended to the records as well.
</p><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>20 U.S.C. 1221e-1.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The research files will be stored on computer tapes and diskettes.  The location files will
be kept on computer tapes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrievable by title of survey and name of person.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in the records comes form responses to survey instruments.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-13-01
</b></p><p>Additional System Locations
</p><p>U.S. Bureau of the Census, Federal Office Building 3, Washington, DC  20233.
</p><p>WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
</p><p>Research Triangle Institute, P.O. Box 12094, Research Triangle Park, North Carolina 27709.
</p><p>National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois 60637-2799.
</p><p>Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington, DC 20006.
</p><p>The Gallup Organization, One Church Street, Suite 900, Rockville, MD 20850.
</p><p>MPR Associates, 1995 University Avenue, Suite 225, Berkeley, California 94704.
</p><p>Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.
</p><p>Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400, Washington, DC 20007.
</p><p>Institute for Social Research, Survey Research Associates, University of Michigan, 426 Thompson,
Ann Arbor, MI  48106.
</p><p>School of Education, University of Michigan, 610 E. University, Ann Arbor, MI  48109.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-02" toc="yes">
<systemNumber>18-13-02</systemNumber>
<subsection type="systemName">National Center for Education Statistics Affidavits of Nondisclosure.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>See the Appendix to this system notice.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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, 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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the following information:
</p><p>(1)  The affidavit of nondisclosure that includes the individual's name, place of work (company,
agency, etc.), signature, and date signed; and
</p><p>(2)  the name of the project or survey in which the entity employing the individual was involved.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(3)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Information will be kept in file folders and on computer diskettes or computer tapes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records will be retrievable by name, date, and place of work of the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records will be kept in locked files.  The computer tapes and diskettes will be
accessible by authorized personnel through identification number and password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Statistician &amp; Individual Survey Project Officers, National Center for Education
Statistics, U.S. Department of Education, 555 New Jersey Avenue, NW., Washington, DC  20208-5574.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in the records comes from individuals who have signed the affidavits of
nondisclosure.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p><p><b>Appendix to 18-13-02
</b></p><p><i>Additional System Locations
</i></p><p>National Center for Education Statistics, U.S. Department of Education, 555 New Jersey
Avenue, NW., Washington, DC  20202-5574.
</p><p>U.S. Bureau of the Census, Federal Office Building 3, Washington, DC  20233.
</p><p>WESTAT, 1650 Research Boulevard, Rockville, Maryland  20850.
</p><p>Research Triangle Institute, P.O. Box 12094, Research Triangle Park, North Carolina  27709.
</p><p>National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois  60637-2799.
</p><p>Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington, DC  20006.
</p><p>The Gallup Organization, One Church Street, Suite 900, Rockville, MD  20850.
</p><p>MPR Associates, 1995 University Avenue, Suite 225, Berkeley, CA  94704.
</p><p>Abt Associates, 55 Wheeler Street, Cambridge, MA  02138.
</p><p>Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400, Washington, DC  20007.
</p><p>Institute for Social Research, Survey Research Associates, University of Michigan, 426 Thompson,
Ann Arbor, MI  48106.
</p><p>School of Education, University of Michigan, 610 E. University, Ann Arbor, MI 48109.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-03" toc="yes">
<systemNumber>18-13-03</systemNumber>
<subsection type="systemName">National Center for Education Statistics' National Assessment of Educational Progress.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>WESTAT, 1650 Research Boulevard, Rockville, MD  20850.
</p><p>Educational Testing Service, Rosedale Road, Princeton, NJ  08541.
</p><p>National Computer Systems, 2510 N. Dodge Street, Iowa City, IA  52245.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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)).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>20 U.S.C. 9010.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>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:
</p><p>(1)  Take the oath and sign an affidavit of nondisclosure required under 20 U.S.C. 9007;
</p><p>(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
</p><p>(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
</p><p>(4)  Work under an agreement in writing to:
</p><p>(i)  Use the information for statistical purposes only,
</p><p>(ii)  Maintain the data in accordance with applicable Federal laws,
</p><p>(iii)  Prohibit redisclosure in identifiable form, and
</p><p>(iv)  Permit NCES' periodic inspection to determine adherence to the contract or agreement.
</p><p>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:
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(5)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained on magnetic tape and computer disk media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by assessment year, subject area, age or grade at the school or
individual respondent level.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system comes from the data collected from the subject individuals
and individual schools.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-06" toc="yes">
<systemNumber>18-13-06</systemNumber>
<subsection type="systemName">What Works Clearinghouse (WWC) Database.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This web-based system will maintain a national registry of educational interventions--
educational programs, products, and practices that are claimed to enhance important student
outcomes. In particular, the WWC will assess and report on the strength of research-based evidence
of the effectiveness of these educational programs.
</p><p>There are two categories of individuals covered by the system. First, the WWC will be collecting
identifying information from members of the public if the public voluntarily and anonymously
suggests studies, interventions, and topics for WWC review, and provides optional contact
information. The WWC will also collect information from the public if an individual voluntarily
subscribes to receive e-mail updates about new information on the WWC Web site.
</p><p>Second, evaluators--individuals and organizations--may use the Web site to voluntarily submit
contact information and information about their services and experience in evaluating educational
programs. The purpose of this information is to create a public listing to assist people in
identifying those evaluators who are potentially qualified to conduct rigorous studies of the
effectiveness of education programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For members of the public who suggest a study, intervention, or topic for WWC review, and
choose to provide contact information, the form will include name, title, organization, mailing
address, e-mail address, phone number, URL and comments. The individual will be able to choose
whether or not to submit any contact information at all, provide just a contact name and e-mail
address, or give more detailed contact information, including title, organization, mailing address,
phone number, URL, or comments.
</p><p>For members of the public who voluntarily subscribe to receive e-mail updates from the WWC Web
site, an automated system will collect and retain the e-mail addresses of subscribers.
</p><p>Finally, evaluators may use the Web site to voluntarily submit contact information--name, work
mailing and e-mail addresses, phone number--together with information about their services and
experience, if they would like this information to be included in the public-access, web-based
registry of evaluators.
</p><p>This notice does not cover records, including but not limited to letters, e-mails, and
facsimiles, sent by individuals to the Secretary, Deputy Secretary, Senior Officers, such as the
Director of IES, for whom the Department controls responses to these inquiries. Further, this notice
does not cover the official correspondence files of IES, specifically the hard copies of official
documents and electronic images of certain incoming and outgoing documents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Education Sciences Reform Act of 2002, Pub. L. 107-279 (2002), sections 172(a)(2) and
(3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is maintained to provide the WWC with the means to:
</p><p>1. Contact members of the public who suggest a study, intervention, or topic for review and who
choose voluntarily to provide optional contact information, if their suggestions need clarification.
</p><p>2. Send e-mail updates about new information on the WWC Web site to subscribers.
</p><p>3. Provide contact information for evaluators who wish to have their services, experience, and
contact information included in the public-access, web-based registry of evaluators.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement.
</p><p>1. Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the Department of Justice (DOJ) and OMB if the Department concludes that disclosure is desirable or
necessary in determining whether particular records are required to be disclosed under the FOIA.
</p><p>2. Disclosure to the 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.
</p><p>3. 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 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.
</p><p>4. Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the parties described in (a)(i) through (v) 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her official capacity if the DOJ has agreed or been
requested to provide or arrange for representation for the employee; or
</p><p>(iv) Any Department employee in his or her individual capacity if the Department has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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, 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.
</p><p>(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a
routine use to the adjudicative body, individual, or entity.
</p><p>(d) Parties, counsel, representatives and witnesses. If the Department determines that disclosure
of certain records to a party, counsel, representative or witness is relevant and necessary to the
litigation or ADR, the Department may disclose those records as a routine use to the party, counsel,
representative or witness.
</p><p>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.
</p><p>6. 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.
</p><p>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 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.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>The information in the tracking system will be stored on a server maintained by the WWC
subcontractor staff. Records generated by the system will be maintained electronically on the
server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The public will have access to the searchable, web-based registry of evaluators, containing
information voluntarily submitted by evaluators about their services and experience, as well as
contact information, after the evaluators have signed a letter giving their written permission for
this information to be used in the registry.
</p><p>The data are retrieved by searching by record number, type of suggestion, study author, title,
reference type, publisher, topic, type of intervention, and organization.
</p><p>The data for the evaluator registry will be searchable on the WWC public-access Web site by
topic, type of research, geographic area, study title, intervention title, years of experience, and
contact information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to this system will be restricted to authorized WWC contractors, subcontractors,
consultants, and ED employees on a need-to-know basis. Authorized users of this system will enter a
unique user ID as well as a password to enter the system. They will be required to change their
passwords periodically, and they will not be allowed to repeat old passwords. Any individual who
attempts to log in to the system three times and fails will be locked out of the system. Access
after that time requires intervention by the system manager.
</p><p>The computer system employed by the WWC offers a high degree of resistance to tampering and
circumvention. This security system limits data access to authorized WWC staff and controls
individual users' ability to access and alter records within the system.
</p><p>All file servers, routers/hubs, tape back-up stations, and communications servers are located in
secure rooms at the subcontractor's Headquarters site, and only authorized personnel have access via
key or magnetic card.
</p><p>All files will be password-protected and back-up files will be secured in a locked area. Access
to the data files and software on the WWC site are controlled through the Microsoft NT Server
operating system by providing all staff with user accounts (user IDs). All secure user accounts will
require passwords that must be changed every six months. Passwords for ongoing data processing will
be changed frequently, and users will be blocked from gaining access to certain types of data and
programs based on their IDs and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with the National Archives and Records
Administration (NARA) General Records Schedule 20, Item 1.c which provides disposal authorization
for electronic files and hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer needed for administrative, legal,
audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Contracting Officer's Representative (COR), What Works Clearinghouse, U.S. Department of
Education, Institute of Education Sciences, 555 New Jersey Avenue, NW., suite 504, Washington, DC
20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists about you in the system of records, provide
the system manager with your name or e-mail address. Your request for notification must also meet
the requirements of the regulations in 34 CFR 5b.5, including proof of identity. You may also
present your request in person or make your request in writing to the system manager at the above
address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Request to access a record also must reasonably specify the record contents sought and
otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record in this system of records, you must contact
the system manager at the above address and follow the steps outlined in the NOTIFICATION PROCEDURE
section. Requests to amend a record must also reasonably identify the record, specify the
information being contested, provide in writing your reasons for requesting the change, and
otherwise meet the regulations in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from members of the public and evaluators who
voluntarily provide information. The primary way for the public and evaluators to contact the WWC is
electronically through the WWC Web site, although they also could contact the WWC by telephone, by
mail, or in person.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-07" toc="yes">
<systemNumber>18-13-07</systemNumber>
<subsection type="systemName">DC Choice Program Evaluation.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Westat, 1650 Research Boulevard, Rockville, MD, 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>There are two categories of individuals who are covered by this system. The system will
contain records on DC Choice Program applicants (students), their parents and other adults living
with these students. The system will also contain information on all DCPS non-applicant students
from K thru 12.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of the names, addresses, telephone numbers, social security numbers,
demographic information--such as race/ethnicity, age, marital status, disability, language
spoken in the home, educational background, and income--and the results of academic
assessments. The system will collect information about parents' satisfaction with their children's
current schools and the reasons for seeking a new school. The system will also collect scores on
academic achievement examinations for applicants who may not have participated in Spring, 2004 DCPS
testing. In addition, the system will also contain academic achievement data and other student
performance measures, including attendance and disciplinary records, from existing DCPS school
records for all students in grades K thru 12.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>DC School Choice Incentive Act of 2003, Pub. L. 108-199, Division C, Title III,
Section 309(a)(3) and (4).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This statute is intended to provide low-income parents residing in the District of Columbia
(the District) with expanded opportunities for enrolling their children in higher-performing private
schools in the District. The information in this system will be used to fulfill the requirements of
the DC School Choice Incentive Act of 2003 (D.C. Choice Act), especially section 309, which calls
for a detailed evaluation of the program. In particular, section 309 directs the Department to
evaluate the performance of students participating in the program by comparing them with the
students in the same grade at DCPS as well as students in DCPS who applied for the program but were
not selected.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>ED may disclose information contained in a record in this system of records under the
routine use listed in this system without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. Any disclosure of individually
identifiable information from a record in this system must also comply with the requirements of: (A)
Section 183 of the Education Sciences Reform Act of 2002 (ESRA), Pub. L. 107-279, providing
for confidentiality standards that apply to all collections, reporting and publication of data by
the Institute of Education Sciences (IES); (B) if applicable, Title V of the E-Government Act of
2002 (E-Gov Act), Pub. L. 107-347, governing any pledges of confidentiality given to the
public for statistical purposes; and (C) Section 309(a)(5) of the D.C. Choice Act, prohibiting the
disclosure of personally identifiable information to the public regarding the results of the
measurements used for the evaluations.
</p><p>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 and to agree in writing to comply with all
other provisions of law that affect the disclosure of the information, including section 183 of the
ESRA, Title V of the E-Gov Act, and section 309(a)(5) of the D.C. Choice Act.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>The contractor will maintain data for this system on its computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Individual access to the offices of Department contractor, Westat, that maintains the system
of records is controlled and monitored by security personnel. The contractor has established a set
of procedures to ensure confidentiality of data. The system ensures that information identifying
individuals is in files physically separated from other research data. Westat will maintain security
of the complete set of all master data files and documentation. Access to individually identifiable
data will be strictly controlled. All data will be kept in locked file cabinets during nonworking
hours, and work on hardcopy data will take place in a single room, except for data entry.
</p><p>Physical security of electronic data will also be maintained. Security features that protect
project data include password-protected accounts that authorize users to use the Westat system but
to access only specific network directories and network software; user rights and directory and file
attributes that limit those who can use particular directories and files and determine how they can
use them; e-mail passwords that authorize the user to access mail services and additional security
features that the network administrator establishes for projects as needed.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with ED's record disposition schedules
(ED/RDS). In particular, ED will follow the schedules outlined in Part 3 (Research Projects and
Management Study Records) and Part 14 (Electronic Records).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Evaluation Division, National Center for Education Evaluation and Regional
Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue,
NW., room 502, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of the regulations in 34 CFR
5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof
of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>There are three principal record source categories in this system. Information will be
obtained from applications submitted by potential scholarship winners. Information will also be
obtained directly from applicants who have to take academic assessment examinations administered
directly by the contractor. Finally, information will be gathered from the education records of DCPS
students in grades K thru 12.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-09" toc="yes">
<systemNumber>18-13-09</systemNumber>

<subsection type="systemName">Even Start Classroom Literacy Interventions and Outcomes (CLIO) Study.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
502D, Washington, DC 20208.
</p><p>Westat, 1650 Research Boulevard, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on adults and children in the William F. Goodling Even Start
Family Literacy Programs (Even Start) program who participate in the CLIO study, on project staff
from Even Start grantees participating in the CLIO study, and on the kindergarten and first grade
teachers of CLIO children.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of: (1) The names and addresses of adults and children in the Even
Start program who participate in the CLIO study; (2) demographic information such as race/ethnicity,
age, and educational background for adults and children participating in the Even Start CLIO Study,
for Even Start staff in programs participating in the CLIO study, and for the kindergarten and first
grade teachers of CLIO children; (3) responses of adults participating in the Even Start CLIO study
and project staff and teachers to interview questions; and (4) and the results of literacy
assessments on adults and children participating in the Even Start CLIO study.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation being conducted is authorized under: (1) Sections 171(b) and 173 of the
Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563)); and (2) sections 1232(b)
(1)(A) and 1239 of the ESEA, as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C.
6381a(b)(1)(A) and 638lh).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purposes: (1) To fulfill the
requirements of the Even Start legislation for an evaluation of Even Start programs; and (2) To
provide information on the effectiveness of specific family literacy interventions in those programs
for use in improving the Even Start program. Routine Uses Of Records Maintained In The System,
Including Categories Of Users And The Purpose Of Such Uses:
</p><p>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. Any disclosure of
individually identifiable information from a record in this system must also comply with the
requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards
that apply to all collections, reporting and publication of data by the Institute of Education
Sciences.
</p><p><i>Contract Disclosure.</i> 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 must 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor maintains data for this
system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site, and the site of the Department's contractor
where this system of records is maintained, is controlled and monitored by security personnel. The
computer system employed by the Department offers a high degree of resistance to tampering and
circumvention. This computer 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. The contractor, Westat, has established a set of procedures to ensure confidentiality of
data. The system ensures that information identifying individuals is in files physically separated
from other research data. Westat will maintain security of the complete set of all master data files
and documentation. Access to individually identifiable data will be strictly controlled. All data
will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take
place in a single room, except for data entry. Physical security of electronic data will also be
maintained. Security features that protect project data include: password-protected accounts that
authorize users to use the Westat system but to access only specific network directories and network
software; user rights and directory and file attributes that limit those who can use particular
directories and files and determine how they can use them; e-mail passwords that authorize the user
to access mail services; and additional security features that the network administrator establishes
for projects as needed. The contractor employees who maintain (collect, maintain, use, or
disseminate) data in this system must comply with the requirements of the confidentiality standards
in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department of Education's
Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules
outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records)
of ED/RDS.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue, NW., Room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 regulations at 34 CFR 5b.7,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from interviews with Even Start CLIO study participants, staff, and
kindergarten and first grade teachers of CLIO children and direct assessments of Even Start CLIO
study participants. Even Start programs participating in CLIO also provide information to the CLIO
study on who is participating in the program at each data collection point and their attendance in
the program's services.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-12" toc="yes">
<systemNumber>18-13-12</systemNumber>
<subsection type="systemName">Evaluation of the Impact of Supplemental Literacy Interventions in Freshman Academies (The
Adolescent Literacy Project).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room
502D, Washington, DC 20208.
</p><p>(2) MDRC, 16 East 34th Street, New York, NY 10016.
</p><p>(3) American Institutes for Research, 1000 Thomas Jefferson Street, NW., Washington, DC 20007.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on adolescents, teachers, and project staff participating in
the literacy interventions in the Adolescent Literacy Project. The goal of this study is to
establish and evaluate the effects of two supplemental literacy programs for students who enter
ninth grade with reading skills well below grade level. A distinctive aspect of this project is that
the schools mounting the literacy programs will be ones that already operate Smaller Learning
Communities (SLCs) that address the transition freshman students are making into high school,
sometimes referred to as "Freshman Academies."  Freshman Academies should provide a more supportive
environment within which the supplemental literacy interventions can be implemented and sustained
for this study.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of information about two cohorts of approximately 3,200 high school
freshmen each, one in the 2005-2006 school year and the other in the 2006-2007 school
year, in SLC in eight to twelve school districts yet to be determined. Half of these students will
be participants in supplemental literacy program, and half will be in a control group. The system
will include these students' names, addresses, demographic information such as race/ethnicity, age,
gender, and educational background, their results on literacy assessments, some of their school
records data such as attendance, state test results, course performance, and classes taken, and
their attitude toward reading and their reading and writing activities during the school year. The
system will also include responses to survey and interview questions from teachers of these
students, and possibly other school staff working with the literacy classes. These surveys and
interviews will request information about the teachers' backgrounds, professional experience, and
training, as well as their observations and impressions of the supplemental literacy interventions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation being conducted is authorized under sections 171(b) and 173 of the Education
Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). The SLC program is authorized under
Title V, Part D, Subpart 4 of the Elementary and Secondary Education Act of 1965 (ESEA) (20 U.S.C.
7249), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purpose: To study promising
organizational and instructional strategies that will be used in the SLC program, as authorized by
the ESEA, as amended. In particular, this system is necessary to provide information for analyses of
the effectiveness of specific literacy interventions for ninth graders that will be used in SLCs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. Any disclosure of individually
identifiable information from a record in this system must also comply with the requirements of
section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all
collections, reporting and publication of data by IES.
</p><p>(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the U.S. 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.
</p><p>(2) 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.
</p><p>(3) 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor and subcontractor maintain
data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a number assigned to each individual that is cross
referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractor, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor, MDRC, and its subcontractor, AIR, have established
similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure
that information identifying individuals is in files physically separated from other research data.
They will maintain security of the complete set of all master data files and documentation. Access
to individually identifiable data will be strictly controlled. At each site all data will be kept in
locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single
room, except for data entry. Physical security of electronic data will also be maintained. Security
features that protect project data include password-protected accounts that authorize users to use
the MDRC or AIR system but to access only specific network directories and network software; user
rights and directory and file attributes that limit those who can use particular directories and
files and determine how they can use them; e-mail passwords that authorize the user to access mail
services and additional security features that the network administrators establish for projects as
needed. The contractor and subcontractor employees who "maintain"  (collect, maintain, use, or
disseminate) data in this system shall comply with the requirements of the confidentiality standards
in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules, Part 3, Items 2b and 5a.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue, NW., room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system consists of information about two cohorts of approximately 3,200 high school
freshmen each in SLCs in eight to twelve school districts yet to be determined. The system will
include information taken directly from the students. It will also include information from the
students' education records, such as attendance, State test results, course performance, and classes
taken. The system will also include responses to survey and interview questions from teachers of
these students, and possibly other school staff working with the literacy classes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-15" toc="yes">
<systemNumber>18-13-15</systemNumber>
<subsection type="systemName">Impact Evaluation of a School-based Violence Prevention Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
502D, Washington, DC 20208-0001.
</p><p>(2) RTI International, 3040 Cornwallis Road, Research Triangle Park, NC 12194.
</p><p>(3) Tanglewood Research, Inc., 7017 Albert Pick Road, Suite D, Greensboro, NC 27409.
</p><p>(4) Pacific Institute for Research and Evaluation (PIRE), 1516 Franklin Street, Chapel Hill, NC
27514.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on students, school teachers, and other school staff members
who are participating in the Impact Evaluation of a School-based Violence Prevention Program. The
purpose of the impact evaluation is to determine the effectiveness of a violence prevention program
for middle schools using a rigorous research design. Currently, there is lack of rigorous research
concerning school-based violence prevention in middle schools. Through an open competition with
advisement from a panel of experts in the field of violence prevention, the Department's contractor,
RTI, selected two violence prevention interventions and combined them into a single program for the
purpose of this evaluation. The program has the following two components: (1) A curriculum-based
model to facilitate students' social competency, problem solving, and self-control skills, and (2) a
whole-school model that targets school practices and policies usually through classroom management
or teaching strategies, or through systemic reorganization and modification of school management,
disciplinary policies, and enforcement procedures. The RiPP intervention will provide the
curriculum-based component of the program and the Best Behavior intervention will provide the whole-
school component of the program.
</p><p>The study sample consists of approximately 20,000 students and approximately 3,000 teachers and
other school staff members drawn from approximately 40 middle schools over 3 years. Participation of
students, teachers, and other school staff members in the evaluation is voluntary.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system includes students' names, demographic information (such as date of birth and
race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported
victimization, and self-reported violent and delinquent behaviors. The system also will include
information from school records such as records of students' attendance, suspensions, expulsions,
and school policy violations. The system also will include teachers' and other staff members' self-
reported victimization at school as well as their experiences with training and technical assistance
related to their schools' violence prevention efforts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation being conducted is authorized under sections 4111(a)(2)(A) and 4122(a) of the
Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001
(ESEA) (20 U.S.C. 7111(a)(2)(A) and 7132(a)), which limits the amount of funds available for program
evaluation to $2,000,000 during each fiscal year. Implementation of the violence prevention program
being evaluated is authorized under section 4121(a)(2) of the ESEA (20 U.S.C. 7131(a)(2)). The
evaluation is also authorized under sections 171(b) and 173 of the Education Sciences Reform Act of
2002 (ESRA) (20 U.S.C. 9561(b) and 9563).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system will be used for the following purposes: (1) To support an
impact evaluation of a violence prevention program for middle schools; and (2) to provide
information for improvement of programs within the Department's Office of Safe and Drug-free
Schools.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement. Any disclosure of individually
identifiable information from a record in this system must also comply with the requirements of
section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all
collections, reporting and publication of data by the Institute of Education Sciences (IES).
</p><p><i>Contract Disclosure.</i> 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor and subcontractors
maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a number assigned to each student, each teacher or
other school staff member that is cross-referenced by the individual's name on a separate list. A
list of names of the students whose parents have consented to their participation in the impact
evaluation, as well as a list of names of participating teachers and other school staff members will
be entered into a Microsoft Access database for purposes of tracking over the three years of the
study.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site, and the site of the Department's contractor
and subcontractors where this system of records is maintained, is controlled and monitored by
security personnel. The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This computer system permits data access to Department
and contract staff only on a "need to know"  basis, and controls individual users' ability to access
and alter records within the system.
</p><p>The Department's contractor, RTI, and its subcontractors, Tanglewood and PIRE, have established a
set of procedures to ensure confidentiality of data. The systems of RTI, Tanglewood, and PIRE ensure
that information identifying individuals is in files physically separated from other research data.
RTI and its subcontractors will maintain security of the complete set of all master data files and
documentation. Access to individually identifiable data will be strictly controlled. All data will
be kept in locked file cabinets during nonworking hours and work on hardcopy data will take place in
a single room except for data entry. Physical security of electronic data also will be maintained.
Security features that protect project data include: Password-protected accounts that authorize
users to use the system of records but to access only specific network directories and network
software; user rights and directory and file attributes that limit those who can use particular
directories and files and determine how they can use them; e-mail passwords that authorize the user
to access mail services; and additional security features that the network administrator establishes
for projects as needed. The contractor and subcontractor employees who maintain (collect, maintain,
use, or disseminate) data in this system must comply with the requirements of the confidentiality
standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part 14
(Electronic Records).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Ricky Takai, Associate Commissioner, Evaluation Division, National Center for Education
Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education,
555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 regulations in 34 CFR 5b.7,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system includes students' names, demographic information (such as date of birth and
race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported
victimization, and self-reported violent and delinquent behaviors. The system also will include
information from school records such as records of students' attendance, suspensions, expulsions,
and school policy violations. The system also will include teachers' and other school staff members'
self-reported victimization at school as well as their experiences with training and technical
assistance related to the violence prevention program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-18" toc="yes">
<systemNumber>18-13-18</systemNumber>
<subsection type="systemName">Evaluation of Conversion Magnet Schools.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
502D, Washington, DC 20208.
</p><p>(2) American Institutes for Research, 1070 Arastradero Road, Suite 200, Palo Alto, CA 94304.
</p><p>(3) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5085.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on elementary school students attending an elementary school in
school districts that are recipients of Magnet Schools Assistance Program (MSAP) grants in 2004
and/or 2007. The system will contain information about students who attend approximately (i) 50
conversion magnet schools and (ii) 100 elementary schools that are not magnet schools that will
serve as comparison elementary schools for the purposes of this study. The total number of
elementary school students included in this system of records will be approximately 15,000 per year
for the years 2004-2005 through 2009-2010 and approximately 7,500 per year for the years
2001-2002 through 2003-2004. The 50 magnet schools in the study are drawn from school
districts that were awarded MSAP grants by the U.S. Department of Education's Office of Innovation
and Improvement in 2004 and/or 2007. For each conversion magnet school and its comparison schools,
data will be collected for the three years before or for at least the three years after the
conversion date.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include information about the elementary school students
participating in the evaluation including student demographic information (such as race/ethnicity,
gender, age, and language status); attendance zone; grade level; and annual English language arts
(ELA) and mathematics test scores.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The MSAP, the program being evaluated, is authorized under the Elementary and Secondary
Education Act of 1965, as amended, Title V, Part C; 20 U.S.C. 7231-7231j. Sections 5301-
5311 of the No Child Left Behind Act of 2001 (NCLB) most recently amended this program. Section 5310
of the NCLB statute authorizes the Secretary of Education to use MSAP monies to evaluate the
program. The evaluation being conducted is authorized under sections 171(b) and 173 of the Education
Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The goal of this study is to assess the relationship between magnet school conversion and
student outcomes at the elementary school level. In particular, this system is necessary to provide
information about whether and how students' educational achievement and minority group isolation
change when elementary schools convert to magnet schools.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. Any disclosure of individually
identifiable information from a record in this system must also comply with the requirements of
section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all
collections, reporting and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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 must 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>The Department maintains records on CD-ROM, and the contractor and subcontractor
maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a number assigned to each individual that is cross
referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractor, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractor will establish similar sets of
procedures at their sites to ensure confidentiality of data. Their systems are required to ensure
that information identifying individuals is in files physically separated from other research data.
The contractor and subcontractor will maintain security of the complete set of all master data files
and documentation. Access to individually identifiable data will be strictly controlled. At each
site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy
data will take place in a single room, except for data entry. Physical security of electronic data
will also be maintained. Security features that protect project data include: password-protected
accounts that authorize users to use the contractor's and subcontractor's systems but to access only
specific network directories and network software; user rights and directory and file attributes
that limit those who can use particular directories and files and determine how they can use them;
and additional security features that the network administrators will establish for projects as
needed. The contractor and subcontractor employees who "maintain"  (collect, maintain, use, or
disseminate) data in this system shall comply with the requirements of the confidentiality standards
in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (Section Ed/RDS, Part 3, Item 2b and Part 3, Item 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Evaluation Division, National Center for Education Evaluation and Regional
Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue,
NW., Room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system will contain records that are obtained from (i) 50 conversion magnet schools and
(ii) 100 elementary schools that are not magnet schools that will serve as comparison elementary
schools for the purposes of this study. These data, including students' annual English language arts
and mathematics test scores, will be collected from school district databases.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-19" toc="yes">
<systemNumber>18-13-19</systemNumber>
<subsection type="systemName">Adult English as a Second Language (ESL) Literacy Impact Study.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW.,
room 502D, Washington, DC 20208-0001.
</p><p>(2) American Institutes for Research, 1000 Thomas Jefferson Street, Washington, DC 20007-
3839.
</p><p>(3) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5012.
</p><p>(4) Mathematica Policy Associates, 600 Alexander Park, Princeton, NJ 08540-6346.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on adult ESL students and teachers who are participating in an
evaluation of the effectiveness of a literacy workbook and teacher training in improving the English
reading and speaking skills of adult ESL learners who have low levels of literacy in their native
language. Teachers and adult ESL learners at recruited sites will volunteer to participate in the
study.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system will contain information about 40 adult ESL teachers and two cohorts of
approximately 900 adult ESL learners per cohort. The system of records will include information
about the adult learners participating in the evaluation, including the learners' names; addresses;
demographic information such as race/ethnicity, gender, age, educational background; and scores on
literacy assessments. The system of records will also include information about the teachers
participating in the evaluation, including the teachers' names; demographic information such as
race/ethnicity, gender, educational background; and teaching experience.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation being conducted is authorized under section 243 of the Adult Education and
Family Literacy Act (20 U.S.C. 9253), as well as sections 171(b) and 173 of the Education Sciences
Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purpose: To study the effectiveness
of a literacy workbook and teacher training in improving the English reading and speaking skills of
adult ESL learners who have low levels of literacy skills in their native language.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement. Any
disclosure of individually identifiable information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality
standards that apply to all collections, reporting, and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (American Institutes for
Research) and subcontractors (Berkeley Policy Associates and Mathematica Policy Associates) maintain
data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractors, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractors will establish similar sets of
procedures at their sites to ensure confidentiality of data. Their systems are required to ensure
that information identifying individuals is in files physically separated from other research data.
The contractor and subcontractors will maintain security of the complete set of all master data
files and documentation. Access to individually identifying data will be strictly controlled. At
each site all data will be kept in locked file cabinets during nonworking hours, and work on
hardcopy data will take place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect project data include:
Password-protected accounts that authorize users to use the contractor's and subcontractors' systems
but to access only specific network directories and network software; user rights and directory and
file attributes that limit those who can use particular directories and files and determine how they
can use them; and additional security features that the network administrators will establish for
projects as needed. The contractor and subcontractor employees who "maintain" (collect,
maintain, use, or disseminate) data in this system shall comply with the requirements of the
confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Evaluation Division, National Center for Education Evaluation and Regional
Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue,
NW., room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system of records will include information collected from adult learners and from
teachers participating in the evaluation. Data collected from the learners will include learners'
names; addresses; demographic information such as race/ethnicity, gender, age, educational
background; and scores on literacy assessments. Data collected from the teachers will include the
teachers' names; demographic information such as race/ethnicity, gender, educational background; and
teaching experience.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-20" toc="yes">
<systemNumber>18-13-20</systemNumber>
<subsection type="systemName">Impact Evaluation of Title I Supplemental Educational Services.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW.,
room 502E, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540-2393 and 955
Massachusetts Avenue, Suite 801, Cambridge, MA 02139-3226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on third-to eighth-grade students who are participating in an
evaluation of the effectiveness of Title I Supplemental Educational Services (SES). Parents will
apply to their school districts for their child to participate in SES. For students whose parents
apply for them to participate in SES, the districts will provide to the Department's contractor
demographic data, data on student achievement, and will report on whether or not students were
selected to participate in SES. SES providers will provide information to the Department's
contractor on the services provided to students.
</p><p>The system will contain information about approximately 50,000 third- to eighth-graders. In up to
twelve school districts, approximately 50,000 students are expected to apply to participate in Title
I SES provided by the district, private providers, or both.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include individually identifying information about the student
applicants participating in the evaluation, including names; demographic information such as race,
ethnicity, gender, age, and educational background; level of participation in SES programs; scores
on State reading or mathematics achievement tests, or both; and, for each student participating in
SES, the name and characteristics of SES provider organizations such as type of provider (district,
private for profit, non-profit, community-based organization), location (at student's school or not
at student's school), delivery method (teacher, technology, distance learning), and delivery group
size (one-on-one, small group, large group).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation is authorized under section 1501(a)(2) of the Elementary and Secondary
Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (20 U.S.C. 6491(a)(2)), as
well as sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purpose: To evaluate the
effectiveness of Title I SES in improving the reading or mathematics achievement, or both, of
students in Title I schools that have failed to make adequate yearly progress for three years.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement. Any
disclosure of individually identifiable information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality
standards that apply to all collections, reporting, and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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 will 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy
Research, Inc.) maintains data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
where this system of records is maintained is controlled and monitored by security personnel. 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.
The contractor will establish similar sets of procedures at its sites to ensure confidentiality of
data. The contractor's system is required to ensure that information identifying individuals is in
files physically separated from other research data. The contractor will maintain security of the
complete set of all master data files and documentation. Access to individually identifying data
will be strictly controlled. At each contractor site, all data will be kept in locked file cabinets
during nonworking hours, and work on hardcopy data will take place in a single room, except for data
entry. Physical and cyber security of electronic data will also be maintained. Security features
that protect project data include: Password-protected accounts that authorize users to use the
contractor's systems but to access only specific network directories and network software; user
rights and directory and file attributes that limit those who can use particular directories and
files and determine how they can use them; and additional security features that the network
administrators will establish for projects as needed. The contractor employees who "maintain
" (collect, maintain, use, or disseminate) data in this system must comply with the
requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Items 4b and 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New
Jersey Avenue, NW., room 502E, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of the regulations in 34 CFR
5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof
of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system of records will include individually identifying information collected from
school districts on third-to eighth graders applying to participate in Title I SES and the SES
provider organization for each student participating in SES. Data collected will include information
about the student applicants participating in the evaluation, including names; demographic
information such as race, ethnicity, gender, age, and educational background; level of participation
in SES programs; scores on State reading or mathematics achievement tests, or both; and, for each
student participating in SES, the name and characteristics of SES provider organizations such as
type of provider (district, private for profit, non-profit, community-based organization), location
(at student's school or not at student's school), delivery method (teacher, technology, distance
learning), and delivery group size (one-on-one, small group, large group).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-21" toc="yes">
<systemNumber>18-13-21</systemNumber>

<subsection type="systemName">Evaluation of Moving High-Performing Teachers to Low-Performing Schools.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW.,
Room 502E, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, Inc., 600 Maryland Avenue, SW., Suite 550, Washington, DC 20024
-2512 (contractor).
</p><p>(3) Optimal Solutions Group, 8100 Professional Place, Suite 312, Hyattsville, MD 20785-2229
(subcontractor).
</p><p>(4) The New Teacher Project, 186 Joralemon Street, Suite 300, Brooklyn, NY 11201-4326
(subcontractor).
</p></xhtmlContent></subsection>
	<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on elementary and middle school students and teachers in
approximately 10 school districts participating in an evaluation of the impact on improving student
achievement of placing high-performing teachers in low-performing schools. In these 10 school
districts, data will be collected on approximately 200 teachers and 3680 students in their
classrooms.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The evaluation will contain information about 10 school districts where linked student-
teacher school records, including test score data, are available for the last four years for all
enrolled students. The system of records will include personally identifying information about
elementary and middle school students participating in the evaluation, including demographic
information such as race, ethnicity, gender, age, educational background, English language
proficiency, disability status, eligibility for school lunch programs and mobility status; and
scores on State reading and mathematics achievement tests. The system of records will also include
personally identifying information about teachers participating in the evaluation, including
demographic information such as race, ethnicity, and educational background; and teaching
experience.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation is authorized under: (1) Sections 171(b) and 173 of the Education Sciences
Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 9601(a) of the Elementary
and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001
(NCLB) (20 U.S.C. 7941(a)). The grant programs that are the subject of this evaluation are
authorized under Part A of Title II of the ESEA, as amended by the NCLB (20 U.S.C. 6601-51).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The central purpose and reason why the Department is establishing this system of records is
to evaluate the impact on improving student achievement of high-performing teachers who are placed
in low-performing schools. We seek to study the following additional research questions that are
important for policymaking:
</p><p>(1) What is the overlap between high-performing teachers and low-performing schools? In other
words, how serious is the unequal distribution of teacher talent?
</p><p>(2) How responsive to incentives are high-performing teachers?
</p><p>(3) What factors influence career decisions of high-performing teachers?
</p><p>(4) Who fills teaching vacancies in low-performing schools in the absence of incentives for high-
performing teachers to move to low-performing schools?
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement. Any
disclosure of individually identifying information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality
standards that apply to all collections, reporting, and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy Research,
Inc.) and subcontractors (Optimal Solutions Group and the New Teacher Project) maintain data for
this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractors, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractors will establish similar sets of
procedures at their sites to ensure confidentiality of data. Their systems are required to ensure
that information identifying individuals is in files physically separated from other research data.
The contractor and subcontractors will maintain security of the complete set of all master data
files and documentation. Access to individually identifying data will be strictly controlled. At
each site all data will be kept in locked file cabinets during nonworking hours, and work on
hardcopy data will take place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect project data include:
Password-protected accounts that authorize users to use the contractor's and subcontractors' systems
but to access only specific network directories and network software; user rights and directory and
file attributes that limit those who can use particular directories and files and determine how they
can use them; and additional security features that the network administrators will establish for
projects as needed. The contractor's and subcontractors' employees who "maintain"
(collect, maintain, use, or disseminate) data in this system shall comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New
Jersey Avenue, NW., Room 502E, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on elementary and middle school students and teachers in school
districts participating in an evaluation of the impact on student achievement of high-performing
teachers who are placed in low-performing schools. Districts have databases (school records) that
contain all the student information that the Department will use. As part of the evaluation, a
district is providing the Department's contractor with data files that contain the information on
each student assigned to a teacher participating in the evaluation. Data collected from teachers
will be collected from surveys that they fill out.
</p></xhtmlContent></subsection>
	<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-22" toc="yes">
<systemNumber>18-13-22</systemNumber>
<subsection type="systemName">Teacher Survey Response Incentive System.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) National Center for Education Statistics, Institute of Education Sciences, 1990 K
Street, NW., Washington, DC 20006-1103.
</p><p>(2) SRI International, 333 Ravenswood Ave., Menlo Park, CA 94025-3493 (contractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Teacher Survey Response Incentive System contains records of respondents to the Teacher
Survey being administered as part of the National Study on Alternate Assessments Teacher Survey.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The Teacher Survey Response Incentive System contains records, including name and contact
information, necessary for mailing incentive checks to survey respondents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Teacher Survey is part of the National Study on Alternate Assessments, which is
authorized by section 664(c) of the Individuals with Disabilities Education Act (20 U.S.C. 1464(c)).
This Study is also authorized under sections 171(b) and 173 of the Education Sciences Reform Act of
2002 (ESRA) (20 U.S.C. 9561(b) and 9563).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following
purpose: To allow the Department's contractor administering the National Study on Alternate
Assessments (NSAA) Teacher Survey to mail response incentive checks to respondents who complete the
survey.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 purposes for which
the record was collected. The Department may make these disclosures on a case-by-case basis, or, if
the Department has complied with the computer matching requirements of the Computer Matching and
Privacy Protection Act of 1988, as amended, under a computer matching agreement. Any disclosure of
individually identifiable information from a record in this system must also comply with the
requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards
that apply to all collections, reporting and publication of data by IES.
</p><p><i>Contract Disclosure.</i> If the Department contracts with an entity to perform any function
that requires disclosing records to the contractor's employees, 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records notice.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in a database on the Department's and the contractor's secure servers
and in other electronic storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by respondent name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel only. All physical access to the
Department's site and to the site of the Department's contractor where this system of records is
maintained, is controlled and monitored by security personnel who check each individual entering the
buildings for his or her employee or visitor badge.
</p><p>The computer system employed by the Department and by the Department's contractor 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 an individual user's ability to
access and alter records within the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Source records for Teachers Survey Response Incentive System input are destroyed after the
information has been entered into the system and verified, in accordance with the National Archives
and Records Administration General Records Schedules (GRS) 20, Item 2a(4). System records are
destroyed/deleted when 2 years old, in accordance with GRS 23, Item 8.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Contracting Officer's Representative (COR), National Study on Alternate Assessments,
National Center for Special Education Research, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., Washington, DC 20208-5550.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under, <b>SYSTEM MANAGER AND ADDRESS</b>. Your request should
contain your full name, address, and telephone number. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information, including name and contact information, maintained in this system of records is
taken from teachers who respond to the Teacher Survey, which is being administered as part of the
National Study on Alternate Assessments.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-23" toc="yes">
<systemNumber>18-13-23</systemNumber>
<subsection type="systemName">National Longitudinal Transition Study-2 (NLTS2)
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) SRI International, 333 Ravenswood Ave., Menlo Park, CA 94025-3493. (Contractor)
</p><p>(2) Research Triangle Institute (RTI), 3040 Cornwallis Rd., Ragland Building, Research Triangle
Park, NC 27709-2194. (Subcontractor to SRI)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The NLTS2 system contains records of a sample of more than 11,000 youth from the population
of 13 through 16 year olds receiving special education services in seventh grade or above in
December of 2000. The sample is nationally representative of the types of disabilities, as defined
by the 12 Federal special education disability categories, in this population.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains responses to surveys and interviews administered to
students, parents, guardians, administrators, and teachers. The responses may include a student's
background and demographic data (e.g., ethnicity, primary language spoken in the student's home),
educational experiences, employment experiences, finances, aspirations, plans and goals, family
variables (e.g., household income, number of adults living in the household, parental expectations
for youth to attend postsecondary school), school characteristics, school programs, classroom
experiences, adult services and supports, and early adult outcomes in employment, education,
independence, and social domains. Records in this system of records also may include the student's
achievement test scores and high school transcript data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation being conducted is authorized under sections 171(b) and 173 of the Education
Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and section 664(e) of the
Individuals with Disabilities Education Act (20 U.S.C. 1464(e)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following
purpose:
</p><p>To describe the critical influences, contexts, and educational and post-high school experiences
for students with disabilities as they complete secondary education and transition to adulthood.
Specifically, this study will examine the sample group of secondary students in special education
and: (a) Describe the characteristics of these students and their households; (b) describe these
students' secondary school experiences in special education, including their experiences in school,
school programs, related services, and extracurricular activities; (c) describe the experiences of
these students once they leave secondary school, including their experiences in adult programs and
services and social activities; (d) measure the secondary school and post-school outcomes of these
students in the education, employment, social, and residential domains; and, e) identify factors in
these students' secondary school and post-school experiences that contribute to more positive
outcomes.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis, or, if the Department has complied with the computer
matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under
a computer matching agreement. Any disclosure of individually identifiable information from a record
in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collection, reporting and publication of
data by IES.
</p><p><i>Contract Disclosure.</i> 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 only those employees. Before entering into
such a contract, the Department will 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in a database on the contractors' secure servers and in other
electronic storage media. Respondent name and contact information is stored separately from the rest
of the data collected in this system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a unique number assigned to each individual, which is
cross-referenced by the individual's name. Records are retrieved by the individual's name or by the
unique number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel who are briefed regarding
confidentiality of the data, are required to sign a written statement attesting to their
understanding of the significance of the confidentiality requirement, and have received Department
of Education security clearances.
</p><p>All physical access to the contractor and subcontractor sites where this system of records is
maintained, is controlled and monitored by security personnel who check each individual entering the
buildings for his or her employee or visitor badge.
</p><p>The computer systems employed by the contractor and subcontractor offer a high degree of
resistance to tampering and circumvention. Security systems limit data access to contract staff on a
"need to know" basis, and control each individual user's ability to access and alter
records within the system.
</p><p>The contractor and subcontractor employees who "maintain" (including collect,
maintain, use, or disseminate) data in this system of records must comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Part 3, Item 4.b (NC-12-75-1, Item 10b) of the
Department's Records Disposition Schedules, records are destroyed upon verification of transfer to
electronic format or upon completion of the report.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Contracting Officer's Representative (COR), National Longitudinal Transition Study-2
(NLTS2), National Center for Special Education Research, Institute of Education Sciences, U.S.
Department of Education, 555 New Jersey Avenue, NW., Washington, DC 20208-5550.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the system manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>.
Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>. Requests should
contain your full name, address, and telephone number. Your request must meet the requirements of
the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the system manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>.
Your request must meet the requirements of the regulations in 34 CFR 5b.7, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system of records is collected from a variety of sources,
including parents, guardians, teachers, principals, school records, and students themselves. Records
in this system may be collected through methods such as: (a) Telephonic interviews with parents or
guardians of students that focus on student and family characteristics, non-school activities,
satisfaction with school programs, and activities after high school; (b) telephonic interviews or
written questionnaires from students about their experiences and outcomes; (c) teacher surveys about
classroom practices and student performance in the classroom; (d) surveys of school programs
completed by teachers knowledgeable about the overall program and student performance in a broader
context (e.g., instructional settings that comprise a student's whole experience, vocational
education, transition planning experiences, and accommodations received); (e) surveys about the
characteristics of the school, including aggregate measures of school performance to use as
supporting data for reports; (f) student assessments, which involve a direct assessment of the
student, including measures of the student's reading and math skills, vocabulary, science and social
studies content knowledge, as well as interviews with the student about self-concept and self-
determination, or alternate assessments completed by a knowledgeable adult when students are unable
to complete a direct assessment due to cognitive or behavioral limitations; and, (g) student
transcripts, including courses taken, grades, and attendance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-24" toc="yes">
<systemNumber>18-13-24</systemNumber>
<subsection type="systemName">Evaluation of Teacher Residency Programs.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW.,
room 502D, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540 (contractor).
</p><p>(3) Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098
(subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on approximately 255 residents and 270 mentors from
approximately 15 teacher residency programs and 800 teachers and 20,000 students from 8 districts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include personally identifying information about the students in
the participating teacher classrooms, including demographic information such as race, ethnicity,
gender, age, and educational background; information on attendance and disciplinary incidences; and
scores on reading and mathematics achievement tests. The system of records will also include
personally identifying information about the mentors, residents and teachers participating in the
evaluation, including demographic information, such as race, ethnicity, gender, and educational
background, and teaching experience. The system of records will also include employment information
on the teachers participating in the evaluation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation is authorized under sections 171(b) and 173 of the Education Sciences Reform
Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563), and section 202(h)(1) of the Higher Education Act,
as amended by the Higher Education Opportunity Act of 2008 (HEA) (20 U.S.C. 1022a(h)). The grant
programs that are the subject of this evaluation are authorized under Part A of Title II of the HEA
(sec. 201-204) (20 U.S.C. 1022-1022c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following
purpose:
</p><p>To describe Teacher Residency Programs (TRPs) and summarize the teacher retention and student
achievement outcomes of TRP participants. The study will address the following research questions:
</p><p>(1) What are the characteristics of TRPs?
</p><p>(2) What are the characteristics of participants in TRPs?
</p><p>(3) What is the average performance of novice TRP teachers as measured by value-added estimates
benchmarked against novice and all teachers in the district?
</p><p>(4) What are the retention rates of novice TRP teachers and their novice colleagues who did not
go through TRPs?
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement. Any
disclosure of individually identifying information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality
standards that apply to all collections, reporting, and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy
Research, Inc.) and sub-contractor (Decision Information Resources, Inc.) maintain data for this
system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractor, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractor will establish a similar set of
procedures at their sites to ensure confidentiality of data. The contractor and subcontractor are
required to ensure that information identifying individuals is in files physically separated from
other research data. The contractor and subcontractor will maintain security of the complete set of
all master data files and documentation. Access to individually identifying data will be strictly
controlled. All data will be kept in locked file cabinets during nonworking hours, and work on
hardcopy data will take place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect project data include:
Password-protected accounts that authorize users to use the contractor's and subcontractor's systems
but to access only specific network directories and network software; user rights and directory and
file attributes that limit those who can use particular directories and files and determine how they
can use them; and additional security features that the network administrators will establish for
projects as needed. The contractor's and subcontractor's employees who "maintain"
(collect, maintain, use, or disseminate) data in this system shall comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
	<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New
Jersey Avenue, NW., room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on residents, mentors, teachers, and students participating in
an evaluation of teacher residency programs. Data will be obtained through student records
maintained by the school districts, assessments administered to students, and surveys of residents,
mentors, and teachers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-25" toc="yes">
<systemNumber>18-13-25</systemNumber>
<subsection type="systemName">IES Research Training Program Surveys: Predoctoral Survey, Postdoctoral Survey, Special
Education Postdoctoral Survey.
</subsection>
	<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Center for Education Research, Program Officer Staff, Institute of Education
Sciences (IES), U.S. Department of Education (Department), 555 New Jersey Avenue, NW., Suite 618,
Washington, DC 20208-5530.
</p></xhtmlContent></subsection>
	<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system contains records on pre- and postdoctoral fellows who have been funded through
the IES Pre- and Postdoctoral Education Research Training Grants and the IES Postdoctoral Special
Education Research Training Grants.
</p></xhtmlContent></subsection>
	<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records regarding fellows': (1) Names; (2) e-mail addresses; (3)
personal characteristics, such as gender, race/ethnicity, and citizenship status; (4) information on
the training program attended including the average GRE scores of program participants and fellows
per program; (5) responses to survey items regarding the quality of the training program they
attended; (6) academic information including past field of study, Ph.D. completion and year of
Ph.D., completion of fellowship program, research conducted during and after attending the training
program including the number and type of publications and presentations made; and (7) information on
positions held and type of research done after completing the training program including plans to or
submission of a grant proposal.
</p></xhtmlContent></subsection>
	<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation is authorized under sections 131 through 134 and section 189 of the Education
Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9531-34 and 9579).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following
purposes: (1) To assess the satisfaction of the fellows with their IES training programs in order to
determine whether there are program areas that need improvement; and (2) to track the fellows'
professional accomplishments both during and following their fellowship years in order to assess how
well the individual programs are fulfilling the mission of the IES training programs, which is to
increase the supply of young researchers trained and ready to do rigorous research in education.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 purposes for which
the record was collected. The Department may make these disclosures on a case-by-case basis, or, if
the Department has complied with the computer matching requirements of the Computer Matching and
Privacy Protection Act of 1988, as amended, under a computer matching agreement. Any disclosure of
individually identifiable information from a record in this system must also comply with the
requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards
that apply to all collections, reporting, and publication of data by IES.
</p><p><i>Contract Disclosure.</i> 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in a database on the Department's secure servers. No paper records
will be kept as part of this system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the fellows' names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel only. 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 buildings for his or her employee or
visitor badge.
</p><p>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 an individual user's ability to access and alter
records within the system. All users of this system of records are given a unique user
identification. The Department's Information Security Privacy Policy requires the enforcement of a
complex password policy. In addition, users are required to change their password at least every 60
to 90 days in accordance with the Department's information technology standards.
</p></xhtmlContent></subsection>
	<subsection type="retentionAndDisposal"><xhtmlContent><p>The records associated with predoctoral and postdoctoral fellows' progress will be
maintained as long as they are professionally active in education research.
Records will be maintained and disposed of in accordance with the Department's Records Disposition
Schedules. These records are currently unscheduled. A records retention schedule will be developed
and submitted to the National Archives and Records Administration (NARA) for approval. No records
will be destroyed until a NARA-approved records retention schedule is in place.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Dr. Meredith Larson is the Program Officer for the IES Research Training Program Surveys,
and her address is Institute of Education Sciences, Department of Education, 555 New Jersey Avenue,
NW., Suite 618, Washington, DC 20208-5530.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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 in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system of records is obtained from both the fellows and their
training programs. Fellows provide information on their individual characteristics, e-mail
addresses, views on the quality of the training program, and information on their dissertation,
papers, positions, and follow-on research. The training programs provide information on the programs
themselves and the fellows' status within the programs, initial student e-mail addresses at the
university (students then provide their preferred e-mail addresses), and information on student
dissertations and paper.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-26" toc="yes">
<systemNumber>18-13-26</systemNumber>
<subsection type="systemName">Institute of Education Sciences Principal Investigator/Application File and Associated
Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Office of the Deputy Director for Science, Institute of Education Sciences, U.S.
Department of Education, 555 New Jersey Avenue NW., room 606C, Washington, DC 20208-0001.
</p><p>(2) The Institute's contractor, SRA International, Inc., through its Center for Peer Review and
Science Management, Health and Civil Services Sector, 8490 Progress Drive, Suite 200, Frederick, MD
21701-4995.
</p><p>(3) Contractor servers at Savvis--DC3, 45845 Nokes Boulevard, Sterling, VA 20166-6574.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records about individuals who are principal investigators and who have
requested grant support, or received grant support, or both, from the Institute, either individually
or through an academic institution or other organization.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records covers a database and paper files containing personally identifying
information about these principal investigators, including their names, addresses, telephone
numbers, titles, institutional or organizational affiliations, employment histories, professional
experiences, academic credentials, current and pending support from other grant programs, research
applications submitted to Institute competitions and the peer reviews (summary statements) and peer
review scores associated with their applications.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Institute's programs for funding research are authorized under the Education Sciences
Reform Act of 2002 (ESRA), 20 U.S.C. 9501 et seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to assist Institute staff, who manage the peer
review process, by systematically assembling and maintaining files that are necessary and
appropriate to the scientific peer review of grant applications submitted to the Institute. The
electronic database that is a part of this system of records will also enable applicants and
principal investigators who have requested grant support from the Institute to electronically access
the reviews and scores for their applications following the peer review of their applications for
scientific merit. (An applicant may be an academic institution or other organization that employs a
principal investigator and that is identified within the grant application as the applicant.) Access
to the information in the electronic database will be strictly controlled and granted on the basis
of proper identity authentication credentials to include, at a minimum, a user ID and password.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act, under a computer matching agreement.
</p><p>1. <i>Program Purposes.</i>
</p><p>(a) Disclosure to Applicants that are Academic Institutions or Other Organizations that Employ
Principal Investigators. Disclosure of information from the system may be provided to academic
institutions or other organizations that employ principal investigators and that have applied for,
or that have received grant support from, the Institute. Disclosure will permit them to access
information about the review process and award decisions for the applications that they submitted.
</p><p>(b) <i>Disclosure to Peer Reviewers.</i> Disclosure of information from the system may be
provided to peer reviewers for their opinions and evaluations of principal investigators'
applications as part of the Institute's scientific merit peer review process.
</p><p>2. <i>Contract Disclosure.</i> When 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. 522a(m) with respect to the records in the system.
</p><p>3. <i>Enforcement Disclosure.</i> 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 statute, regulation, or order of 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.
</p><p>4. <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i>
</p><p>(a) <i>Introduction.</i> 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:
</p><p>(i) The Department, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity if the Department of Justice
(DOJ) has been requested to, or has agreed to, provide or arrange for representation for the
employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee; or
</p><p>(v) The United States, where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(b) <i>Disclosure to the DOJ.</i> 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.
</p><p>(c) <i>Adjudicative Disclosures.</i> 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 litigation or ADR, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Parties, Counsel, Representatives, or Witnesses.</i> If the Department determines that
disclosure of certain records to a party, counsel, representative, or witness is relevant and
necessary to the litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative, or witness.
</p><p>5. <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department may
disclose records to the DOJ or 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 or the Privacy Act.
</p><p>6. <i>Disclosure to the DOJ.</i> 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.
</p><p>7. <i>Congressional Member Disclosure.</i> The Department may disclose an individual's records to
a member of Congress 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.
</p><p>8. <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system to appropriate agencies, entities, and persons when: (a) The Department
suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs that rely
upon the compromised information (whether maintained by the Department or another agency or entity);
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Department's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Various portions of the system are maintained electronically, in paper files, or both. The
Department maintains records in this system both on paper and in compact disc, read-only-memory (CD
-ROM), and the contractor (SRA International, Inc.) maintains data for this system on
computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper and electronic records will be retrieved using principal investigators' names or grant
application numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The Department's paper and CD-ROM records are stored in locked metal filing cabinets
or in a secured room, with access limited to personnel whose duties require access. All physical
access to the Department's sites is controlled and monitored by security personnel who check each
individual entering the building for an employee or visitor badge.
</p><p>The computer system employed by the contractor offers a high degree of resistance to tampering
and circumvention. The system enforces assigned authorizations by controlling access based on the
individual's role in the project. Each individual's access is determined by the system administrator
in conjunction with the Institute and other administrative staff. These rights are re-assessed
periodically by the application administrator.
</p><p>The system has share-level and file-level security utilizing New Technology File System (NTFS),
which is built into the Windows 2008 operating system. The system administrator grants or denies
access to users or groups of users at the folder or file level. Several system groups are
established within the Windows server to permit fine-grained control of user access to project
folders. No other contractor users or groups of users will be given access to these folders or
files.
</p><p>The system's servers are located at the Savvis DC3 data center and are protected by Savvis'
procedures governing physical access to the servers. Access to sensitive areas is controlled by
means of key cards, ID badges, security guards, biometric hand scanners, man traps equipped with key
cards, key-locked equipment cages, and continuous video surveillance.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedule for Discretionary Grant File Records and Related Records (ED 254A.1).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director for Science, Institute of Education Sciences, U.S. Department of Education,
555 New Jersey Avenue NW., room 600, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information will be provided voluntarily by individuals who are principal investigators and
who have requested and/or received grant support from the Institute either individually or through
an academic institution or other organization.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-27" toc="yes">
<systemNumber>18-13-27</systemNumber>
<subsection type="systemName">National Longitudinal Transitions Study--2012.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue NW., room
502D, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540-6346
(contractor).
</p><p>(3) Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098
-4610 (subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records from 500 districts on approximately 15,000 students and
their parents, 15,000 teachers, and 2,000 principals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes individually identifying information about the students who
agree to participate. This information includes name, birth date, and contact information;
demographic information such as race, ethnicity, gender, age, and educational background;
information on accommodations and services received; information on attendance and disciplinary
incidences; information on employment history and postsecondary institution attended; and scores on
reading and mathematics achievement tests. The system of records also includes students' school
transcripts. It is also our intention to include in this system of records students' Social Security
numbers (SSNs). In order to ensure that the information on the students' employment and earnings can
be obtained, the students' SSNs are needed because other methods (i.e., self-reporting) have proven
to be infeasible. This method will place a low burden on students and be of low cost to the Federal
government. The system of records will also include individually identifying information about the
parents and teachers of participating students, including name and contact information; demographic
information such as race and ethnicity; and teaching experience. The system of records will also
include the name and contact information of principals of participating students and information
that they provide about the school's programs, policies, and environment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized under Part D, Subpart 2, Section 664 of the Individuals with
Disability Education Act (IDEA), 20 U.S.C. 1464.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will be used to describe
the characteristics of, receipt of services by, and outcomes of transition-age students. The study
will address the following research questions:
</p><p><i>Describe Transition-Age Students With an Individualized Education Plan (IEP)</i>
</p><p>What are the personal, family, and school characteristics of this group?
</p><p>What are their courses of study, services and accommodations received to support learning, and
preparation for transition? What barriers and challenges do they encounter?
</p><p>What are the key academic, social, and economic outcomes in school and after leaving school for
youth with disabilities?
</p><p>How do services received, courses of study, barriers, and outcomes vary for subgroups defined by
the nature of the student's disability, age, sex, race/ethnicity, or characteristics of the
student's school or community?
</p><p>How do academic, social, and economic outcomes for students with disabilities vary by their
course of study and receipt of services and accommodations, accounting for preexisting youth
characteristics?
</p><p><i>Compare Current Transition-Age Students With an IEP to Their Peers in Prior Cohorts</i>
</p><p>How do the receipt of services and accommodations and the outcomes of the current cohort of
special education students differ from those of previous cohorts of special education students?
</p><p><i>Compare Transition-Age Students With an IEP to Their Peers Who Do Not Have an IEP</i>
</p><p>What are the characteristics, school and transition experiences, and postsecondary outcomes of
students with a plan that provides accommodations under Section 504 of the Rehabilitation Act of
1973 (Section 504 Plan)?
</p><p>How do characteristics, courses of study, receipt of services and accommodations, and key
outcomes for transition-age students with an IEP differ from transition-age students with a Section
504 Plan and from transition-age students with no Section 504 Plan and no IEP?
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under
a computer matching agreement. Any disclosure of individually identifiable information from a record
in this system must also comply with the requirements of section 183 of the Education Sciences
Reform Act of 2002 (ESRA) (20 U.S.C. 9573) providing for confidentiality standards that apply to all
collections, reporting, and publication of data by IES.
</p><p>(1) <i>Contract Disclosure.</i> 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.
</p><p>(2) <i>Federal Agency Disclosure.</i> The Department may disclose records from this system of
records to another Federal agency for the purposes of allowing that agency to provide assistance to
the Department with the evaluation of a federally supported education program. Under the
requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g and 34 CFR
part 99, the Department will enter into an interagency agreement with the other Federal agency
designating that agency as the Department's authorized representative before disclosing any
personally identifiable information from any students' education records to that Federal agency.
Under the terms of such an interagency agreement, the Federal agency will not be permitted to
redisclose any personally identifiable information obtained from students' education records, and
will be required to destroy any personally identifiable information from students' education records
when no longer needed for the purposes of the evaluation as well as to maintain safeguards to
protect the confidentiality of any personally identifiable information disclosed.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy
Research, Inc.) and sub-contractor (Decision Information Resources, Inc.) maintain data for this
system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the site of the Department's contractor
and subcontractor, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractor will establish a similar set of
procedures at its site to ensure confidentiality of data. The contractor's and subcontractor's
systems are required to ensure that information identifying individuals is in files physically
separated from other research data. The contractor and subcontractor will maintain security of the
complete set of all master data files and documentation. Access to individually identifying data
will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours,
and work on hardcopy data will take place in a single room, except for data entry. Physical security
of electronic data will also be maintained. Security features that protect project data include:
password-protected accounts that authorize users to use the contractor's system but to access only
specific network directories and network software; user rights and directory and file attributes
that limit those who can use particular directories and files and determine how they can use them;
and additional security features that the network administrators will establish for projects as
needed. The contractor's and subcontractor's employees who "maintain" (collect,
maintain, use, or disseminate) data in this system shall comply with the requirements of the
confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on students, their parents, teachers, and principals
participating in the National Longitudinal Transitions Study 2012. Data will be obtained through
student records maintained by the school districts, assessments administered to students, and
surveys of students, their parents, teachers, and principals. Information on principals will be
obtained from publicly available information and information that they submit in response to surveys
about their schools' programs, policies, and environment
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-28" toc="yes">
<systemNumber>18-13-28</systemNumber>
<subsection type="systemName">National Title I Study of Implementation and Outcomes: Early Childhood Language Development.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, Inc., 600 Alexander Park, Suite 100, Princeton, NJ 08540 (contractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain information on approximately 1,000 teachers, 5,000 students, and 5,000 parents from 100 Title I schools with prekindergarten programs in 11 school districts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include personally identifying information about the sampled students in participating schools, including name; demographic information such as race, ethnicity, gender, and age; information on attendance; receipt of special education services; grade repetition; and scores on reading and language assessments. The system of records will also include personally identifying information about the parents of participating students, including names. The system of records will also include personally identifying information about the teachers participating in the evaluation, including name; demographic information, such as race, ethnicity, and gender; educational background; and teaching experience.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The evaluation is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563), and section 1501 of the Elementary and Secondary Education Act (ESEA), as reauthorized by the No Child Left Behind Act of 2001 (20 U.S.C. 6491). The grant programs that are the subject of this evaluation are authorized under sections 1111-1127 of Part A of Title I of the ESEA (20 U.S.C. 6311-6339).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system is used for the following purpose:
</p><p>To identify and describe school supports and instructional practices associated with improved language development, background knowledge, and comprehension outcomes for children in prekindergarten through third grade. The study will address the following research questions:
</p><p>(1) What practices do Title I schools use to support children's language development, background knowledge, and comprehension in prekindergarten through 3rd grade?
</p><p>(2) What classroom instructional practices do teachers in Title I schools use to support children's language development, background knowledge, and comprehension in prekindergarten through 3rd grade?
</p><p>(3) How do students' language skills, background knowledge, and comprehension develop in Title I schools between prekindergarten and 3rd grade?
</p><p>(4) What school supports and classroom practices are associated with children's development of language skills, background knowledge, and comprehension in prekindergarten through 3rd grade in Title I schools?
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.
</p><p>(1) <i>Research Disclosure.</i> The Director of IES may disclose information from this system of records to qualified researchers solely for the purpose of carrying out specific research that is compatible with the purpose of this system of records. The researcher shall be required to maintain safeguards with respect to such records under the Privacy Act and the ESRA. When personally identifiable information from a student's education record, which is protected pursuant to the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g, will be disclosed to the researcher, the researcher also must comply with the requirements in the applicable FERPA exception to consent.
</p><p>(2) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any function that requires disclosing records in this system to the contractor's employees, the Department may disclose the records to those employees who have received the appropriate level of security clearance from the Department. Before entering into such a contract, the Department will require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy Research, Inc.) maintains data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor will establish a similar set of procedures at its site to ensure confidentiality of data. The contractor is required to ensure that information identifying individuals is in files physically separated from other research data. The contractor will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the contractor's systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor's employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules ED 068.a (NARA Job Number: N1-441-08-18).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on parents, teachers, and students participating in a study of early childhood language development in Title I schools. Data will be obtained from assessments administered to students and surveys of teachers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-29" toc="yes">
<systemNumber>18-13-29</systemNumber>
<subsection type="systemName">Study of Teacher Preparation Experiences and Early Teacher Effectiveness. 
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.</p>
<p>(2)  Abt Associates, 55 Wheeler Street, Cambridge, MA 02138-1168 (contractor).</p>
<p>(3)  Education Analytics, 555 West Washington Avenue, Madison, WI 53703-2615 (subcontractor).</p>
<p>(4)  Westat, 1600 Research Boulevard, Rockville, MD 20850-3129 (subcontractor).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system will contain records on approximately 1,518,950 fourth through sixth grade students and 8,000 novice teachers from up to 50 school districts. </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>The system of records will include information about the students and teachers who participate in the study.  For students, this information will include, but will not necessarily be limited to, school name; student identification number; birth date; enrolled grade; demographic information such as race, ethnicity, and gender; and educational background information, including individualized education program status, primary disability code (if applicable), English language learner status, and English language proficiency level (if applicable); whether enrolled in the National School Lunch Program; and scores on reading and mathematics achievement tests.  For teachers, this information will include, but will not necessarily be limited to, name and contact information; teacher identification number; Social Security number; demographic information such as race and ethnicity; information on postsecondary institution attended and teaching preparation experiences; scores on postsecondary entrance exams. </p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The study is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA)(20 U.S.C. 9561(b) and 9563) and section 9601 of the Elementary and Secondary Education Act of 1965, as amended (ESEA)(20 U.S.C. 7941).</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the records maintained in this system will be used to conduct a rigorous study of the relationship between student learning outcomes and teachers’ preparation experiences.</p>
<p>     The study will address the following central research question:  What are the relationships between teacher preparation experiences and teacher effectiveness? </p>
<p>Secondary research questions for the study are:  </p>
<p>What are the relationships between teacher preparation experiences and teacher effectiveness with English learners?  Do relationships between teachers’ preparation experiences and teacher effectiveness differ depending on teachers’ assessments of the usefulness of the preparation experiences?  </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>The Department may disclose information contained in a record in this system of records under the routine use listed here without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected.  The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a), under a computer matching agreement.  Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of ESRA (20 U.S.C. 9573), which provides confidentiality standards that apply to all collection, reporting, and publication of data by IES.  In disclosing personally identifiable information from students’ education records, the Department must also comply with the requirements of the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. 1232g; 34 CFR Part 99), which protects the privacy of students’ education records.</p>
<p>1.  Contract Disclosure.  If the Department contracts with an entity to perform any function that requires disclosing records in this system to the contractor’s employees, the Department may disclose the records to those employees who have received the appropriate level of security clearance from the Department.  Before entering into such a contract, the Department will require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system. </p>
<p>2.  Research Disclosure.  The Director of IES may license confidential information from this system of records to qualified external researchers solely for the purpose of carrying out specific research that is compatible with the purpose(s) of this system of records.  The researcher must maintain, under the Privacy Act and section 183(c) of the ESRA, safeguards with respect to such records.  </p>
<p>Disclosure to consumer reporting agencies:</p>
<p>     None.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>     The Department maintains records on CD-ROM, and the contractor (Abt Associates Inc.) and sub-contractors (Education Analytics, Westat) maintain data for this system on computers and in hard copy.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>     Records in this system are indexed and retrieved by a unique number assigned to each individual that is cross-referenced by the individual’s name on a separate list.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>     All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractors, where this system of records is maintained, is controlled and monitored by security personnel.  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.  </p>
<p>     The contractor and subcontractors have established a similar set of procedures at their sites to ensure confidentiality of data.  The contractor and subcontractors are required to ensure that print data identifying individuals are in files physically separated from other research data and electronic files identifying individuals are separated from other electronic research data files.  The contractor and subcontractors maintain security of the complete set of all master data files and documentation.  Access to individually identifiable data is strictly controlled.  At each site, all hardcopy data are kept in locked file cabinets during nonworking hours and work on hardcopy data takes place in a single room, except for data entry.</p>
<p>     Physical security of electronic data is also maintained.  Security features that protect project data include:  Password-protected accounts that authorize users to use the contractor’s system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.  The Department’s, contractor’s, and subcontractors’ employees who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the Privacy Act, FERPA, and the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (GRS 23, Item 8).</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>     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’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>     If you wish to gain access to a record about you in this system of records, contact the system manager.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>If you wish to contest the content of a record regarding you in the system of records, contact the system manager.  Your request for access to a record must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>     This system will contain records on teachers, and students participating in a study of teaching preparation experiences and teacher effectiveness.  Data will be obtained through human resource and student records maintained by the school districts and surveys of teachers.   </p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection></section>
<section id="ed18-13-30" toc="yes">
<systemNumber>18-13-30</systemNumber>
<subsection type="systemName">Evaluation of Response to Intervention Practices for Elementary School Reading.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES),
U.S. Department of Education (Department), 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p><p>(2) MDRC, 19th Floor, 16 E. 34th Street, New York, NY 10016-4326 (contractor).
</p><p>(3) Survey Research Management, 4909 Nautilus Court North, Suite 220, Boulder, CO 80301-3692 (subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records on approximately 31,076 students in first through third grade, 1,460 teachers, and 1,606 reading
interventionists in 146 elementary schools in 13 states.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include personally identifying information about students in elementary schools that have agreed to
participate in the evaluation. This information will include: Name; birth date; demographic information such as race, ethnicity,
gender, age, and eligibility for free or reduced price lunches; English Learner status; grade level; receipt of reading instruction
and interventions; special education status and disability category; and scores on reading achievement tests. In addition, the system
will include personally identifying information about reading teachers and reading interventionists within participating elementary
schools, including names, educational attainment, teaching experience, training, and instructional practices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This evaluation is authorized under Section 664 of Part D of the Individuals with Disabilities Education Act, 20 U.S.C. 1464
(IDEA).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will be used for statistical purposes to evaluate the
implementation and effectiveness of Response to Intervention practices and related coordinated early intervening services authorized
under the IDEA. This information will also help school districts and school administrators design and implement more effective
Response to Intervention programs. The central research questions that the study will address are:
</p><p>(1) What is the average impact on academic achievement of providing intensive secondary reading interventions to elementary school
children who have been identified as at risk for reading difficulties compared with children just above the cutoff point for
providing intervention?
</p><p>(2) How do academic outcomes, including reading achievement and special education identification, vary with elementary schools'
adoption of Response to Intervention practices for early grade reading?
</p><p>(3) How do Response to Intervention practices for early grade reading vary across elementary schools, and how are they related to
academic outcomes?
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended, 5 U.S.C. 552a (Privacy Act), under a computer matching agreement. Any disclosure
of individually identifiable information from a record in this system must comply with the requirements of section 183 of the
Education Sciences Reform Act, 20 U.S.C. 9573 (ESRA), which provides confidentiality standards that apply to all collection,
reporting, and publication of data by IES.
</p><p>(1) <i>Research Disclosure.</i> The Director of IES may license de-identified confidential information from this system of
records to qualified external researchers solely for the purpose of carrying out specific research that is compatible with the
purpose of this system of records. The researcher shall be required to maintain safeguards with respect to such records under the
Privacy Act and the ESRA. The researcher shall be required to maintain the confidentiality of the licensed data and use it only for
statistical purposes. All licensing will be accomplished pursuant to the National Center for Education Statistics Licensing Program,
described in the following Web site: <i>http://nces.ed.gov/statprog/instruct.asp.</i> When personally identifiable information
from a student's education records will be disclosed to the researcher under the Family Educational Rights and Privacy Act, 20 U.S.C.
1232g (FERPA), the researcher also shall be required to comply with the requirements in the applicable FERPA exception to consent,
such as a written agreement between the researcher and IES pursuant to the written agreement requirements under FERPA.
</p><p>(2) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any function that requires disclosure
of records in this system to the contractor's employees, the Department may disclose the records to those employees who have received
the appropriate level of security clearance from the Department. Before entering into such a contract, the Department will require
the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records
in the system.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (MDRC) and subcontractor (Survey Research Management)
maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the
individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor and subcontractor, where this system
of records is maintained, is controlled and monitored by security personnel. 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. The contractor and
subcontractor will establish a similar set of procedures at their sites to ensure confidentiality of data. The contractor and
subcontractor are required to ensure that information identifying individuals is in files physically separated from other research
data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access
to individually identifying data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours,
and work on hardcopy data will take place in a single room, except for data entry.
</p><p>Physical security of electronic data will also be maintained. Security features that protect project data include: password-
protected accounts that authorize users to use the contractor's and subcontractor's systems but to access only specific network
directories and network software; user rights and directory and file attributes that limit those who can use particular directories
and files and determine how they can use them; and additional security features that the network administrators will establish for
projects as needed. The Department's, contractor's, and subcontractor's employees who "maintain" (collect, maintain, use,
or disseminate) data in this system shall comply with the requirements of the Privacy Act and the confidentiality standards in
section 183 of the ESRA, which provides criminal penalties for violations.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are covered by a draft records schedule under development, ED 231 Research and Statistics Records. This schedule
shall be submitted to NARA for review and approval when complete. Until such time as it is approved by NARA, no records shall be
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you or your child in the system of records, contact the system manager
at the address listed under
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your or your child's record in the system of records, contact the system manager at the address
listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you or your child in the system of records, contact the system manager at
the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.7, including proof of identity, specification of the particular record you are seeking to have changed, and
the written justification for making such a change.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system will contain records on students, teachers, and reading interventionists participating in the Evaluation of Response
to Intervention Practices for Elementary School Reading. Data will be obtained through student records maintained by the school
districts, assessments administered to students, and surveys of teachers and reading interventionists.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-31" toc="yes">
<systemNumber>18-13-31</systemNumber>
<subsection type="systemName">Evaluation of the Pell Grants Experiments Under the Experimental Sites Initiative--2012.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue NW., room
502D, Washington, DC 20208-0001.
</p><p>(2) Social Policy Research Associates, 1330 Broadway, Suite 1426, Oakland, CA 94612-2513
(contractor).
</p><p>(3) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540-6346
(subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records on approximately 10,800 students from approximately 51
institutions of higher education.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes individually identifying information about the students who agree
to participate in the study. This information includes name, birth date, and contact information;
demographic information such as race, ethnicity, gender, age, and educational background; the type
of program in which the student is enrolled, the student's progress through the program (credits
earned) including completion; methods used to pay for the education and training, including
financial aid received and amount of student debt incurred; receipt of support services; and
information on employment and earnings.
</p><p>It is also our intention to include students' Social Security Numbers (SSNs) to obtain
information on their financial aid and their employment and earnings; we expect to obtain the
students' employment and earnings data from the administrative records of another Federal agency.
Other methods for obtaining the information (i.e., self-reporting) have proven to be infeasible and
unreliable. SSNs are necessary to obtain the needed employment and earnings data, and this method
will place a low burden on students and will not be costly to the Federal government.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized by section 487A(b)(2) of the Higher Education Act of 1965 (HEA), 20
U.S.C. 1094a(b)(2), which requires the Secretary of Education to review and evaluate the experiences
of institutions that participate as experimental sites and to submit a biennial report based on the
review and evaluation to the Committee on Health, Education, Labor, and Pensions of the Senate and
the Committee on Education and Labor of the House of Representatives. The study is also authorized
by section 173(a)(1)(A) of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9563(a)(1)
(A)), which authorizes the National Center for Education Evaluation and Regional Assistance to
conduct evaluations of Federal education programs administered by the Secretary and to determine the
impact of such programs.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will support an evaluation of
the impacts of two different experimental expansions to the Pell Grant eligibility criteria. The
first experiment expands eligibility for Pell Grants to income-eligible students who already possess
a bachelor's degree and who enroll in occupational training, while the second experiment expands
eligibility for Pell Grants to students who enroll in occupational programs that have a shorter
duration than allowable under current rules. Both experiments are being implemented under the
Experimental Sites Initiative (ESI), authorized by section 487A(b) of the HEA. The study will
compare students with expanded access to Pell Grants to similar students who will not have access in
order to assess the effects of expanded Pell Grant access on educational attainment, employment, and
earnings. The study will address the following research questions:
</p><p><i>1. What is the impact of expanding Pell Grant eligibility on employment and
earnings?</i> The ultimate goal of the study is to determine if providing Pell Grants for those with
a bachelor's degree and for relatively short-term job training affects participants' job prospects
and income levels.
</p><p><i>2. Does it improve access to occupational training?</i> Understanding whether the
experiments made a difference in training enrollments will help in interpreting the presence or lack
of earnings impacts.
</p><p><i>3. How does it affect financial aid receipt and student debt?</i> With student debt
loads being an increasing public policy concern, expansions in Pell Grant eligibility are intended
to reduce reliance on loans that may carry high interest levels. The study will examine the impacts
of the experiments on the types and amounts of financial aid students receive and on their
expenditures for education and training.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under a
computer matching agreement. Any disclosure of individually identifiable information from a record
in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections, reporting, and publication of
data by IES.
</p><p>(1) <i>Contract Disclosure.</i> 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.
</p><p>(2) <i>Federal Agency Disclosure.</i> The Department may disclose records from this system
of records to another Federal agency for the purposes of allowing that agency to provide assistance
to the Department with the evaluation of a federally supported education program. Under the
requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g and 34 CFR
part 99, the Department will enter into an interagency agreement with the other Federal agency
designating that agency as the Department's authorized representative before disclosing any
personally identifiable information from any students' education records to that Federal agency.
Under the terms of such an interagency agreement, the Federal agency will not be permitted to
redisclose any personally identifiable information obtained from students' education records, and
will be required to destroy any personally identifiable information from students' education records
when no longer needed for the purposes of the evaluation as well as to maintain safeguards to
protect the confidentiality of any personally identifiable information disclosed.
</p><p>(3) <i>Research Disclosure.</i> The Director of the Institute of Education Sciences may
disclose information from this system of records to qualified researchers solely for the purpose of
carrying out specific research that is compatible with the purpose(s) of this system of records. The
researcher shall be required to maintain safeguards under the Privacy Act of 1974 and section 183 of
the ESRA (20 U.S.C. 9573(c)) with respect to such records. When personally identifiable information
from a student's education record will be disclosed to the researcher under FERPA, the researcher
also shall be required to comply with the requirements in the applicable FERPA exception to consent.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Social Policy Research
Associates) and sub-contractor (Mathematica Policy Research, Inc.) maintain data for this system on
computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual that is
cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the site of the Department's contractor and
subcontractor, where this system of records is maintained, is controlled and monitored by security
personnel. 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. The contractor and subcontractor will establish a similar set of procedures at
its site to ensure confidentiality of data. The contractor's and subcontractor's systems are
required to ensure that information identifying individuals is in files physically separated from
other research data. The contractor and subcontractor will maintain security of the complete set of
all master data files and documentation. Access to individually identifying data will be strictly
controlled. All data will be kept in locked file cabinets during nonworking hours, and work on
hardcopy data will take place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect project data include:
Password-protected accounts that authorize users to use the contractor's system but to access only
specific network directories and network software; user rights and directory and file attributes
that limit those who can use particular directories and files and determine how they can use them;
and additional security features that the network administrators will establish for projects as
needed. The contractor's and subcontractor's employees who "maintain" (collect,
maintain, use, or disseminate) data in this system shall comply with the requirements of the
confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records Disposition
Schedule 068 (NARA Disposition Authority N1-441-08-18).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue NW., room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, contact
the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on students participating in the Evaluation of the Pell Grant
Experiments Under the Experimental Sites Initiative. Data will be obtained through student records
maintained by participating institutions, a survey of students, data extracts from Free Applications
for Federal Student Aid, and from the administrative records of another Federal agency with data on
the students' earnings and employment outcomes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-32" toc="yes">
<systemNumber>18-13-32</systemNumber>
<subsection type="systemName">Evaluation of the Pell Grants Experiments Under the Experimental Sites Initiative--
2012.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue NW., room
502D, Washington, DC 20208-0001.
</p><p>(2) Social Policy Research Associates, 1330 Broadway, Suite 1426, Oakland, CA 94612-2513
(contractor).
</p><p>(3) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540-6346
(subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records on approximately 10,800 students from approximately 51
institutions of higher education.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes individually identifying information about the students who
agree to participate in the study. This information includes name, birth date, and contact
information; demographic information such as race, ethnicity, gender, age, and educational
background; the type of program in which the student is enrolled, the student's progress through the
program (credits earned) including completion; methods used to pay for the education and training,
including financial aid received and amount of student debt incurred; receipt of support services;
and information on employment and earnings.
</p><p>It is also our intention to include students' Social Security Numbers (SSNs) to obtain
information on their financial aid and their employment and earnings; we expect to obtain the
students' employment and earnings data from the administrative records of another Federal agency.
Other methods for obtaining the information (i.e., self-reporting) have proven to be infeasible and
unreliable. SSNs are necessary to obtain the needed employment and earnings data, and this method
will place a low burden on students and will not be costly to the Federal government.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized by section 487A(b)(2) of the Higher Education Act of 1965 (HEA), 20
U.S.C. 1094a(b)(2), which requires the Secretary of Education to review and evaluate the experiences
of institutions that participate as experimental sites and to submit a biennial report based on the
review and evaluation to the Committee on Health, Education, Labor, and Pensions of the Senate and
the Committee on Education and Labor of the House of Representatives. The study is also authorized
by section 173(a)(1)(A) of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9563(a)(1)
(A)), which authorizes the National Center for Education Evaluation and Regional Assistance to
conduct evaluations of Federal education programs administered by the Secretary and to determine the
impact of such programs.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will support an
evaluation of the impacts of two different experimental expansions to the Pell Grant eligibility
criteria. The first experiment expands eligibility for Pell Grants to income-eligible students who
already possess a bachelor's degree and who enroll in occupational training, while the second
experiment expands eligibility for Pell Grants to students who enroll in occupational programs that
have a shorter duration than allowable under current rules. Both experiments are being implemented
under the Experimental Sites Initiative (ESI), authorized by section 487A(b) of the HEA. The study
will compare students with expanded access to Pell Grants to similar students who will not have
access in order to assess the effects of expanded Pell Grant access on educational attainment,
employment, and earnings. The study will address the following research questions:
</p><p><i>1. What is the impact of expanding Pell Grant eligibility on employment and earnings?</i> The
ultimate goal of the study is to determine if providing Pell Grants for those with a bachelor's
degree and for relatively short-term job training affects participants' job prospects and income
levels.
</p><p><i>2. Does it improve access to occupational training?</i> Understanding whether the experiments
made a difference in training enrollments will help in interpreting the presence or lack of earnings
impacts.
</p><p><i>3. How does it affect financial aid receipt and student debt?</i> With student debt loads
being an increasing public policy concern, expansions in Pell Grant eligibility are intended to
reduce reliance on loans that may carry high interest levels. The study will examine the impacts of
the experiments on the types and amounts of financial aid students receive and on their expenditures
for education and training.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Privacy Act of 1974, as amended (Privacy Act), under
a computer matching agreement. Any disclosure of individually identifiable information from a record
in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections, reporting, and publication of
data by IES.
</p><p>(1) <i>Contract Disclosure.</i> 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.
</p><p>(2) <i>Federal Agency Disclosure.</i> The Department may disclose records from this system of
records to another Federal agency for the purposes of allowing that agency to provide assistance to
the Department with the evaluation of a federally supported education program. Under the
requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g and 34 CFR
part 99, the Department will enter into an interagency agreement with the other Federal agency
designating that agency as the Department's authorized representative before disclosing any
personally identifiable information from any students' education records to that Federal agency.
Under the terms of such an interagency agreement, the Federal agency will not be permitted to
redisclose any personally identifiable information obtained from students' education records, and
will be required to destroy any personally identifiable information from students' education records
when no longer needed for the purposes of the evaluation as well as to maintain safeguards to
protect the confidentiality of any personally identifiable information disclosed.
</p><p>(3) <i>Research Disclosure.</i> The Director of the Institute of Education Sciences may disclose
information from this system of records to qualified researchers solely for the purpose of carrying
out specific research that is compatible with the purpose(s) of this system of records. The
researcher shall be required to maintain safeguards under the Privacy Act of 1974 and section 183 of
the ESRA (20 U.S.C. 9573(c)) with respect to such records. When personally identifiable information
from a student's education record will be disclosed to the researcher under FERPA, the researcher
also shall be required to comply with the requirements in the applicable FERPA exception to consent.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Social Policy Research
Associates) and sub-contractor (Mathematica Policy Research, Inc.) maintain data for this system on
computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual
that is cross-referenced by the individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the site of the Department's contractor
and subcontractor, where this system of records is maintained, is controlled and monitored by
security personnel. 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. The contractor and subcontractor will establish a similar set of
procedures at its site to ensure confidentiality of data. The contractor's and subcontractor's
systems are required to ensure that information identifying individuals is in files physically
separated from other research data. The contractor and subcontractor will maintain security of the
complete set of all master data files and documentation. Access to individually identifying data
will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours,
and work on hardcopy data will take place in a single room, except for data entry. Physical security
of electronic data will also be maintained. Security features that protect project data include:
Password-protected accounts that authorize users to use the contractor's system but to access only
specific network directories and network software; user rights and directory and file attributes
that limit those who can use particular directories and files and determine how they can use them;
and additional security features that the network administrators will establish for projects as
needed. The contractor's and subcontractor's employees who "maintain" (collect,
maintain, use, or disseminate) data in this system shall comply with the requirements of the
confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedule 068 (NARA Disposition Authority N1-441-08-18).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue NW., room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on students participating in the Evaluation of the Pell Grant
Experiments Under the Experimental Sites Initiative. Data will be obtained through student records
maintained by participating institutions, a survey of students, data extracts from Free Applications
for Federal Student Aid, and from the administrative records of another Federal agency with data on
the students' earnings and employment outcomes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-32" toc="yes">
<systemNumber>18-13-32</systemNumber>
<subsection type="systemName">Impact Evaluation of Race to the Top and School Improvement Grants.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue NW., Room
502D, Washington, DC 20208-0001.
</p><p>(2) Mathematica Policy Research, 600 Alexander Park, Suite 100, Princeton, NJ 08540 (contractor).
</p><p>(3) The American Institutes for Research, 1000 Thomas Jefferson St. NW., Washington, DC 20007
(subcontractor).
</p><p>(4) Social Policy Research Associates, 1330 Broadway, Suite 1426, Oakland, CA 94612
(subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records on students in tested grades from approximately 61 school
districts in 21 states and the District of Columbia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include information about the students who are included in the
study. This student-level information will include, but will not necessarily be limited to, student
IDs; the names and IDs of the school and school district that the student attends; year of birth;
demographic information such as race, ethnicity, gender, and educational background (grade level,
free and reduced-price lunch status, English language learner status, and special education status);
whether the student graduated from high school and enrolled in college; and assessment information
and scores on reading and mathematics state assessments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized under the Education Sciences Reform Act of 2002, Part D, Section
171(b)(2) (20 U.S.C. 9561(b)(2)), which authorizes the IES to "conduct evaluations of Federal
education programs administered by the Secretary (and as time and resources allow, other education
programs) to determine the impact of such programs (especially on student academic achievement in
the core academic areas of reading, mathematics, and science)."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will be used to conduct
an implementation and impact evaluation of two of the Department's grant programs: Race to the Top
and Title I School Improvement Grants.
</p><p>The study will address the following four research questions: (1) How are Race to the Top and
School Improvement Grants implemented at the State, district, and school levels? (2) Are Race to the
Top reforms related to improvement in student outcomes? (3) Does receipt of School Improvement
Grants funding to implement a school turnaround model affect outcomes for low-performing schools?
(4) Is the implementation of school turnaround models, and strategies within those models, related
to improvement in student outcomes?
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these case-by-case disclosures or, if the Department has complied with the computer matching
requirements of the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a), under a computer
matching agreement. Any disclosure of individually identifying information from a record in this
system must also comply with the requirements of section 183 of the Education Sciences Reform Act
(ESRA) (20 U.S.C. 9573), which provides confidentiality standards that apply to all collection,
reporting, and publication of data by IES.
</p><p>(1) <i>Research Disclosure.</i> The Director of IES may disclose information from this system of
records to qualified researchers solely for the purpose of carrying out specific research that is
compatible with the purpose of this system of records. The researcher shall be required to maintain
under the Privacy Act and the ESRA safeguards with respect to such records. When individually
identifying information from a student's education record will be disclosed to the researcher under
the Family Educational Rights and Privacy Act, 20 U.S.C. 1232g (FERPA), the researcher also shall be
required to comply with the requirements of a written agreement between the researcher and IES
pursuant to the written agreement requirements under FERPA.
</p><p>(2) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any
function that requires disclosing records in this system to the contractor's employees, the
Department may disclose the records to those employees who have received the appropriate level of
security clearance from the Department. Before entering into such a contract, the Department will
require the contractor to establish and maintain the safeguards required under the Privacy Act (5
U.S.C. 552a(m)) with respect to the records in the system.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
	<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (Mathematica Policy
Research) and subcontractors (The American Institutes for Research and Social Policy Research
Associates) maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a unique random number assigned to each
individual that is cross-referenced by the individual's unique State- or district-assigned student
ID on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor
and subcontractors, where this system of records is maintained, is controlled and monitored by
security personnel. 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.
</p><p>The contractor and subcontractors will establish a similar set of procedures at their sites to
ensure confidentiality of data. The contractor and subcontractors are required to ensure that print
data identifying individuals are in files physically separated from other research data and
electronic files identifying individuals are separated from other electronic research data files.
The contractor and subcontractors will maintain security of the complete set of all master data
files and documentation. Access to individually identifying data will be strictly controlled. At
each site, all print data will be kept in locked file cabinets during nonworking hours and work on
hardcopy data will take place in a single room, except for data entry.
</p><p>Physical security of electronic data will also be maintained. Security features that protect
project data include: Password-protected accounts that authorize users to use the contractor's
system but to access only specific network directories and network software; user rights and
directory and file attributes that limit those who can use particular directories and files and
determine how they can use them; and additional security features that the network administrators
will establish for projects as needed. The Department's, contractor's, and subcontractors' employees
who "maintain" (collect, maintain, use, or disseminate) data in this system must comply
with the requirements of the Privacy Act and the confidentiality standards in section 183 of the
ESRA.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules ED 068.a (NARA Job Number: N1-441-08-18).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey
Avenue NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must
meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record about you in this system of records, contact the
system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request for
access to a record must meet the requirements of the Department's Privacy Act regulations at 34 CFR
5b.7, including proof of identity, specification of the particular record you are seeking to have
changed, and the written justification for making such a change.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system will contain records on students included in the Impact Evaluation of Race to
the Top and School Improvement Grants. Data will be obtained through student records maintained by
states or school districts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-34" toc="yes">
<systemNumber>18-13-34</systemNumber>
<subsection type="systemName">The FAFSA Completion Study.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES),
U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p><p>(2) Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, Texas 77098-[Insert the last four digits
of ZIP code] (contractor).
</p><p>(3) Abt Associates, 4550 Montgomery Avenue, Suite 800 North, Bethesda, MD 20814-3343 (subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system will contain records on approximately 180,000 students from 80 school districts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes student directory information, as described in 34 CFR 99.3, 99.31(a)(11), and 99.37, obtained from
school districts that agree to participate in the study. For the participating school districts, the student directory information on
those students who have not opted out of the disclosure of their directory information includes the student's name, birth date, and zip
code. This system of records also includes information on the student's FAFSA completion status and the resulting financial aid
received by the student, which is obtained from the Department's Office of Federal Student Aid.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized by section 173(a)(1)(A) of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9563(a)(1)(A)), which
authorizes the National Center for Education Evaluation and Regional Assistance to conduct evaluations of Federal education programs
administered by the Secretary and to determine the impact of such programs.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in the records maintained in this system will support an evaluation of the impacts of the Department's
providing school districts with access to data on individual students' Free Application for Student Aid (FAFSA). Districts and their
schools are expected to implement targeted outreach to seniors and their families who have not completed the FAFSA. The study will
compare students from schools with access to students' FAFSA completion data to students from similar schools without access to the
students' FAFSA completion data in order to assess the effects of access to FAFSA completion data on FAFSA completion rates, Federal
financial aid receipt, and college enrollment. The study will address the following research questions:
</p><p>1. What is the impact of school access to the completion data on students' applications for Federal student aid? With completion of
a FAFSA a necessary prerequisite for obtaining federal student aid, the most direct goal of the project is to increase rates of FAFSA
form completions; the evaluation will examine whether this is the case.
</p><p>2. What is the impact on students' receipt of Federal student aid? Receipt of financial aid is the key gateway to college
enrollment. In addition, it is possible that school's project efforts could increase not only FAFSA application completion rates but
also the accuracy and quality of the information provided, thereby making students more likely to receive aid.
</p><p>3. What is the impact on college enrollment? Ultimately, the Department hopes that providing schools with access to individual
student FAFSA data will--through increased receipt of financial aid--also increase college enrollment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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
Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing
for confidentiality standards that apply to all collections, reporting, and publication of data by IES.
</p><p>(1) <i>Contract Disclosure.</i> 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.
</p><p>(2) <i>Research Disclosure.</i> The Director of the Institute of Education Sciences may disclose information from this system
of records to qualified researchers solely for the purpose of carrying out specific research that is compatible with the purpose(s) of
this system of records. The researcher shall be required to maintain safeguards under the Privacy Act and section 183 of the ESRA (20
U.S.C. 9573(c)) with respect to such records. When personally identifiable information from a student's education record, other than
directory information, will be disclosed to the researcher under the Family Educational Rights and Privacy Act (FERPA), the researcher
also shall be required to comply with the requirements in the applicable FERPA exception to consent.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and should IES' technical support contractor (Decision Information Resources,
Inc.) and sub-contractor (Mathematica Policy Research, Inc.) be asked to provide assistance, they will maintain data for this system on
computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the
individual's name on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor and subcontractor, where this system of
records may be maintained, is controlled and monitored by security personnel. 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. The contractor and
subcontractor, should they be asked to provide technical support, will establish a similar set of procedures at their sites to ensure
confidentiality of data. The contractor's and subcontractor's systems are required to ensure that information identifying individuals
is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set
of all master data files and documentation. Access to individually identifying data will be strictly controlled. All data will be kept
in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry.
Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected
accounts that authorize users to use the contractor's system but to access only specific network directories and network software; user
rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use
them; and additional security features that the network administrators will establish for projects as needed. The contractor's and
subcontractor's employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the
requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records Disposition Schedule ED 068.a (NARA Disposition
Authority N1-441-08-18).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request
must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record 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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains records on students participating in the FAFSA Completion Study. Data will be obtained through student
directory information maintained by participating school districts and data extracts from the Office of Federal Student Aid.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-35" toc="yes">
<systemNumber>18-13-35</systemNumber>
<subsection type="systemName">Impact Evaluation of Math Professional Development.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES),
U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p><p>(2) The American Institutes for Research, 1000 Thomas Jefferson St. NW., Washington, DC 20007 (contractor).
</p><p>(3) Harvard University, 1350 Massachusetts Ave., Cambridge, MA 02138 (subcontractor).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system of records will contain records on approximately 200 fourth-grade teachers and their students in 6 school districts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include information about the teachers and students who are included in the study. The teacher-level
information will include, but will not necessarily be limited to: Teacher IDs; names and IDs of the school and school district in
which the teacher teaches; demographic information such as race, ethnicity, gender, and educational background (teaching experience,
prior math coursework, college major, highest degree, professional development activities, and teacher certification status); and
scores on a teacher knowledge test and classroom observation measure. The student-level information will include, but will not
necessarily be limited to: Student IDs; the IDs of the student's teacher; month and year of birth; demographic information such as
race, ethnicity, gender, and educational background (attendance level, grade level, free and reduced-price lunch status, English
language learner status, and special education status); and assessment information and scores on mathematics State assessments and a
computer-adaptive mathematics test.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The study is authorized under the Education Sciences Reform Act of 2002, Part D, Section 171(b)(2) (20 U.S.C. 9561(b)(2)), which
authorizes the IES to "conduct evaluations of Federal education programs administered by the Secretary (and as time and
resources allow, other education programs) to determine the impact of such programs (especially on student academic achievement in
the core academic areas of reading, mathematics, and science)."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information contained in this system of records will be used to conduct an impact evaluation of an intensive, content-focused
math professional development (PD) program on teacher knowledge, teacher practices, and student achievement.
</p><p>The study will address the following two research questions: (1) What is the average impact of providing teachers with a
specialized professional development intervention relative to "business-as-usual" professional development on (a)
teachers' content knowledge, (b) teachers' classroom practices, and (c) student achievement? (2) How is the professional development
intervention implemented? What challenges were encountered during the process of implementing the intervention?
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The Department may disclose information contained in this system of records under the routine uses listed here without the
consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may
make these case-by-case disclosures or, if the Department has complied with the computer matching requirements of the Privacy Act of
1974, as amended (Privacy Act) (5 U.S.C. 552a), under a computer matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply with the requirements of section 183 of the Education Sciences Reform Act
(ESRA) (20 U.S.C. 9573), which provides confidentiality standards that apply to all collection, reporting, and publication of data
by IES.
</p><p>(1) <i>Research Disclosure.</i> The Director of IES may license confidential information from this system of records to
qualified external researchers solely for the purpose of carrying out specific research that is compatible with the purpose(s) of
this system of records. The researcher must maintain, under the Privacy Act and the ESRA, safeguards with respect to such records.
When personally identifiable information from a student's education record will be disclosed to the researcher, under the Family
Educational Rights and Privacy Act (FERPA) (20 U.S.C. 1232g), the researcher must comply with the requirements in the applicable
FERPA exception to consent.
</p><p>(2) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any function that requires
disclosing records in this system to the contractor's employees, the Department may disclose the records to those employees who have
received the appropriate level of security clearance from the Department. Before entering into such a contract, the Department will
require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to
the records in the system.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains records on CD-ROM, and the contractor (American Institutes for Research) and subcontractor
(Harvard University) maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed and retrieved by a unique random number assigned to each individual that is cross-referenced
by the individual's unique State- or district-assigned teacher or student ID on a separate list.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All physical access to the Department's site and to the sites of the Department's contractor and subcontractor, where this system
of records is maintained, is controlled and monitored by security personnel. 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.
</p><p>The contractor and subcontractor will establish a similar set of procedures at their sites to ensure confidentiality of data. The
contractor and subcontractor are required to ensure that print data identifying individuals are in files physically separated from
other research data and that electronic files identifying individuals are separated from other electronic research data files. The
contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to
individually identifying data will be strictly controlled. At each site, all print data will be kept in locked file cabinets during
non-working hours and work on hardcopy data will take place in a single room, except for data entry.
</p><p>Physical security of electronic data will also be maintained. Security features that protect project data include: Password-
protected accounts that authorize users to use the contractor's system but to access only specific network directories and network
software; user rights and directory and file attributes that limit those who can use particular directories and files and determine
how they can use them; and additional security features that the network administrators will establish for projects as needed. The
Department's, contractor's, and subcontractor's employees who "maintain" (collect, maintain, use, or disseminate) data
in this system must comply with the requirements of the Privacy Act and the confidentiality standards in section 183 of the ESRA (20
U.S.C. 9573).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are covered by a draft records schedule under development, ED 231 Research and Statistics Records. This schedule
shall be submitted to the National Archives and Records Administration for review and approval when complete. Until such time as it
is approved by NARA, no records shall be destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education, 555 New Jersey Avenue NW., Room 502D, Washington, DC 20208-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, contact the system manager at the
address listed under <b>SYSTEM MANAGER AND ADDRESS</b>. Your request must meet the requirements of the Department's Privacy
Act regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to a record about you in this system of records, contact the system manager at the address listed
under <b>SYSTEM MANAGER AND ADDRESS</b>. Your request must meet the requirements of the Department's Privacy Act regulations
at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records, contact the system manager at the address
listed under <b>SYSTEM MANAGER AND ADDRESS</b>. In addition, you must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.7, including, specification of the particular record you are seeking to have changed, and the written
justification for making such a change.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system will contain records on teachers and students included in the Impact Evaluation of Math Professional Development.
Data will be obtained through study data collection from teachers and students, as well as administrative records maintained by
school districts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-36" toc="yes">
<systemNumber>18-13-36</systemNumber><subsection type="systemName">Study of Enhanced College Advising in Upward Bound.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.</p>
<p>(2)  Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138-1168 (contractor).</p>
<p>(3)  Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, Texas 77098–4610 (subcontractor).</p>
<p>(4) Survey Research Management, 5777 Central Ave., Suite 225 Boulder, Colorado 80301-2853 (subcontractor).</p>

</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system of records will contain records on approximately 136,000 Upward Bound students and 200 Upward Bound project staff.</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>The system of records will include information about the 200 project staff and 6,000 students who are participating in the study, as well as a group of students who previously participated in Upward Bound (high school juniors in school years 2005-2006 through 2010-2011) and for whom information was collected and is maintained through the Department’s annual performance reporting process.  The project staff-level information will include, but will not necessarily be limited to:  names; educational background (college major, highest degree, and professional development activities); and college advising activities.  The student-level information will include, but will not necessarily be limited to:  student names; student SSNs; dates of birth; demographic information such as race, ethnicity, and gender; college entrance exam scores; educational experiences (GPA, AP/IB course-taking); and college application and enrollment plans and behavior, including application and receipt of financial aid. </p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The Study of Enhanced College Advising in Upward Bound is authorized under section 403(h) of the 2008 Higher Education Opportunity Act (HEOA), Pub. L. 110-315 (20 U.S.C. 1070a-18), which requires the Department to conduct a rigorous study of a promising practice that has the potential to improve key outcomes for Upward Bound participants.  Section 403(h)(3) of the HEOA provides that "[f]or the purpose of improving the effectiveness of the programs and projects assisted under this chapter the Secretary shall make grants to, or enter into contracts with, institutions of higher education and other public and private institutions and organizations to rigorously evaluate the effectiveness of the programs and projects assisted under this chapter …." </p>
<p>Further, part D, section 171(b)(2) of the Education Sciences Reform Act of 2002, Pub. L. 107-279 (20 U.S.C. 9561(b)(2)) authorizes the Institute of Education Sciences (IES) to "conduct evaluations of Federal education programs administered by the Secretary (and as time and resources allow, other education programs) to determine the impact of such programs…."</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the records maintained in this system will be used to conduct an evaluation of the effectiveness of a professional development strategy for Upward Bound staff (with related advising tools and resources for staff and students).  </p>
<p>The study will address the following three research questions:  (1)  To what extent do the professional development package and tools have an effect--above and beyond the services Upward Bound grantees already provide--on important student outcomes?  (2)  How fully was the strategy implemented (e.g., in terms of staff participation in training and student use of the tools) and to what extent did it lead to differences in the Upward Bound college advising provided?  (3)  Is there variation in the impacts of the enhanced college advising strategy and to what extent is the variation associated with Upward Bound project features or characteristics of participating students?  Are differences in the implementation of the enhanced college advising strategy associated with differences in impacts?</p>
<p>Information about students who participated previously in Upward Bound will be analyzed to identify potential points in the college advising and enrollment process where improvements can be made using the professional development and tools.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>The Department may disclose information contained in a record in this system of records under the routine uses listed here without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected.  The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a), under a computer matching agreement.  Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the Education Sciences Reform Act (ESRA) (20 U.S.C. 9573), which provides confidentiality standards that apply to all collection, reporting, and publication of data by IES. </p>
<p>  1.  <i>Research Disclosure.</i>  The Director of IES may license confidential information from this system of records to qualified external researchers solely for the purpose of carrying out specific research that is compatible with the purpose(s) of this system of records.  The researcher must maintain, under the Privacy Act and the ESRA, safeguards with respect to such records.  In addition, if confidential information from this system of records constitutes personally identifiable information from a student’s education record that is protected by the Family Educational Rights and Privacy Act (FERPA) (20 U.S.C. 1232g), the researcher also must comply with the requirements in the applicable FERPA exception to consent.</p>
<p>2.  <i>Research Disclosure to Obtain Necessary Records to Conduct the Study.</i>  Under data sharing agreements that will protect student privacy and confidentiality, the Department may disclose the identity of students participating in the study to the study’s partners (the College Board, the ACT, and the National Student Clearinghouse) in order to obtain information on students’ college entrance exams or their enrollment and persistence in college as important outcomes to be examined in the study.</p>
<p>     3.  <i>Contract Disclosure.</i>  If the Department contracts with an entity to perform any function that requires disclosing records in this system to the contractor’s employees, the Department may disclose the records to those employees who have received the appropriate level of security clearance from the Department.  Before entering into such a contract, the Department will require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p>  Not applicable to this system of records.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>     The Department maintains records on CD-ROM, and the contractor (Abt Associates, Inc.) and subcontractors (Decision Information Resources, Inc. and Survey Research Management) maintain data for this system on computers and in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>     Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>     All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel.  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.  </p>
<p>     The contractor and subcontractor will establish a similar set of procedures at their sites to ensure confidentiality of data.  The contractor’s and subcontractor’s systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation.  Access to individually identifying data will be strictly controlled.  At each site, all hardcopy data will be kept in locked file cabinets during non-working hours and work on hardcopy data will take place in a single room, except for data entry.</p>
<p>     Physical security of electronic data will also be maintained.  Security features that protect project data include:  password-protected accounts that authorize users to use the contractor’s system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.   Employees of the Department, as well as employees of its contractor and subcontractors who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the Privacy Act and the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>These records are covered by a draft records schedule under development, ED 231 Research and Statistics Records.  This schedule shall be submitted to the National Archives and Records Administration (NARA) for review and approval when complete.  Until such time as it is approved by NARA, no records shall be destroyed.</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>     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’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>     If you wish to gain access to a record about you in this system of records, contact the system manager.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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 Department’s Privacy Act regulations at 34 CFR 5b.7, including specification of the particular record you are seeking to have changed, the written justification for making such a change, and proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>     This system contains records on project staff and students participating in the Study of Enhanced College Advising in Upward Bound, as well as a group of students who previously participated in Upward Bound (high school juniors in school years 2005-2006 through 2010-2011) and for whom information was collected and is maintained through the Department’s annual performance reporting process.  Data will be obtained through study data collection directly from staff and students, administrative records maintained by Upward Bound project staff including Annual Performance Reports submitted to the Department, data extracts from the Department’s Office of Federal Student Aid, and data extracts from the College Board, the ACT, and the National Student Clearinghouse under data sharing agreements.</p>
</xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>     None.</p></xhtmlContent></subsection></section>

<section id="ed18-13-37" toc="yes">
<systemNumber>18-13-37</systemNumber>
<subsection type="systemName">Impact Evaluation of Support for Principals.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.</p>
<p>(2) Mathematica Policy Research, P.O. Box 2393, Princeton, NJ 08543-2393 (contractor).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system of records will include personally identifying information about the students, teachers, and principals who participate in the study.  The system will contain records on approximately 1,200 teachers, 100 principals, and 37,500 students from 10 school districts. </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>For students, this information will include, but will not necessarily be limited to, standardized math and English/Language Arts test scores, age, sex, race/ethnicity, grade, eligibility for free/reduced-price lunches, English Learner status, individualized education plan status, school enrollment dates, attendance, and discipline records.  For principals and teachers, this information will include, but will not necessarily be limited to, individual district identifiers, school assignments, grades and subjects taught, and any available principal and teacher background characteristics, including age, sex, race/ethnicity, certifications, degrees, years of teaching experience, scores on licensure or certification tests, and teacher and principal performance ratings from district evaluation systems.  </p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The study is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA)(20 U.S.C. 9561(b) and 9563) and section 9601 of the Elementary and Secondary Education Act of 1965, as amended (ESEA) (20 U.S.C. 7941).</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the records maintained in this system will be used to conduct a rigorous study of the effectiveness of providing principals with professional development.</p>
<p>     The study will address the following central research question:  What are the impacts of principals" professional development on teacher retention, teacher effectiveness, and student achievement?  Secondary research questions for the study are:  What are principals" professional development experiences?  What are the impacts of principals" professional development on school climate and principals" and teachers" practices?</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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.  The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.  Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collection, reporting and publication of data by the Institute of Education Sciences.  Any disclosure of personally identifiable information from student education records that were obtained from school districts must also comply with the requirements of the Family Educational Rights and Privacy Act (20 U.S.C. 1232g; 34 CFR Part 99), which protects the privacy of student education records.</p>
<p>Contract Disclosure.  If the Department contracts with an entity to perform any function that requires disclosing records in this system to the contractor"s employees, the Department may disclose the records to those employees who have received the appropriate level of security clearance from the Department.  Before entering into such a contract, the Department will require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p>     None.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>     The Department will maintain records on CD-ROM, and the contractor (Mathematica Policy Research) will maintain data for this system on computers and in hard copy.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>     Records in this system will be indexed and retrieved by a unique number assigned to each individual that will be cross-referenced by the individual"s name on a separate list.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>     All physical access to the Department"s site and to the site of the Department"s contractor, where this system of records will be maintained, controlled and monitored by security personnel.  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.  </p>
<p>The contractor will establish a similar set of procedures at its site to ensure confidentiality of data.  The contractor is required to ensure that information identifying individuals is in files physically separated from other research data and electronic files identifying individuals are separated from other electronic research data files.  The contractor will maintain security of the complete set of all master data files and documentation.  Access to individually identifiable data will be strictly controlled.  All information will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry.  </p>
<p>     Physical security of electronic data will be also maintained.  Security features that protect project data will include:  password-protected accounts that authorize users to use the contractor"s system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.  The Department"s and the contractor"s employees who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the Privacy Act and the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are maintained and disposed of in accordance with the Department"s Records Disposition Schedules (GRS 23, Item 8).</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>     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"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>     If you wish to gain access to a record about you in this system of records, contact the system manager.  Your request must meet the requirements of the Department"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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 Department"s Privacy Act regulations at 34 CFR 5b.7, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>     This system will contain records on principals, teachers, and students participating in an impact evaluation of support for principals.  Data will be obtained through human resource and student administrative records maintained by the school districts and surveys of principals and teachers.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-13-38" toc="yes">
<systemNumber>18-13-38</systemNumber>
<subsection type="systemName">Impact Evaluation of Training in Multi-Tiered Systems of Support for Behavior. 
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p>
</xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.</p>
<p>(2)  MDRC, 16 East 34 Street, 19th Floor, New York, NY 10016-4326 (contractor).  </p>
<p>(3)  American Institutes for Research (AIR), 1000 Thomas Jefferson Street, NW., Washington, DC 20007-3835 (subcontractor).</p>


<p>(4)  Decision Information Resources (DIR), Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098"4610 (subcontractor).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system of records will include personally identifying information about the students as well as teachers and other school staff who participate in the study.  The system will contain records on approximately 38,000 students and 3,600 teachers and other school staff from 12 school districts. </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>For students, this information will include, but will not necessarily be limited to, standardized math and English/Language Arts test scores, age, sex, race/ethnicity, grade, eligibility for free/reduced-price lunches, English Learner status, individualized education program status, school enrollment dates, attendance, discipline records, school engagement, and student behavior.  For teachers and other school staff, this information will include, but will not necessarily be limited to, school assignments, positions, grades and subjects taught, any available teacher and staff background characteristics, including age, sex, race/ethnicity, certifications, and years of teaching experience, and classroom management and behavior support practices.  </p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The system of records is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA)(20 U.S.C. 9561(b) and 9563) and section 664 of the Individuals with Disabilities Education Improvement Act of 2004 (20 U.S.C. 1464).</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the records maintained in this system will be used to conduct a rigorous study of the effectiveness of providing school staff with training in multi-tiered systems of supports for behavior.</p>
<p>     The study will address the following central research questions:  What are the impacts on school climate, school staff practice, and student outcomes of providing training in MTSS-B that includes universal supports (Tier I)?  What are the impacts on school climate, school staff practice, and student outcomes of providing training in MTSS-B that includes universal supports (Tier I) plus targeted interventions for at-risk students (Tier II)?  What is the impact of additional training in targeted interventions for at-risk students (Tier II) for schools already trained in MTSS-B that includes universal supports (Tier I)?  What are the impacts for relevant subgroups including students with at-risk behavior, students with disabilities, and teachers with less experience?  Which strategies are correlated with improvement in student outcomes?</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>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.  The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.  Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collection, reporting, and publication of data by the Institute of Education Sciences.  It must also comply with the requirements of the Family Educational Rights and Privacy Act (20 U.S.C. 1232g; 34 CFR part 99), which protects the privacy of student education records.</p>
<p>The Department may disclose records under the "contract disclosure" proposed routine use.  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 who have received the appropriate level of security clearance from the Department.  Before entering into such a contract, the Department will 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.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p>     None.</p>
</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>     The Department will maintain records on CD-ROM, and the contractor (MDRC) and subcontractors (AIR and DIR) will maintain data for this system on computers and in hard copy.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>     Records in this system will be indexed and retrieved by a unique number assigned to each individual that is cross-referenced by the individual"s name on a separate list.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>     All physical access to the Department"s site and to the sites of the Department"s contractor and subcontractors, where this system of records will be maintained, is controlled and monitored by security personnel.  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.  </p>
<p>The contractor and subcontractors will establish a similar set of procedures at their sites to ensure confidentiality of data.  The contractor and subcontractors are required to ensure that information identifying individuals is in files physically separated from other research data and electronic files identifying individuals are separated from other electronic research data files.  The contractor will maintain security of the complete set of all master data files and documentation.  Access to individually identifiable data will be strictly controlled.  All information will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry.  </p>
<p>Physical security of electronic data also will be  maintained.  Security features that protect project data will include:  password-protected accounts that authorize users to use the contractor"s system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.  The Department"s, the contractor"s, and the subcontractor"s employees who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the Privacy Act and the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are maintained and disposed of in accordance with the Department"s Records Disposition Schedules (GRS 23, Item 8).</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>     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"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>     If you wish to gain access to a record about you in this system of records, contact the system manager.  Your request must meet the requirements of the Department"s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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 Department"s Privacy Act regulations at 34 CFR 5b.7, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>     This system will contain records on students as well as teachers and other school staff in an impact evaluation of training in multi-tiered systems of supports for behavior.  Data will be obtained through human resource and student administrative records maintained by the school districts, surveys of students as well as teachers and other school staff, observations of classrooms, ratings of student behavior, and individual student testing.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.</p></xhtmlContent></subsection></section>

<section id="ed18-13-39" toc="yes">
<systemNumber>18-13-39</systemNumber> <subsection type="systemName">Impact Evaluation of Data-Driven Instruction Professional Development for Teachers.
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.</p></xhtmlContent>
</subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1)  Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.</p>
<p>(2) Mathematica Policy Research, P.O. Box 2393, Princeton, NJ 08543-2393 (contractor).</p>
<p>(3) Abt Associates, 55 Wheeler Street, Cambridge MA 02138-1168 (sub-contractor).</p>
<p>(4) Synergy Enterprises, 8757 Georgia Avenue, Suite 1440, Silver Spring, MD 20910 (sub-contractor).</p>
<p>(5) Evidence-Based Education Research &amp; Evaluation, 34 Washburn Avenue, Cambridge, MD 02140 (sub-contractor).</p>
<p>(6) Public Consulting Group Education – Focus on Results, 148 State Street, Boston, MA 02109 (sub-contractor).</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>The system of records will include personally identifying information about the students, teachers, and principals who participate in the study.  The system will contain records on approximately 12,000 students, 500 teachers, and 104 principals from 104 schools in 12 school districts. </p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>For students, this information will include, but will not necessarily be limited to, standardized math and English/Language Arts test scores, age, sex, race/ethnicity, grade, eligibility for free/reduced-price lunches, English Learner status, individualized education plan status, school enrollment dates, attendance records, and discipline records.  For principals and teachers, this information will include, but will not necessarily be limited to, individual district identifiers, school assignments, grades and subjects taught, and principal and teacher background characteristics, including age, sex, race/ethnicity, certifications, degrees, years of teaching experience, and scores on licensure or certification tests.  </p>
</xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>The study is authorized under sections 2121-2123 of the Elementary and Secondary Education Act of 1965, as amended (ESEA) (20 U.S.C. 6621-6623), section 9601 of the ESEA (20 U.S.C. 7941), and section 171(b) of the Education Sciences Reform Act of 2002 (ESRA)(20 U.S.C. 9561).</p>
</xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The information contained in the records maintained in this system will be used to conduct a rigorous study of the effectiveness of providing data-driven instruction professional development to teachers and principals.</p>
<p>     The study will address the following central research question:  What are the impacts of data-driven instruction professional development on student achievement, teachers’ instructional strategies, and school supports for using data? Secondary research questions for the study are:  How are schools implementing data-driven instruction?  What challenges do schools face in its implementation?</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>

<p>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.  The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.  Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collection, reporting, and publication of data by the Institute of Education Sciences.  Any disclosure of personally identifiable information from student education records that were obtained from schools or school districts must also comply with the requirements of the Family Educational Rights and Privacy Act (20 U.S.C. 1232g; 34 CFR Part 99), which protects the privacy of student education records.</p>
<p>Contract Disclosure.  If the Department contracts with an entity to perform any function that requires disclosing records in this system to the contractor’s employees, the Department may disclose the records to those employees who have received the appropriate level of security clearance from the Department.  Before entering into such a contract, the Department will require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.</p>
<p>Disclosure to consumer reporting agencies:</p>
<p>     None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>

<p>Storage:</p>
<p>The Department will maintain records on CD-ROM, and the contractor and sub-contractors will maintain data for this system on computers and in hard copy.</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>     Records in this system will be indexed and retrieved by a unique number assigned to each individual that will be cross-referenced by the individual’s name on a separate list.</p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>     All physical access to the Department’s site and to the site of the Department’s contractor and sub-contractors, where this system of records will be maintained, will be controlled and monitored by security personnel.  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.  </p>
<p>The contractor will establish similar procedures at its site to ensure confidentiality of data.  The contractor is required to ensure that information identifying individuals is in files physically separated from other research data and electronic files identifying individuals are separated from other electronic research data files.  The contractor will maintain security of all master data files and documentation.  Access to individually identifiable data will be strictly controlled.  All information will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry.  </p>
<p>     Physical security of electronic data will be also maintained.  Security features that protect project data will include:  password-protected accounts that authorize users to use the contractor’s system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.  The Department’s and the contractor’s employees who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the Privacy Act and the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).</p>
</xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (GRS 23, Item 8).</p>
</xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. </p>
</xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>     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’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>     If you wish to gain access to a record about you in this system of records, contact the system manager.  Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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 Department’s Privacy Act regulations at 34 CFR 5b.7, including proof of identity.</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>     This system will contain records on principals, teachers, and students participating in an impact evaluation of data-driven instruction professional development.  Data will be obtained from human resource and student administrative records maintained by the schools and school districts, a survey of principals and teachers, and teacher activity logs to document teachers’ planning and classroom activities over four school days.</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>     None.</p>
</xhtmlContent></subsection></section>
<section id="ed18-14-01" toc="yes">
<systemNumber>18-14-01</systemNumber>
<subsection type="systemName">Educationally Disadvantaged Students Attending Private Schools Served Through Bypass
Contracts.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Contractor serving the State of Virginia: Nonpublic Educational Services, Inc., 14416
Jefferson Davis Highway, Suite 11, Woodbridge, VA  22191.
</p><p>Contractor serving the State of Missouri: Blue Hills Homes Corporation, 1020 East 63rd Street,
Kansas City, MO  64110.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on selected elementary and secondary school students whom:
</p><p>(1)  Attend private schools;
</p><p>(2)  Reside in target areas of bypassed local educational agencies; and
</p><p>(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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains student documents such as test scores, report cards, individual
instructional records and reports from teachers to other teachers and parents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C. 6321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, or any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv)  Any Department employee in his or her individual capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(6) Employment, Benefit, and Contracting Disclosure.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(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 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.
</p><p>(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.
</p><p>(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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are indexed by student names, school attended and year of attendance at that
school.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>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).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Compensatory Education Programs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3W230, Washington, DC  20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-14-02" toc="yes">
<systemNumber>18-14-02</systemNumber>
<subsection type="systemName">Fellowships for Indian Students--Applications and Awards.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Indian Education, Office of Elementary and Secondary Education, 1250 Maryland
Avenue, SW., Room 4300, Portal Building, Washington, DC  20202-6335.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Indian Education Act of 1972, as amended, Pub. L. 92-318, Part B, section 423.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 agrement.
</p><p>(1)  Advisory Council Disclosure.  Information may be released to members of the National
Advisory Council on Indian Education.
</p><p>(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.
</p><p>(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.
</p><p>(4)  Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(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:
</p><p>(i)  The Department of Education, any component of the Department; or
</p><p>(ii)  Any Department employee in his or her official capacity; or
</p><p>(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
</p><p>(iv)  Any Department employee in his or her official capacity where the agency has agreed to
represent the employee; or
</p><p>(v)  The United States where the Department determines that the litigation is likely to affect
the Department or any of its components.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy, filed in locked standard file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records on fellowship holders are maintained and disposed of in accordance with the
Department of Education Records Disposition Schedules (ED/RDS).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the individual applicant and from references submitted by the
applicant on approved forms.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-14-03" toc="yes">
<systemNumber>18-14-03</systemNumber>
<subsection type="systemName">Native Hawaiian Education Council Membership.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>School Improvement Programs, Office of Elementary and Secondary Education, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 3C126, Washington, DC 20202-6140.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have been or are presently members of or are being considered for membership
on the Native Hawaiian Education Council.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in this system consist 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, previous or current membership on the Native Hawaiian Education Council, source
who recommended the individual for membership on the advisory council, and miscellaneous
correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7204 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the
No Child Left Behind Act of 2001 (Pub. L. 107-110).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To establish a Native Hawaiian Education Council to help coordinate the educational and
related services available to Native Hawaiians, including programs receiving funding under the
Native Hawaiian Education Act.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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.
</p><p>(1) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department of Education, or any component of the Department; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(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;
</p><p>(iv) Any Department employee in his or her individual capacity if the agency has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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.
</p><p>(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.
</p><p>(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.
</p><p>(2) 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.
</p><p>(3) 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 that is compatible with the 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 that is compatible with the purposes
of this system of records. The researcher shall be required to maintain Privacy Act safeguards with
respect to the disclosed records.
</p><p>(4) 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.
</p><p>(5) 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.
</p><p>(6) 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy filed in file cabinets and on personal computers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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. Furthermore, the
designated individuals' access to personal computers, the network, and the system of records will
require personal identifiers and unique passwords, which will be periodically changed to prevent
unauthorized access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of in accordance with the Department's Records Disposition Schedules
(ED/RDS), Part 5 and the National Archives and Records Administration's General Records Schedules
(GRS) 16, item 8.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Native Hawaiian Program Manager, School Improvement Programs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in this system of records,
contact the system manager. Your request must meet the requirements of the Department's Privacy Act
regulations in 34 CFR 5b.7, including proof of identity. You may present your request in person at
any of the locations identified for this system of records or address your request to the system
manager at the following address: School Improvement Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as notification procedures. Requestors should also reasonably specify the record
contents being sought. These access procedures are in accordance with Department regulations (34 CFR
5b.5(a)(2)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contact the official at the address specified under notification procedures, reasonably
identify the record, and specify the information to be contested. Your request must meet the
regulatory requirements of 34 CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records will be obtained from the individuals, references,
recommendations, private organizations, Members of Congress, and other government sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-14-04" toc="yes">
<systemNumber>18-14-04</systemNumber>
<subsection type="systemName">Migrant Student Information Exchange (MSIX).
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) U.S. Department of Education, Office of Elementary and Secondary Education, Office of
Migrant Education, 400 Maryland Avenue, SW., room 3E344, Washington, DC 20202-4614.
</p><p>(2a) Deloitte LLC, 4301 North Fairfax Drive, Suite 210, Arlington, VA 22203-1633 (software
development and programming).
</p><p>(2b) Deloitte LLC, 110 West 7th Street, Suite 1100, Tulsa, OK 74119-1107 (help desk for
MSIX).
</p><p>(3a) EDS Data Center, 6031 South Rio Grande Avenue, Orlando, FL 32809-4613 (MSIX Production
Servers).
</p><p>(3b) EDS, 12000 Research Parkway, Orlando, FL 32826-2943 (back-up tapes).
</p><p>(4) Navasite Data Center, 8619 Westwood Center Drive, Vienna, VA 22182-2220 (disaster
recovery site).
</p><p>(5) Access to MSIX is available through the Internet from other locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on all children whom States have determined to be eligible to
participate in the MEP, authorized in Title I, Part C of the Elementary and Secondary Education Act
of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records in the system include the migrant child's: Name, date of birth,
personal identification numbers assigned by the States and the Department, parent's or parents' name
or names, school enrollment data, school contact data, assessment data, and other educational and
health data necessary for accurate and timely school enrollment, grade and course placement, and
accrual of course credits. The final request for public comment on the minimum data elements (MDEs)
to be included in MSIX was published, pursuant to the Paperwork Reduction Act of 1995 clearance
process, in the <i>Federal Register</i> on August 3, 2007 (72 FR 43253-34). More information
on the 66 MDEs is available in the Department's Information Collection Notice at: <i>
http://edicsweb.ed.gov/browse/downldatt.cfm?pkg_serial_num=2841</i>.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>MSIX is authorized under section 1308(b)(2) of the ESEA, as amended by the No Child Left
Behind Act of 2001 (20 U.S.C. Section 6398(b)(2)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of MSIX is to enhance the continuity of educational and health services for
migrant children by providing a mechanism for all States to exchange educational and health related
information on migrant children who move from State to State due to their migratory lifestyle. It is
anticipated that the existence and use of MSIX will help to improve the timeliness of school
enrollments, improve the appropriateness of grade and course placements, and reduce incidences of
unnecessary immunizations of migrant children. Further, MSIX will facilitate the accrual of course
credits for migrant children in secondary school by providing accurate academic information on the
student's course history and academic progress.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may make these disclosures on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act, as amended, under a
computer matching agreement.
</p><p>(1) <i>MEP Services, School Enrollment, Grade or Course Placement, Accrual of High School
Credits, Student Record Match Resolution.</i> The Department may disclose a record in this system of
records to authorized representatives of State education agencies (SEAs), local education agencies
(LEAs), and other MEP local operating agencies (LOAs) to facilitate one or more of the following for
a student: (a) Participation in the MEP, (b) enrollment in school, (c) grade or course placement,
(d) credit accrual, and (e) unique student match resolution.
</p><p>(2) <i>Contract Disclosure.</i> 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 who have received the
appropriate level security clearance from the Department. Before entering into such a contract, the
Department will 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.
</p><p>(3) <i>Research Disclosure.</i> The Department may disclose records from this system 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 information
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 will be required to
maintain Privacy Act safeguards with respect to the disclosed records.
</p><p>(4) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to the U.S. Department of Justice (DOJ) or OMB if the Department concludes that
disclosure is desirable or necessary to determine whether particular records are required to be
disclosed under FOIA or the Privacy Act.
</p><p>(5) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that
the security or confidentiality of information in MSIX has been compromised; (b) the Department has
determined that as a result of the suspected or confirmed compromise, there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of
MSIX or other systems or programs (whether maintained by the Department or by another agency or
entity) that rely upon the compromised information; and, (c) the disclosure is made to such
agencies, entities, and persons who are reasonably necessary to assist the Department in responding
to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy
such harm.
</p><p>(6) <i>Litigation or Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any employee of the Department in his or her individual capacity where DOJ has agreed to or
has been requested to provide or arrange for representation of the employee.
</p><p>(iv) Any employee of the Department in his or her individual capacity where the Department has
agreed to represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain records to
DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, and is compatible
with the purpose for which the records were collected, the Department may disclose those records as
a routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure.</i> 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 or mediate disputes is
relevant and necessary to litigation or ADR, 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.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, and Witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to litigation or ADR, and is compatible with the purpose for which the
records were collected, the Department may disclose those records as a routine use to a party,
counsel, representative, or witness.
</p><p>(7) <i>Congressional Member Disclosure.</i> The Department may disclose information from a record
of an individual to a member of Congress and his or her staff 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable to this system notice.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Data Center of the Department's contractor, EDS, stores computerized student records on
server hardware and MSIX backup tapes, including MSIX Help Desk tapes, in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a unique number, assigned to each individual, that is
cross-referenced by the individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>(1) <i>Introduction</i>
</p><p>Security personnel control and monitor all physical access to the site of the Department's
contractor and subcontractors, where this system of records is maintained. The computer system
employed by the Department offers a high degree of resistance to tampering and circumvention. This
computer 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 by granting user
names and passwords, and assigning user roles to individuals that restrict access based on user
category (e.g., district administrator, counselor, state administrator).
</p><p>The contractor has established a set of procedures to ensure confidentiality of data, and will
maintain the security of the complete set of all master data files and documentation. The contractor
and subcontractor employees who collect, maintain, use, or disseminate data in this system, must
comply with the requirements of the Privacy Act.
</p><p>(2) <i>Physical Security of Electronic Data</i>
</p><p>Physical security of electronic data will be maintained. The MSIX infrastructure is housed in a
secured data center, access to which is controlled by multiple access controls. These access
controls include a combination of personal photo identification/card scans, biometric hand scanning,
and personal access codes. These access controls also include man-traps and physical barricades that
limit access to the data center floor and machine rooms. Further, all entrances, exits, and key
points throughout the facility are monitored in real-time via closed circuit television (CCTV) 24
hours per day. All CCTV is recorded and stored on tape for audit purposes. These access control
mechanisms are centrally managed by resources within the data center, which is staffed 24 hours per
day.
</p><p>Security personnel are required to inspect picture identification and have visitors sign in
before granting access to the facility. Visitors are pre-authorized and registered in a database at
least 24 hours prior to their arrival, and are required to provide picture identification that
matches the name given previously to the data center. All personnel are required to display an
identification badge or an authorized visitor badge at all times while on the premises; and all
packages brought into the data center are subject to inspection.
</p><p>Backup tapes are employed, and numerous mechanisms protect the physical security of these backup
tapes. First, in the event of a disaster recovery situation, MSIX backup tapes will be transferred
in locking containers. Contractor and subcontractor employees holding Department of Defense (DoD)
Secret or Interim Secret clearances will ship the tapes from the EDS Data Center to the Navasite
Data Center, the disaster recovery site. Thus, the MSIX system can be restored in the event of a
disaster at the Navasite Data Center. Second, the backup tapes are stored in a tape library within
the EDS Data Center and are only available to authorized personnel. Access to the backup tapes is
limited through the use of biometric access control mechanisms. Third, the backup tapes are stored
in fireproof safes.
</p><p>(c) <i>User Access to Electronic Data</i>
</p><p>MSIX incorporates a series of security controls mandated by the Federal Information Security
Management Act of 2002 (FISMA) and the Department. MSIX leverages role-based accounts and security
controls to limit access to the application, its servers, and its infrastructure to authorized
users. All MSIX users must follow a registration process that involves identity validation and
verification prior to gaining access to MSIX. Once validated and approved, MSIX User Administrators
will grant access to authorized users by creating their MSIX accounts and assigning the appropriate
MSIX roles. MSIX requires users to use strong passwords, comprised of alphanumeric and special
characters, and uses Oracle's Internet Directory (OID) application to manage its user accounts. OID
stores the name of each MSIX user, each MSIX user's associated roles and access privileges, and each
MSIX user's passwords using an encrypted format. The MSIX application is only available to
authorized users via a Uniform Resource Locator (URL) that runs under the Hypertext Transfer
Protocol over Secure Socket Layer (HTTPS). No user may alter records in this system of records
except to identify and assign a student a unique student identifier through the record matching
process. Further, MSIX limits data submissions from State systems to specific Internet Protocol
addresses and requires the use of Secure File Transfer Protocol.
</p><p>(d) <i>Additional Security Measures</i>
</p><p>The MSIX infrastructure also leverages a series of firewalls to limit internal access to specific
protocols and ports, as well as intrusion detection systems to help identify unauthorized access to
MSIX. MSIX logs and tracks login attempts, data modifications, and other key application and system
events. The MSIX operations and maintenance team monitors these logs on a regular basis. Further,
the MSIX operations and maintenance team performs vulnerability scans on a routine basis, monitors
the U.S. Computer Emergency Response Team (CERT) bulletins (see <i>http://www.us-cert.gov/</i> for
more details), and applies routine operating system and vendor patches as appropriate.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records
Disposition Schedules as listed under ED 231--Public and Restricted Use Data Files--
Studies.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Migrant Education, U.S. Department of Education, 400 Maryland Avenue,
SW., room 3E317, Washington, DC 20202-0001.
</p></xhtmlContent></subsection>
	<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the system manager at the address listed under, <b>SYSTEM MANAGER AND ADDRESS</b>. Your
request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>. Your request must meet the
requirements of regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the system manager at the address listed under, <b>SYSTEM MANAGER AND ADDRESS</b>. Your
request must meet the requirements of regulations in 34 CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system will contain records that are obtained from SEAs and LEAs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-14-05" toc="yes">
<systemNumber>18-14-05</systemNumber>
<subsection type="systemName">Indian Education--Individual Reporting on Regulatory Compliance Related to the Indian
Education Professional Development program's Service Obligation and the Government Performance and
Results Act of 1993 (GPRA).
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Indian Education, U.S. Department of Education, 400 Maryland Ave., SW.,
Washington, DC 20202-2600.
</p><p>Records referred to the Department's Accounts Receivable Group will also be stored in a system
located in the office of the Chief Financial Officer, Financial Management Operations, Accounts
Receivable Group, U.S. Department of Education, 550 12th Street, SW., Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who are recipients of financial assistance from
grants awarded to eligible entities by the Indian Education Professional Development program (CFDA
84.299B).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records pertaining to participants who received financial assistance
under the Indian Education Professional Development program. Information in this system will include
the name, social security number, date of birth, mailing address, telephone number, e-mail address,
and alternate contact information for each participant in the grant, as well as the name and contact
information of a person through whom the participant can be contacted, the number of semesters or
months for which the participant needs to provide service in order to satisfy the service payback
obligation, the total amount of financial assistance the participant received, the time period
during which the participant must satisfy the service payback obligation, eligible employment to
fulfill the service payback obligation, contact information for employers, and grant identification
numbers. In addition, participants may request an educational deferment, which requires verification
of acceptance in a university/college program, enrollment as a full time student, registration each
semester, timely submission of semester transcripts and documentation of the participant as a
student in good standing. Participants also provide information about specific areas of training,
certifications or licensures obtained, reasons for leaving the program before completion, gender,
ethnic origin, and education history. Participants are responsible for obtaining letters signed by
the participant's supervisor that verify the employment information provided by the participant.
These letters must be submitted to the Department every six months until the required service
payback obligation is completed.
</p><p>Social security numbers are collected in order to ensure the correct identity of the participant
in the event fiscal payback is required.
</p><p>This system of records does not cover records maintained in the Department's system of records
entitled "Education's Central Automated Processing System (EDCAPS)" (18-03-
02) as part of the Department's receivables management function.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system of records is authorized under sections 7121 through 7122 of the ESEA (20 U.S.C.
7441-7442).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purposes: To track a participant's
enrollment, employment, fulfillment of the terms of the service obligation; to evaluate progress on
the performance measures for the Indian Education Professional Development program (CFDA 84.299B);
and to collect debts owed to the Government under this program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis or, if the Department has complied with the computer
matching requirements of the Privacy Act, as amended by the Computer Matching and Privacy Protection
Act of 1988, under a computer matching agreement.
</p><p>(1) <i>Program Purposes.</i> The Department may disclose records from this system of records:
</p><p>(a) To the participant's employers to verify the eligible employment of participants who were
supported with financial assistance under the Indian Education Professional Development program and
who are attempting to fulfill their service payback obligation.
</p><p>(b) To grantees to inform them of their participants' employment outcomes.
</p><p>(2) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records from this system of records to appropriate agencies, entities, and persons when: (a) It
suspects or has confirmed that the security or confidentiality of information in this system has
been compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or
harm to the security or integrity of this system or other systems or programs (whether maintained by
the Department or by another agency or entity) that rely upon the compromised information; and (c)
the disclosure made to such agencies, entities, and persons is reasonably necessary to assist the
Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm.
</p><p>(3) <i>Contract Disclosure.</i> 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.
</p><p>(4) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(5) <i>Enforcement Disclosure.</i> 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 statutory, regulatory, 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.
</p><p>(6) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> In the event that one of the following parties 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain records to
DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a
routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and
necessary to litigation or ADR to disclose certain records to an adjudicative body before which the
Department is authorized to appear, to an individual, or to an entity designated by the Department
or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as
a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to parties, counsel,  representatives, or witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to litigation or ADR, the Department may disclose those records as a routine
use to the party, counsel, representative, or witness.
</p><p>(7) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to DOJ or OMB if the Department concludes that disclosure is desirable or
necessary in determining whether particular records are required to be disclosed under FOIA or the
Privacy Act.
</p><p>(8) <i>Disclosure to DOJ.</i> The Department may disclose records to DOJ to the extent necessary
for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to
the program covered by this system.
</p><p>(9) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff when necessary to respond 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 the inquiry. Records are
disclosed to congressional members and staff investigating and seeking to resolve individuals'
requests, complaints, or concerns.
</p><p>(10) <i>Research Disclosure.</i> 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.
</p><p>(11) <i>Disclosure To Consumer Reporting Agencies.</i> Disclosures pursuant to 5 U.S.C. 552a(b)
(12): The Department may disclose to a consumer reporting agency information regarding a valid,
overdue claim of the Department; such information is limited to--(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(e). A consumer reporting
agency to which these disclosures may be made is defined in 31 U.S.C. 3701(a)(3).
</p><p>(12) <i>Debt Servicing.</i> The Department may disclose records to the United States Department
of the Treasury for the purpose of collecting debts owed to the Government by individuals who fail
to satisfy their requirements under this program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains hard copy records in locked file cabinets that are located within
locked offices protected by a security system.
</p><p>The Department will maintain records referred to Accounts Receivable in the Education Central
Automated Processing System of Records (EDCAPS).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a number assigned to each individual. Records are
retrieved by name or grant number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>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.
</p><p>In accordance with Department policy, as set forth in Administrative Communication System OM:5
-101 entitled "Contractor Employee Personnel Security Screenings," all contract
personnel who have facility access and system access are required to undergo a security clearance
investigation. Contractors requiring access to Privacy Act data are required to hold, at a minimum,
a moderate risk security clearance level.
</p><p>Department personnel and Department contractors are also required to complete security awareness
training on an annual basis. This training is required to ensure that contract and Department users
are trained appropriately in safeguarding Privacy Act data in accordance with OMB Circular A-
130, Appendix III.
</p><p>The Department will maintain security of the complete set of all master data files and
documentation. Access to individually identifying data will be strictly controlled. Unless a file is
needed for review or processing, all hard copy data will be kept in locked file cabinets during work
and nonworking hours. When a file is needed, work will take place in a single room. The system is
required to ensure that information identifying individuals is in files physically separated from
other data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained and disposed of in accordance with the records retention
and disposition authority approved by the National Archives and Records Administration (NARA).
Pending NARA approval of that authority, these records shall not be destroyed or deleted. Records
will be kept until completion of service or cash payback is verified.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Secretary for Elementary and Secondary Education, U.S. Department of Education,
400 Maryland Ave., SW., room 3W315, Washington, DC 20202-2600.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records,
contact the systems manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>.
Your request must meet the requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>. Your request must meet
the requirements of 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to contest the content of a record regarding you in the system of records,
contact the system manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b>.
Your request must meet the requirements of 34 CFR 5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The collection of records information is obtained from the grantee, participants, and
employers.
</p><p>When the Department determines a participant will not fulfill a payback obligation through
service and must instead repay some or all of the financial assistance the participant received, the
Department will forward information to the Department's Accounts Receivable Group in the Office of
the Chief Financial Officer (OCFO).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-14-06" toc="yes">
<systemNumber>18-14-06</systemNumber>

<subsection type="systemName">Migrant Education Bypass Program Student Database (MEBPSD).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent>
<p>(1) U.S. Department of Education, Office of Elementary and Secondary Education, Office of Migrant
Education, 400 Maryland Avenue  SW., Room 3E315, Washington, DC 20202-4614.
</p><p>(2a) Central Susquehanna Intermediate Unit (CSIU), 90 Lawton Lane, Milton, PA 17847 (main
database server and primary location of staff serving West Virginia (WV)).
</p><p>(2b) Central Susquehanna Intermediate Unit, 911 Greenough Street, Suite 1, Sunbury, PA 17801
(secure off-site location where electronic backup media will be stored).
</p><p>(3) LEARN Regional Educational Service Center, 44 Hatchetts Hill Road, Old Lyme, CT 06371
(subcontractor of CSIU and primary location of staff serving Connecticut (CT) and Rhode Island
(RI)).
</p><p>(4) ESCORT, Eastern Stream Center--South, 3750 Gunn Highway, Suite 210, Tampa, FL 33618.
</p><p>(5) Contractor and subcontractor staff will keep and maintain a subset of MEBPSD records in print
format or on tablet personal computers.
</p><p>(6) Contractor and subcontractor staff may access the MEBPSD through the Internet using secure
network connections that utilize encryption and Virtual Private Network technology.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>This system contains records on all children in the target States whom the U.S. Department of
Education (Department) has determined to be eligible to participate in the Migrant Education Program
(MEP), authorized in Title I, Part C, of the Elementary and Secondary Education Act of 1965, as
amended (ESEA). For purposes of this notice, these children are referred to as "migrant
children".
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>The categories of records in the system include, but are not limited to, the migrant child's:
name; date of birth; birth city; birth State; birth country; home address; telephone number;
personal identification numbers assigned by the Department's contractor, the Migrant Student
Information Exchange (MSIX) system, the State educational agency (SEA), and the local educational
agency (LEA); and relevant family information (<i>e.g.,</i> parent's or parents' name or
names and proficiency in English). The system also includes data on the migrant child's school
enrollment, school contacts, assessments, school readiness, educational interests, and other
educational and health data necessary for: providing educational and support services in a
coordinated and efficient manner; ensuring accurate and timely school enrollment, grade and course
placement, and accrual of course credits; and reporting aggregate, non-personally identifiable
information to the Department. The system also includes information related to the child's
eligibility for the MEP. In cases where the child is a migratory agricultural worker or migratory
fisher, the MEBPSD includes information about the child's move, the types of work the child performs
and has performed in the past, and the name of the workplace where this work is or was performed. In
cases where the child moves with a parent, guardian, or spouse who is a migratory agricultural
worker or migratory fisher, the MEBPSD includes information about the moves the child and worker
made; the type of work the parent, guardian, or spouse performs and has performed in the past; and
the name of the workplace where this work is or was performed.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The MEBPSD is authorized under section 1307 of the ESEA, (20 U.S.C. 6397).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The purposes of the MEBPSD are to enable the Department, through its contractor, CSIU, to: (1)
Verify the eligibility of migratory children in the target States for MEP services; (2) help
migratory children in the target States receive appropriate educational and supportive services that
address their special needs in a coordinated and efficient manner; (3) help to ensure, by
collecting, maintaining, and transferring children's education records, that migratory children in
the target States are not penalized by disparities in State curriculum, graduation requirements,
academic content, and student academic achievement standards as they move among States; (4) help
migratory children overcome educational disruption, cultural and language barriers, social
isolation, health-related problems, and other factors that inhibit their ability to make a
successful transition to postsecondary education or employment; (5) enable the contractor to provide
to the Department MEP performance report data typically submitted by SEAs; and (6) enable the
contractor to report on the numbers of eligible children in the target States so that the Department
can continue to determine the amount of funds available to provide educational and supportive
services to eligible migratory children in the target States.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>The Department may disclose information contained 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. The Department may make these
disclosures on a case-by-case basis or, if the Department has complied with the computer matching
requirements of the Privacy Act, under a computer matching agreement.
</p><p>
(1) <i>Program Disclosures.</i> The Department may disclose a record in this system of
records to representatives of SEAs, LEAs, MEP local operating agencies (LOAs), public schools,
private and non-public schools, and charter schools to facilitate one or more of the following for a
student: (a) Eligibility for and participation in the MEP, (b) eligibility for federally- or State-
funded programs, (c) coordination and delivery of educational and supportive services, (d)
enrollment in school, (e) grade or course placement, (f) credit accrual, and (g) unique student
match resolution. Unique student match resolution is a process to determine if two students in a
database, who share similar identifying characteristics (e.g. name and date of birth), are the same
student. The Department may disclose a record in this system of records to representatives of
community-based organizations and health and social service providers to help migratory children
overcome social isolation, various health-related problems, and other factors that inhibit the
ability of such children to do well in school. The Department may also disclose a record in this
system of records to institutions of higher education (IHEs) or private nonprofit organizations that
operate a federally funded College Assistance Migrant Program (CAMP) or a High School Equivalency
Program (HEP); State or local government entities, IHEs, or nonprofit organizations that operate a
Migrant Education Even Start (MEES) Program; nonprofit organizations and for-profit organizations
that operate a Migrant and Seasonal Head Start program; and public agencies and private nonprofit
organizations that receive funding from the National Farmworker Jobs Program, so that they can
determine children's eligibility for these Federal grant programs and provide services accordingly.</p>
<p>(2) <i>Contract Disclosure.</i> If the Department contracts with an entity to perform any
function that requires disclosing records in this system to the contractor's employees, the
Department may disclose the records to those employees who have received the appropriate level of
security clearance from the Department. Before entering into such a contract, the Department will
require the contractor to establish and maintain the safeguards required under the Privacy Act (5
U.S.C. 552a(m)) with respect to the records in the system.
</p>
<p>(3) <i>Software Vendor Disclosure.</i> The Department, through its contractor, CSIU, may
disclose the records in this system to the database vendor, Management Services for Education Data
(MS/EdD), for the sole purpose of resolving contractor-initiated calls for assistance related to the
software (MIS2000) used to operate the contractor's database.</p>
<p>(4) <i>Research Disclosure.</i> The Department may disclose records from this system 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 information
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 will be required to
maintain Privacy Act safeguards with respect to the disclosed records.</p>
<p>(5) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The
Department may disclose records to the Department of Justice (DOJ) or the Office of Management and
Budget (OMB) if the Department concludes that disclosure is desirable or necessary to determine
whether particular records are required to be disclosed under the FOIA or the Privacy Act.</p>
<p>(6) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may
disclose records from this system to appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or confidentiality of information in the
MEBPSD has been compromised; (b) the Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of the MEBPSD or other systems or programs (whether
maintained by the Department or by another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist the Department's efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.</p>
<p>(7) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosures.</i></p>
<p>(a) <i>Introduction.</i> In the event that one of the following parties 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:</p>
<p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity where the DOJ has agreed to or
has been requested to provide or arrange for representation of the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain
records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, 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.</p>
<p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that disclosure of
certain records to a court, an administrative body before which the Department is authorized to
appear, or an individual or entity designated by the Department or otherwise empowered to resolve or
mediate disputes, is relevant and necessary to the litigation or ADR, 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 or individual or entity.</p>
<p>(d) <i>Disclosures to Parties, Counsel, Representatives, and Witnesses.</i> If the
Department determines that disclosure of certain records to a party, counsel, representative, or
witness is relevant and necessary to the litigation or ADR, and is compatible with the purpose for
which the records were collected, the Department may disclose those records as a routine use to a
party, counsel, representative, or witness.</p>
<p>(8) <i>Congressional Member Disclosure.</i> The Department may disclose records to a
Member of Congress and his or her staff in response to an inquiry from the Member made at the
written request of the individual who requested it. The Member's right to the information is no
greater than the right of the individual who requested it.</p>
	<p>Disclosure to consumer reporting agencies:</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The main database server of the Department's contractor, CSIU, stores computerized student
records on server hardware. The data are stored in a Firebird Database file. Backup media are
encrypted and transported daily to a second secure location. Electronic records are also stored on
portable devices (e.g., tablet computers and thumb drives) used by contractor and subcontractor
staff.
</p><p>Print data are locked securely at the contractor's and subcontractors' offices. At times,
contractor and subcontractor staff may need to carry print records with them. These records will be
locked securely when not in use.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in the database are indexed and retrieved by unique numbers assigned to each person. The
Firebird database, located at the main data center, uses Transmission Control Protocol (TCP)
transport within a local computer.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>(1) <i>Introduction</i></p>
<p>Department, contractor, and subcontractor employees who collect, maintain, use, or disseminate
data in this system, must comply with the requirements of the Privacy Act.</p>
<p>(2) <i>Physical Security of Electronic Data</i></p>
<p>Physical security of electronic data will be maintained. The main database server for this system
is located in a secure room at the contractor's data center. Access to the secure room is monitored
electronically. Personnel entering the room without electronic passes are logged in and admitted
only by authorized personnel. The secure room is located behind closed doors in a passage limited to
contractor personnel only. Finally, all entrances to the building are monitored both electronically
and by front-desk personnel.
</p><p>Off-site backup media are encrypted, locked in a container, and transported securely by
contractor staff to a second secure location that is also protected by electronic security measures.
The locked container is stored in a dedicated locked room at the backup location. Access to the room
is controlled by a key that is maintained by the backup location's office manager. The office
manager maintains a log of all individuals who access the room.
</p>
<p>(3) <i>Physical Security of Print Data</i></p>
<p>Physical security of print data will be maintained. Print data will be locked securely at
contractor's and subcontractors' offices. At times, contractor or subcontractor staff may need to
carry print records with them. These records will be locked securely when not in use.
</p>
<p>(4) <i>User Access to Electronic Data</i></p>
<p>Access to the database server and software is restricted to the system administrators for the
MEBPSD. The Database Vendor, MS/EdD, is granted access to server data for the sole purpose of
resolving contractor-initiated calls for assistance. The Department's contractor and the database
vendor maintain a signed confidentiality agreement.
</p><p>All MEBPSD user accounts will be granted by MEBPSD System Administrator staff and will leverage
role-based accounts and security controls to limit access to the database application, its server,
and infrastructure, to authorized users only. MEBPSD System Administrators will grant access to data
in the MEBPSD to authorized contractor and subcontractor staff by creating accounts and assigning
appropriate roles that restrict access based on user category (<i>e.g.,</i> data
administrator, MEP advocate, or project coordinator). MEBPSD System Administrators will grant access
to data in the MEBPSD to the Database Vendor, MS/EdD, as needed, to address contractor initiated
calls for assistance with the database.</p>
<p>The MEBPSD requires the use of "strong" passwords comprised of alphanumeric and
special characters. Department, contractor, and subcontractor staff are granted access to student
information on a "need to know" basis. All physically unsecured database installations,
e.g., user workstations, reside on hard drives that are fully encrypted. Access to the system will
be limited to secure network sessions such as Hypertext Transfer Protocol over Secure Socket Layer
(HTTPS) and Virtual Private Network (VPN) connections.
</p>
<p>All electronic records stored on portable devices reside on fully encrypted hard drives or media.
Electronic documents (e.g., spreadsheets and word processing documents) with student data are
password protected. Records from the system are shared in accordance with the Privacy Act.
</p>
<p>(5) <i>Additional Security Measures</i></p>
<p>The CSIU uses a series of firewalls to limit internal access to specific Internet protocols and
ports as well as intrusion detection systems to monitor any potential unauthorized access to the
MEBPSD. The MIS2000 software logs and tracks login attempts, data modifications, and other key
application events. CSIU staff monitor database and security logs on a regular basis.
</p><p>A third party performs vulnerability scans on a routine basis, and contractor staff monitor the
US Computer Emergency Response Team (CERT) bulletins (see <i>http://www.us-cert.gov/</i>for
more details) and apply operating system and vendor patches as appropriate.</p>
<p>Confidentiality statements are maintained in job descriptions of all contractor and subcontractor
employees. In addition, all contractor and subcontractor employees are required to sign data
safeguarding statements.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the Department's Records Disposition
Schedules as listed under ED 086--Information Systems Supporting Materials.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Migrant Education, U.S. Department of Education, 400 Maryland Avenue SW.,
Room 3E317, Washington, DC 20202-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists regarding you in the system of records, you must
provide the system manager at the address listed under <b >SYSTEM MANAGER AND ADDRESS</b> with
your name, date of birth, and other identification if requested. Your request must meet the
requirements of the Department's Privacy Act regulations in 34 CFR 5b.5, including proof of
identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>If you wish to gain access to a record about you in this system of records, provide the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b> with your name, date of
birth, and other identification if requested. Your request must meet the requirements of the
Department's Privacy Act regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>If you wish to contest the content of a record regarding you in the system of records, contact
the system manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS</b> with the
information described in the <b>NOTIFICATION PROCEDURE</b> section. Your request for access
to a record must meet the requirements of the Department's Privacy Act regulations in 34 CFR 5b.7,
including proof of identity, specification of the particular record you are seeking to have changed,
and the written justification for making such a change.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>The system will contain records that are obtained from MSIX; SEAs; LOAs; LEAs; schools; health
service providers; social service providers; community based organizations; officials who operate
federally-funded CAMPs, HEPs, MEES, and Migrant and Seasonal Head Start programs and projects;
parents; guardians; spouses; and eligible migratory children.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-16-01" toc="yes">
<systemNumber>18-16-01</systemNumber>
<subsection type="systemName">OSEP Customer Service Tracking System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
	<subsection type="systemLocation"><xhtmlContent><p>Monitoring and State Improvement Planning Division, Office of Special Education Programs
(OSEP), Office of Special Education and Rehabilitative Services (OSERS), Mary E. Switzer Building,
330 C Street, SW., Room 3630, Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system covers parents, advocates, State personnel and other third parties who contact
OSEP with inquiries or complaints related to special education. OSEP staff, especially the Customer
Service Specialists (CSS), receive letters, e-mails, facsimiles and telephone calls from State
personnel and parents about disability issues related to children with disabilities.
</p><p>These complaints and inquiries are tracked by an electronic system that maintains customer
demographic data, as well as information on the content of the complaints and inquiries. The system
also allows OSEP to maintain a detailed history of the interactions between callers and/or writers
and the CSS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records relating to inquiries or complaints made to OSEP staff,
including but not limited to: The writer's and/or caller's name; the name, age and type of
disability of the child about whom the writer/caller is inquiring about; the writer's or caller's
address, including an e-mail address; the school district involved in the inquiry or complaint; the
writer's or caller's phone number; the issue that the writer and/or caller is raising; a
recommendation from the CSS for further action; and comments from the CSS.
</p><p>This notice does not cover records, including but not limited to letters, e-mails and facsimiles,
sent by individuals to the Secretary, Deputy Secretary, Senior Officers such as the Assistant
Secretary of OSERS and the Director of OSEP for whom the Department controls responses to such
inquiries. Further, this notice does not cover the official correspondence files of OSEP,
specifically the hard copies of official documents and electronic images of certain incoming and
outgoing documents. These records are considered covered by the Department's system of records 18
-01-01, Secretary's Communication Control System.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title I of the Individuals with Disabilities Education Act (IDEA), as amended, 20 U.S.C.
1402.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is maintained to provide its customers (parents, advocates and
others) with more responsive, consistent service; to better track the large number of calls and
other inquiries received; to provide trend analysis by issue; to develop a profile of the issues
that arise in a certain State; to assist OSEP as a management tool in the preparation of reports,
and to monitor State implementation of the IDEA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 Computer Matching and Privacy Protection Act of 1998,
under a computer matching agreement.
</p><p>(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
DOJ and OMB if the Department seeks advice regarding whether records maintained in the system of
records must be released under the FOIA and the Privacy Act of 1974.
</p><p>(2) Disclosure to the 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.
</p><p>(3) 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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her official capacity where the DOJ is requested to
provide or arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee; or
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(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, 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.
</p><p>(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to
the adjudicative body, individual, or entity.
</p><p>(d) Parties, counsels, representatives and witnesses. If the Department determines that
disclosure of certain records to a party, counsel, representative or witness is relevant and
necessary to the litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative or witness.
</p><p>(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.
</p><p>(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.
</p><p>(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 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.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>The information in the tracking system will be stored on a server maintained by the
Department of Education. Records generated by the system will be maintained electronically on the
server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This system will only be accessible to Departmental contractors and employees of OSEP. Each
record in this system can be retrieved by entering in any of the categories of information listed
under the "Categories of Records In This System"  in this notice.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The primary users of this system, Monitoring and State Improvement Planning Division (MSIP)
employees in OSEP, will enter a unique user ID as well as a password to enter the system. This user
ID and password will be in addition to the user ID and password that all Department employees must
enter to access the Department's computer system. Users will be required to change their passwords
periodically, and they will not be allowed to repeat old passwords. 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.
</p><p>The computer system employed by the U.S. Department of Education 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.
</p><p>The location of the server includes safeguards and firewalls, including the physical security of
the server room. In addition, the server is located in a secure room, with limited access only
through a special pass. Further, all physical access to the site where the server is maintained is
controlled and monitored by security personnel who check each individual entering the building for
his or her employee or visitor badge.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with the National Archives and Records
Administration (NARA) General Records Schedule 20, Item 1.c which provides disposal authorization
for electronic files and hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer needed for administrative, legal,
audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy, MSIP Division, Office of Special Education Programs, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, Mary E. Switzer Building, Room 3630, 330 C
Street, SW., Washington, DC 20202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists about you in the system of records, provide
the system manager with your name or your child's name and your address. Your request for
notification must also meet the requirements of the regulations at 34 CFR 5b.5, including proof of
identity. You may also present your request in person or make your request in writing to the system
manager at the above address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Request to access a record must also reasonably specify the record contents sought and
otherwise meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record in this system of records, you must contact
the system manager at the above address and follow the steps outlined in the Notification procedure.
Requests to amend a record must also reasonably identify the record, specify the information being
contested, provide in writing your reasons for requesting the change, and otherwise meet the
regulations at 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from parents, advocates, and other third parties that
contact OSEP with concerns or complaints related to special education.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-16-02" toc="yes">
<systemNumber>18-16-02</systemNumber>
<subsection type="systemName">RSA-911 Case Service Report.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Policy and Planning, Office of the Assistant Secretary, Office of Special
Education and Rehabilitative Services, U.S. Department of Education, 330 C Street, SW., Mary E.
Switzer Building, room 3131, Washington, DC 20202-2524.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The RSA-911 Case Service Report database includes information on all persons exiting
the State Vocational Rehabilitation Services program (VR program) during each fiscal year.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records relating to individuals who have exited the VR program,
including, but not limited to--the individual's social security number, disability
characteristics, services and training, health insurance, employment outcomes, and earnings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 13(b) and 101(a)(10) of the Rehabilitation Act of 1973, as amended (29 U.S.C.
712(b) and 721(a)(10)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is maintained for program research and evaluation purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The U.S. 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. The Department may make these disclosures on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Computer Matching and Privacy Protection
Act of 1988, under a computer matching agreement.
</p><p>(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to
the Department of Justice (DOJ) and the Office of Management and Budget (OMB) if the Department
seeks advice regarding whether records maintained in the system of records must be released under
the FOIA and the Privacy Act of 1974, as amended (Privacy Act).
</p><p>(2) Disclosure to the 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 program covered by this system.
</p><p>(3) 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.
</p><p>(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.
</p><p>(a) Introduction. In the event that one of the following parties 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:
</p><p>(i) The Department, or any of its components; or
</p><p>(ii) Any Department employee in his or her official capacity; or
</p><p>(iii) Any Department employee in his or her individual capacity if the DOJ agrees or has been
requested to provide or to arrange for representation of the employee;
</p><p>(iv) Any Department employee in his or her individual capacity if the Department has agreed to
represent the employee; or
</p><p>(v) The United States if the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(a) Disclosure to the DOJ. If the Department determines that disclosure of certain records to the
DOJ is relevant and necessary to litigation or ADR 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.
</p><p>(b) Adjudicative 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 or mediate disputes is
relevant and necessary to the litigation or ADR, the Department may disclose those records as a
routine use to the adjudicative body, individual, or entity.
</p><p>(c) Parties, Counsels, Representatives, and Witnesses.
</p><p> If the Department determines that disclosure of certain records to a party, counsel,
representative, or witness is relevant and necessary to the litigation or ADR, the Department may
disclose those records as a routine use to the party, counsel, representative, or witness.
</p><p>(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.
</p><p>(6) 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.
</p><p>(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, regulations, 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, regulations, or order issued pursuant
thereto.
</p><p>(8) Disclosure for Use By Other Law Enforcement Agencies. The Department may disclose information
to any Federal, State, tribal, local, or foreign agency or other public authority responsible for
enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or
regulations if that information is relevant to any enforcement, regulatory, investigative, or
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(9) Disclosure to Other Federal Agencies, Including the Social Security Administration and the
Department of Veterans Affairs. The Department may disclose records to other Federal agencies,
including the Social Security Administration and the Department of Veterans Affairs, for program
research and evaluation purposes.
</p><p>(10) Disclosure to the Veterans' Disability Benefits Commission. The Department may disclose
records to the Veterans' Disability Benefits Commission if requested to do so by this commission in
order to carry out the provisions of Title XV of Pub. L. 108-136, the National Defense
Authorization Act for Fiscal Year 2004.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Not applicable to this system of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Office of Special Education and Rehabilitative Services (OSERS) maintains all data on a
computer mainframe and CD-ROMs. Printed reports containing sensitive data produced from this
system are maintained within the locked filing cabinets within the access-restricted Basic State
Grants Branch within OSERS Headquarters.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This system will be accessible only to employees of OSERS. Each record in this system can be
retrieved by any of the categories of information listed under the CATEGORIES OF RECORDS IN THE
SYSTEM section in this notice.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to this system will require a unique user identification as well as a password to
enter the system. Users will be required to change their passwords periodically, and they will not
be allowed to repeat old passwords. 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.
</p><p>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.
</p><p>The location of the server includes safeguards and firewalls, including the physical security of
the server room. In addition, the server is located in a secure room, with limited access only
through a special pass. Further, all physical access to the site where the server is maintained is
controlled and monitored by security personnel who check each individual entering the building for
his or her employee or visitor badge.
</p><p>All printed reports containing sensitive data produced from this system are immediately used for
data clearing procedures and then shredded or placed into a confidential security file. The files
are maintained within the locked filing cabinets within the access-restricted Basic State Grants
Branch within OSERS Headquarters. In addition to these controls, computers are not left on and
unattended when users access the database, and sensitive information is placed out of sight if
visitors are present.
</p><p>Shared output does not contain sensitive information. Aggregated data cannot be used to identify
individuals. For individual-level data that are shared with researchers, all identifying information
is removed from the file before the data are shared.
</p><p>In addition, the following guidelines and procedures have been implemented for protecting
sensitive data and resources in this system:
</p><p>&#149; Backup CDs are properly labeled "For Official Use Only--Property of the OSERS Basic
State Grants Branch."
</p><p>&#149; Electronic data (e.g., copies of the database on CDs with identifying information and edit
reports with identifying information) are stored in the locked file cabinets in the OSERS Basic
State Grants Branch. Management, operational, and technical controls for ensuring the safety of
confidential information are detailed within the Case Services System Security Plan.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with the National Archives and Records
Administration (NARA) General Records Schedule 20, Item 1.c, which provides disposal authorization
for electronic files and hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer needed for administrative, legal,
audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>RSA-911 Case Service Report System Manager, Rehabilitation Services Administration,
Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., room 3226, Mary E. Switzer Building, Washington, DC 20202-2524.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record exists about you in the system of records, provide
the system manager with your name, address, and social security number. Your request for
notification must also meet the requirements of the regulations in 34 CFR 5b.5, including proof of
identity. You may also present your request in person or make your request in writing to the system
manager at the above address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Request to access a record must also reasonably specify the record contents sought and
otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>If you wish to change the content of a record in this system of records, you must contact
the system manager at the above address and follow the steps outlined in the NOTIFICATION PROCEDURE
section of this notice. Requests to amend a record must also reasonably identify the record, specify
the information being contested, provide in writing your reasons for requesting the change, and
otherwise meet the regulations in 34 CFR 5b.7.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are obtained from State vocational rehabilitation agencies pursuant
to Federal reporting requirements. These agencies collect data from individuals with disabilities
who exit their programs.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ed18-16-04" toc="yes">
<systemNumber>18-16-04</systemNumber>
<subsection type="systemName">Special Education--Individual Reporting on Regulatory Compliance Related to the
Personnel Development Program's Service Obligation and the Government Performance and Results Act of
1993 (GPRA).
</subsection>
<subsection type="securityClassification"><xhtmlContent>
<p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Research to Practice Division, Office of Special Education Programs, Office of Special
Education and Rehabilitative Services, U.S. Department of Education, 550 12th Street, SW.,
Washington, DC 20202-2600. (With regard to scholars who have received scholarships from grants
awarded prior to FY 2005, if a grantee determines that a scholar will not fulfill the scholar's
service obligation through service and will instead have to repay some or all of the scholarship the
scholar received, the grantee must refer the scholar to the Department for repayment. This location
keeps records on these scholars.)
</p><p>(2) Optimal Solutions Group, LLC (Optimal), 8100 Professional Place, Suite 312, Hyattsville, MD
20785-2229. (This is the location of the Department's contractor where records are maintained
on scholars who have received funds from grants awarded after FY 2004. The contractor maintains
periodic back-ups of a Web-based data server that collects data on scholars from grantees, scholars
and their employers.)
</p><p>(3) The Planet, 1333 North Stemmons Freeway, Suite 100, Dallas, TX 75207-3723. (This is the
location of the Department's subcontractor, where records are also maintained on scholars who have
received funds from grants awarded after FY 2004. The subcontractor maintains a Web-based data
server and backs it up on a secondary hard drive.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records on individuals who are recipients of scholarships (scholars)
from grants awarded to institutions of higher education (IHEs) and other eligible entities by the
Office of Special Education Programs' (OSEP) Personnel Development Program to Improve Services and
Results for Children with Disabilities Program (Personnel Development Program).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of records about scholars who receive scholarships under the Personnel
Development Program. Information in this system will include contact information for the grantee;
the grant identification number; each scholar's name, social security number, address, telephone
number, e-mail address, and alternate contact information; name and contact information of a person
through whom the scholar can be contacted; the number of years the scholar needs to work to satisfy
the service obligation; the total amount of scholarship assistance received; the time period during
which the scholar must satisfy the service obligation; eligible employment to fulfill the service
obligation; contact information for employers; and, as applicable, all other obligations of the
scholar under the regulations. Employers will be asked to verify the employment information provided
by the scholar. In addition, scholars will be asked questions about topics related to the Personnel
Development Program performance measures, e.g., specific areas of training, highly qualified teacher
status, reasons for leaving the program before completion, gender, ethnic origin, and education
history.
</p><p>This system of records does not cover records maintained in the Department's system of records
notice entitled "Education's Central Automated Processing System (EDCAPS)" (18-03
-02) as part of the Department's receivables management function.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system of records is authorized by the Individuals with Disabilities Education Act
(IDEA), 20 U.S.C. 1400 <i>et seq.</i>, and specifically--
</p><p>a. For scholarships made from grants made after FY 2005, 34 CFR 304.23 through 304.30, which
implement section 662(h) of IDEA for those fiscal years;
</p><p>b. For scholarships made from FY 2005 grants, the notice published in the <i>Federal Register</i>
on March 25, 2005 (70 FR 15306), which implements section 662(h) of IDEA for that fiscal year; and
</p><p>c. For scholarships made from grants made prior to FY 2005, 34 CFR 304.23 through 304.30 as those
regulations existed at that time, which implement section 673(h) of the version of IDEA that was in
effect prior to December 3, 2004.
</p><p>This system of records is also authorized by section 4 of the Government Performance and Results
Act of 1993 (GPRA), Pub. L. 103-62.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system is used for the following purposes: to track scholars'
enrollment, employment, and fulfillment of the terms of the service obligation and to evaluate
progress on the performance measures for the Personnel Development Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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. The Department may
make these disclosures on a case-by-case basis, or, if the Department has complied with the computer
matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under
a computer matching agreement.
</p><p>(1) <i>Program Purposes.</i> The Department may disclose records from this system of records:
</p><p>(a) To the scholars' employers to verify the eligible employment of scholars who were supported
by a scholarship under the Personnel Development Program and who are fulfilling their service
obligations.
</p><p>(b) To the Personnel Development Program grantees to inform them of their scholars' employment
outcomes.
</p><p>(2) <i>Disclosure in the Course of Responding to Breach of Data.</i> The Department may disclose
records to appropriate agencies, entities, and persons when (a) The Department suspects or has
confirmed that the security or confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or
harm to the security or integrity of this system or other systems or programs (whether maintained by
the Department or by another agency or entity) that rely upon the compromised information; and (c)
the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.
</p><p>(3) <i>Contract Disclosure.</i> The Department may disclose records to employees of an entity
with whom the Department contracts when disclosure is necessary for an employee of the entity to
perform a function pursuant to the Department's contract with the entity. 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.
</p><p>(4) <i>Disclosure for Use by Other Law Enforcement Agencies.</i> 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
prosecutorial responsibility within the receiving entity's jurisdiction.
</p><p>(5) <i>Enforcement Disclosure.</i> 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.
</p><p>(6) <i>Litigation and Alternative Dispute Resolution (ADR) Disclosure.</i>
</p><p>(a) <i>Introduction.</i> 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:
</p><p>(i) The Department or any of its components.
</p><p>(ii) Any Department employee in his or her official capacity.
</p><p>(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice
(DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.
</p><p>(iv) Any Department employee in his or her individual capacity where the Department has agreed to
represent the employee.
</p><p>(v) The United States where the Department determines that the litigation is likely to affect the
Department or any of its components.
</p><p>(b) <i>Disclosure to DOJ.</i> If the Department determines that disclosure of certain records to
DOJ is relevant and necessary to the litigation or ADR, the Department may disclose those records as
a routine use to DOJ.
</p><p>(c) <i>Adjudicative Disclosure.</i> If the Department determines that it is relevant and
necessary to the litigation or ADR to disclose certain records to an adjudicative body before which
the Department is authorized to appear, to an individual, or to an entity designated by the
Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those
records as a routine use to the adjudicative body, individual, or entity.
</p><p>(d) <i>Disclosure to Parties, Counsel, Representatives, or Witnesses.</i> If the Department
determines that disclosure of certain records to a party, counsel, representative, or witness is
relevant and necessary to the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.
</p><p>(7) <i>Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure.</i> The Department
may disclose records to DOJ or Office of Management and Budget (OMB) if the Department concludes
that disclosure is desirable or necessary in determining whether particular records are required to
be disclosed under the FOIA or the Privacy Act.
</p><p>(8) <i>Disclosure to DOJ.</i> The Department may disclose records to DOJ to the extent necessary
for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to
the program covered by this system.
</p><p>(9) <i>Congressional Member Disclosure.</i> The Department may disclose the records of an
individual to a member of Congress or the member's staff when necessary to respond to an inquiry
from the member or the member's staff 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 the inquiry.
</p><p>(10) <i>Research Disclosure.</i> The Department may disclose records under routine use 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>The Department may disclose to a consumer reporting agency information regarding a claim by
the Department that the head of the Department has determined to be valid and overdue. Such
information is limited to--(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 in 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Department maintains hard copy records of information about scholars who received funds
from grants awarded before FY 2005 in locked file cabinets that are located within locked offices
protected by a security system. The Department maintains electronic records with information about
scholars who received funds from grants awarded before FY 2005 on its secure server.
</p><p>Optimal, the Department's contractor, maintains any hard copy records of information about
scholars who received funds from grants awarded in FY 2005 and thereafter in locked file cabinets
that are located within locked offices protected by a security system. Optimal also maintains
electronic records of information about scholars who received funds from grants awarded in FY 2005
and thereafter, because the subcontractor's server is periodically backed up on Optimal's secure
hard drive.
</p><p>The Department's subcontractor, The Planet, maintains data about scholars who received funds from
grants awarded in FY 2005 and thereafter for this system on its secure server with an automated
backup hard drive that will support the system in the event of a crash.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in this system are indexed by a unique number assigned by the Department to each
individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is limited to authorized personnel only. All physical access to the
Department's site, and to the sites of the Department's contractor and subcontractor, where this
system of records is maintained, is controlled and monitored by security personnel.
</p><p>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.
</p><p>The contractor and subcontractor will establish similar sets of procedures at their sites to
ensure confidentiality of data. Their systems are required to ensure that information identifying
individuals is in files physically separated from other research data. The contractor and
subcontractor will maintain security of the complete set of all master data files and documentation.
Access to individually identifying data will be strictly controlled. At each site all hard copy data
will be kept in locked file cabinets during nonworking hours, and work on hard copy data will take
place in a single room, except for data entry. Physical security of electronic data will also be
maintained. Security features that protect electronic project data include: Password-protected
accounts that authorize users to use the contractor's and subcontractor's systems but to access only
specific network directories and network software; user rights and directory and file attributes
that limit those who can use particular directories and files and determine how they can use them;
and additional security features that the network administrators will establish for projects as
needed.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained and disposed of in accordance with the records retention
and disposition authority approved by the National Archives and Records Administration (NARA). Until
NARA approves a retention and disposition schedule for these records, the Department will not
destroy or delete any records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Division Director, Elementary/Middle School Team, Research to Practice Division,
Office of Special Education Programs, Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 550 12th Street, SW., Room 4154, Washington, DC 20202-2600.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>If you wish to determine whether a record regarding you exists in the system of records,
contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5,
including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>If you wish to gain access to your record in the system of records, contact the system
manager at the address listed under <b>SYSTEM MANAGER AND ADDRESS.</b> Requests should
contain your full name, address, and telephone number. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>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 in 34 CFR
5b.7, including proof of identity.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>For grants awarded prior to FY 2005, collection of information from IHEs and other eligible
entities is limited to identifying information about scholars, their service obligation, and the
amount of their scholarship. When IHEs and other eligible entities have determined that scholars
will not fulfill their obligation through service and must instead repay some or all of the
scholarship they received, the IHEs and other eligible entities are required to forward this
information to OSEP, and OSEP forwards it to the Department's Accounts Receivable Group in the
Office of the Chief Financial Officer (OCFO).
</p><p>The information for grants awarded after FY 2004 will be collected from grantees, scholars, and
scholars' employers primarily through a Web-based data collection system implemented by Optimal, a
contractor of the Department, and The Planet, a subcontractor of the Department. Through this
system, information related to tracking scholars' enrollment, employment, and fulfillment of the
terms of the service obligation and to evaluating progress on the performance measures for the
Personnel Development Program will be collected from grantees, scholars, and the scholars'
employers. When the Department determines scholars will not fulfill their service obligation and
must instead repay some or all of the scholarship they received, the Department will forward
applicable information to the Department's Accounts Receivable Group in OCFO.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 2, 2016 and December 31, 2017</title>
</previousPubs>


    <regulations id="reg" toc="yes">
        <regulationsTitle number="34">
            <heading> Education </heading>
            <regulationsPart number="99">
                <heading>
                    FAMILY EDUCATIONAL RIGHTS AND PRIVACY 
                </heading>
                <xhtmlContent>
                    <p> See CFR for current regulations</p>                   
            
</xhtmlContent>
</regulationsPart>
</regulationsTitle>


<regulationsTitle number="45">
<heading> Public Welfare </heading>
<regulationsPart number="5b">
<heading> PRIVACY ACT REGULATIONS
</heading>
<xhtmlContent>
<p>Sec.
</p>
<p>5b.1 Definitions.
</p>
<p>5b.2 Purpose and scope.
</p>
<p>5b.3 Policy.
</p>
<p>5b.4 Maintenance of records.
</p>
<p>5b.5 Notification of or access to records.
</p>
<p>5b.7 Procedures for correction or amendment of records.
</p>
<p>5b.8 Appeals of refusals to correct or amend records.
</p>
<p>5b.9 Disclosure of records.
</p>
<p>5b.10 Parents and guardians.
</p>
<p>5b.11 Exempt systems.
</p>
<p>5b.12 Contractors.
</p>
<p>5b.13 Fees.
</p>
<p>Appendix A to Part 5b--Employee Standards of Conduct
</p>
<p>Appendix B to Part 5b--Routine Uses Applicable to More Than One System of Records Maintained
by ED
</p>
<p><b>Authority:</b> 5 U.S.C. 301, 5 U.S.C. 552a.
</p>
<p><b>Source:</b> 45 FR 30808, May 9, 1980, unless otherwise noted.

</p>
<p><b>&#167; 5b.1
 Definitions.
</b></p>
<p>As used in this part:
</p>
<p>(a) <i>Access</i> means availability of a record to a subject individual.
</p>
<p>(b) <i>Agency</i> means the Department of Education.
</p>
<p>(c) <i>Department</i> means the Department of Education.
</p>
<p>(d) <i>Disclosure</i> means the availability or release of a record to anyone other than the
subject individual.
</p>
<p>(e) <i>Individual</i> means a living person who is a citizen of the United States or an alien
lawfully admitted for permanent residence. It does not include persons such as sole proprietorships,
partnerships, or corporations. A business firm which is identified by the name of one or more
persons is not an individual within the meaning of this part.
</p>
<p>(f) <i>Maintain</i> means to maintain, collect, use, or disseminate when used in connection with
the term ?record?; and, to have control over or responsibility for a system of records
when used in connection with the term ?system of records.?
</p>
<p>(g) <i>Notification</i> means communication to an individual whether he is a subject individual.
</p>
<p>(h) <i>Record</i> means any item, collection, or grouping of information about an individual that
is maintained by the Department, including but not limited to the individual?s education, financial
transactions, medical history, and criminal or employment history and that contains his name, or an
identifying number, symbol, or other identifying particular assigned to the individual, such as a
finger or voice print or a photograph. When used in this part, record means only a record which is
in a system of records.
</p>
<p>(i) <i>Responsible Department official</i> means that officer who is listed in a notice of a
system of records as the system manager for a given system of records or another individual listed
in the notice of a system of records to whom requests may be made, or the designee of either such
officer or individual.
</p>
<p>(j) <i>Routine use</i> means the disclosure of a record outside the Department, without the
consent of the subject individual, for a purpose which is compatible with the purpose for which the
record was collected. It includes disclosures required to be made by statute other than the Freedom
of Information Act, 5 U.S.C. 552. It does not include disclosures which are permitted to be made
without the consent of the subject individual which are not compatible with the purpose for which it
was collected such as disclosures to the Bureau of the Census, the General Accounting Office, or to
Congress.
</p>
<p>(k) <i>Secretary</i> means the Secretary of Education.
</p>
<p>(l) <i>Statistical record</i> means a record maintained for statistical research or reporting
purposes only and not maintained to make determinations about a particular subject individual.
</p>
<p>(m) <i>Subject individual</i> means that individual to whom a record pertains.
</p>
<p>(n) <i>System of records</i> means any group of records under the control of the Department from
which a record is retrieved by personal identifier such as the name of the individual, number,
symbol or other unique retriever assigned to the individual. Single records or groups of records
which are not retrieved by a personal identifier are not part of a system of records. Papers
maintained by individual employees of the Department which are prepared, maintained, or discarded at
the discretion of the employee and which are not subject to the Federal Records Act, 44 U.S.C. 2901,
are not part of a system of records; <i>Provided,</i> That such personal papers are not used by the
employee or the Department to determine any rights, benefits, or privileges of individuals.
</p>
<p>[45 FR 30808, May 9, 1980; 45 FR 37426, June 3, 1980]

</p>
<p><b>&#167; 5b.2
 Purpose and scope.
</b></p>
<p>(a) This part implements section 3 of the Privacy Act of 1974, 5 U.S.C. 552a (hereinafter
referred to as the Act), by establishing agency policies and procedures for the maintenance of
records. This part also establishes agency policies and procedures under which a subject individual
may be given notification of or access to a record pertaining to him and policies and procedures
under which a subject individual may have his record corrected or amended if he believes that his
record is not accurate, timely, complete, or relevant or necessary to accomplish a Department
function.
</p>
<p>(b) All components of the Department are governed by the provisions of this part. Also governed
by the provisions of this part are advisory committees and councils within the meaning of the
Federal Advisory Committee Act which provide advice to (1) any official or component of the
Department or (2) the President and for which the Department has been delegated responsibility for
providing services.
</p>
<p>(c) Employees of the Department governed by this part include all regular and special government
employees of the Department; experts and consultants whose temporary (not in excess of 1 year) or
intermittent services have been procured by the Department by contract pursuant to 3109 of title 5,
United States Code; volunteers where acceptance of their services are authorized by law; those
individuals performing gratuitous services as permitted under conditions prescribed by the Office of
Personnel Management; and, participants in work-study or training programs.
</p>
<p>(d) This part does not:
</p>
<p>(1) Make available to a subject individual records which are not retrieved by that individual?s
name or other personal identifier.
</p>
<p>(2) Make available to the general public records which are retrieved by a subject individual?s
name or other personal identifier or make available to the general public records which would
otherwise not be available to the general public under the Freedom of Information Act, 5 U.S.C. 552,
and part 5 of this title.
</p>
<p>(3) Govern the maintenance or disclosure of, notification of or access to, records in the
possession of the Department which are subject to regulations of another agency, such as personnel
records subject to the regulations of the Office of Personnel Management.
</p>
<p>(4) Apply to grantees, including State and local governments or subdivisions thereof,
administering federally funded programs.
</p>
<p>(5) Make available records compiled by the Department in reasonable anticipation of court
litigation or formal administrative proceedings. The availability of such records to the general
public or to any subject individual or party to such litigation or proceedings shall be governed by
applicable constitutional principles, rules of discovery, and applicable regulations of the
Department.

</p>
<p><b>&#167; 5b.3
 Policy.
</b></p>
<p>It is the policy of the Department to protect the privacy of individuals to the fullest
extent possible while nonetheless permitting the exchange of records required to fulfill the
administrative and program responsibilities of the Department, and responsibilities of the
Department for disclosing records which the general public is entitled to have under the Freedom of
Information Act, 5 U.S.C. 552, and part 5 of this title.

</p>
<p><b>&#167; 5b.4
 Maintenance of records.
</b></p>
<p>(a) No record will be maintained by the Department unless:
</p>
<p>(1) It is relevant and necessary to accomplish a Department function required to be accomplished
by statute or Executive Order;
</p>
<p>(2) It is acquired to the greatest extent practicable from the subject individual when
maintenance of the record may result in a determination about the subject individual?s rights,
benefits or privileges under Federal programs;
</p>
<p>(3) The individual providing the record is informed of the authority for providing the record
(including whether the providing of the record is mandatory or voluntary, the principal purpose for
maintaining the record, the routine uses for the record, what effect his refusal to provide the
record may have on him), and if the record is not required by statute or Executive Order to be
provided by the individual, he agrees to provide the record.
</p>
<p>(b) No record will be maintained by the Department which describes how an individual exercises
rights guaranteed by the First Amendment unless expressly authorized (1) by statute, or (2) by the
subject individual, or (3) unless pertinent to and within the scope of an authorized law enforcement
activity.

</p>
<p><b>&#167; 5b.5
 Notification of or access to records.
</b></p>
<p>(a) <i>Times, places, and manner of requesting notification of or access to a record.</i>
(1) Any individual may request notification of a record. He may at the same time request access to
any record pertaining to him. An individual may be accompanied by another individual of his choice
when he requests access to a record in person; <i>Provided,</i> That he affirmatively authorizes the
presence of such other individual during any discussion of a record to which access is requested.
</p>
<p>(2) An individual making a request for notification of or access to a record shall address his
request to the responsible Department official and shall verify his identity when required in
accordance with paragraph (b)(2) of this section. At the time the request is made, the individual
shall specify which systems of records he wishes to have searched and the records to which he wishes
to have access. He may also request that copies be made of all or any such records. An individual
shall also provide the responsible Department official with sufficient particulars to enable such
official to distinguish between records on subject individuals with the same name. The necessary
particulars are set forth in the notices of systems of records.
</p>
<p>(3) An individual who makes a request in person may leave with any responsible Department
official a request for notification of or access to a record under the control of another
responsible Department official; <i>Provided,</i> That the request is addressed in writing to the
appropriate responsible Department official.
</p>
<p>(b) <i>Verification of identity</i>--(1) <i>When required.</i> Unless an individual, who is
making a request for notification of or access to a record in person, is personally known to the
responsible Department official, he shall be required to verify his identity in accordance with
paragraph (b)(2) of this section if:
</p>
<p>(i) He makes a request for notification of a record and the responsible Department official
determines that the mere disclosure of the existence of the record would be a clearly unwarranted
invasion of privacy if disclosed to someone other than the subject individual; or,
</p>
<p>(ii) He makes a request for access to a record which is not required to be disclosed to the
general public under the Freedom of Information Act, 5 U.S.C. 552, and part 5 of this title.
</p>
<p>(2) <i>Manner of verifying identity.</i> (i) An individual who makes a request in person shall
provide to the responsible Department official at least one piece of tangible identification such as
a driver?s license, passport, alien or voter registration card, or union card to verify his
identity. If an individual does not have identification papers to verify his identity, he shall
certify in writing that he is the individual who he claims to be and that he understands that the
knowing and willful request for or acquisition of a record pertaining to an individual under false
pretenses is a criminal offense under the Act subject to a $5,000 fine.
</p>
<p>(ii) Except as provided in paragraph (b)(2)(v) of this section, an individual who does not make a
request in person shall submit a notarized request to the responsible Department official to verify
his identity or shall certify in his request that he is the individual who he claims to be and that
he understands that the knowing and willful request for or acquisition of a record pertaining to an
individual under false pretenses is a criminal offense under the Act subject to a $5,000 fine.
</p>
<p>(iii) An individual who makes a request on behalf of a minor or legal incompetent as authorized
under &#167; 5b.10 of this part shall verify his relationship to the minor or legal
incompetent, in addition to verifying his own identity, by providing a copy of the minor?s birth
certificate, a court order, or other competent evidence of guardianship to the responsible
Department official; <i>except that,</i> an individual is not required to verify his relationship to
the minor or legal incompetent when he is not required to verify his own identity or when evidence
of his relationship to the minor or legal incompetent has been previously given to the responsible
Department official.
</p>
<p>(iv) An individual shall further verify his identity if he is requesting notification of or
access to sensitive records. Any further verification shall parallel the record to which
notification or access is being sought. Such further verification may include such particulars as
the individual?s years of attendance at a particular educational institution, rank attained in the
uniformed services, date or place of birth, names of parents, or an occupation.
</p>
<p>(v) An individual who makes a request by telephone shall verify his identity by providing to the
responsible Department official identifying particulars which parallel the record to which
notification or access is being sought. If the responsible Department official determines that the
particulars provided by telephone are insufficient, the requester will be required to submit the
request in writing or in person. Telephone requests will not be accepted where an individual is
requesting notification of or access to sensitive records.
</p>
<p>(c) <i>Granting notification of or access to a record.</i> (1) Subject to the provisions
governing exempt systems in &#167; 5b.11 of this part, a responsible Department official, who
receives a request for notification of or access to a record and, if required, verification of an
individual?s identity, will review the request and grant notification or access to a record, if the
individual requesting access to the record is the subject individual.
</p>
<p>(2) If the responsible Department official determines that there will be a delay in responding to
a request because of the number of requests being processed, a breakdown of equipment, shortage of
personnel, storage of records in other locations, etc., he will so inform the individual and
indicate when notification or access will be granted.
</p>
<p>(3) Prior to granting notification of or access to a record, the responsible Department official
may at his discretion require an individual making a request in person to reduce his request to
writing if the individual has not already done so at the time the request is made.

</p>
<p><b>&#167; 5b.7
 Procedures for correction or amendment of records.
</b></p>
<p>(a) Any subject individual may request that his record be corrected or amended if he
believes that the record is not accurate, timely, complete, or relevant or necessary to accomplish a
Department function. A subject individual making a request to amend or correct his record shall
address his request to the responsible Department official in writing; <i>except that,</i> the
request need not be in writing if the subject individual makes his request in person and the
responsible Department official corrects or amends the record at that time. The subject individual
shall specify in each request:
</p>
<p>(1) The system of records from which the record is retrieved;
</p>
<p>(2) The particular record which he is seeking to correct or amend;
</p>
<p>(3) Whether he is seeking an addition to or a deletion or substitution of the record; and,
</p>
<p>(4) His reasons for requesting correction or amendment of the record.
</p>
<p>(b) A request for correction or amendment of a record will be acknowledged within 10 working days
of its receipt unless the request can be processed and the subject individual informed of the
responsible Department official?s decision on the request within that 10 day period.
</p>
<p>(c) If the responsible Department official agrees that the record is not accurate, timely, or
complete based on a preponderance of the evidence, the record will be corrected or amended. The
record will be deleted without regard to its accuracy, if the record is not relevant or necessary to
accomplish the Department function for which the record was provided or is maintained. In either
case, the subject individual will be informed in writing of the correction, amendment, or deletion
and, if accounting was made of prior disclosures of the record, all previous recipients of the
record will be informed of the corrective action taken.
</p>
<p>(d) If the responsible Department official does not agree that the record should be corrected or
amended, the subject individual will be informed in writing of the refusal to correct or amend the
record. He will also be informed that he may appeal the refusal to correct or amend his record
&#167; 5b.8 of this part.
</p>
<p>(e) Requests to correct or amend a record governed by the regulation of another government
agency, <i>e.g.,</i> Office of Personnel Management, Federal Bureau of Investigation, will be
forwarded to such government agency for processing and the subject individual will be informed in
writing of the referral.

</p>
<p><b>&#167; 5b.8
 Appeals of refusals to correct or amend records.
</b></p>
<p>(a) <i>Processing the appeal.</i> (1) A subject individual who disagrees with a refusal to
correct or amend his record may appeal the refusal in writing. All appeals shall be made to the
Secretary.
</p>
<p>(2) An appeal will be completed within 30 working days from its receipt by the appeal authority;
<i>except that,</i> the appeal authority may for good cause extend this period for an additional 30
days. Should the appeal period be extended, the subject individual appealing the refusal to correct
or amend the record will be informed in writing of the extension and the circumstances of the delay.
The subject individual?s request to amend or correct the record, the responsible Department
official?s refusal to correct or amend, and any other pertinent material relating to the appeal will
be reviewed. No hearing will be held.
</p>
<p>(3) If the appeal authority agrees that the record subject to the appeal should be corrected or
amended, the record will be amended and the subject individual will be informed in writing of the
correction or amendment. Where an accounting was made of prior disclosures of the record, all
previous recipients of the record will be informed of the corrective action taken.
</p>
<p>(4) If the appeal is denied, the subject individual will be informed in writing:
</p>
<p>(i) Of the denial and the reasons for the denial;
</p>
<p>(ii) That he has a right to seek judicial review of the denial; and,
</p>
<p>(iii) That he may submit to the responsible Department official a concise statement of
disagreement to be associated with the disputed record and disclosed whenever the record is
disclosed.
</p>
<p>(b) <i>Notation and disclosure of disputed records.</i> Whenever a subject individual submits a
statement of disagreement to the responsible Department official in accordance with paragraph (a)(4)
(iii) of this section, the record will be noted to indicate that it is disputed. In any subsequent
disclosure, a copy of the subject individual?s statement of disagreement, will be disclosed with the
record. If the responsible Department official deems it appropriate, a concise statement of the
appeal authority?s reasons for denying the subject individual?s appeal may also be disclosed with
the record. While the subject individual will have access to this statement of reasons, such
statement will not be subject to correction or amendment. Where an accounting was made of prior
disclosures of the record, all previous recipients of the record will be provided a copy of the
subject individual?s statement of disagreement, as well as the statement, if any, of the appeal
authority?s reasons for denying the subject individual?s appeal.

</p>
<p><b>&#167; 5b.9
 Disclosure of records.
</b></p>
<p>(a) <i>Consent to disclosure by a subject individual.</i> (1) Except as provided in
paragraph (b) of this section authorizing disclosures of records without consent, no disclosure of a
record will be made without the consent of the subject individual. In each case the consent, whether
obtained from the subject individual at the request of the Department or whether provided to the
Department by the subject individual on his own initiative, shall be in writing. The consent shall
specify the individual, organizational unit or class of individuals or organizational units to whom
the record may be disclosed, which record may be disclosed and, where applicable, during which time
frame the record may be disclosed (<i>e.g.,</i> during the school year, while the subject individual
is out of the country, whenever the subject individual is receiving specific services). A blanket
consent to disclose all of a subject individual?s records to unspecified individuals or
organizational units will not be honored. The subject individual?s identity and, where applicable (
<i>e.g.,</i> where a subject individual gives consent to disclosure of a record to a specific
individual), the identity of the individual to whom the record is to be disclosed shall be verified.
</p>
<p>(2) A parent or guardian of any minor is not authorized to give consent to a disclosure of the
minor?s medical record.
</p>
<p>(b) <i>Disclosures without the consent of the subject individual.</i> The disclosures listed in
this paragraph may be made without the consent of the subject individual. Such disclosures are:
</p>
<p>(1) To those officers and employees of the Department who have a need for the record in the
performance of their duties. The responsible Department official may upon request of any officer or
employee, or on his own initiative, determine what constitutes legitimate need.
</p>
<p>(2) Required to be disclosed under the Freedom of Information Act, 5 U.S.C. 552, and part 5 of
this title.
</p>
<p>(3) For a routine use as defined in paragraph (j) of &#167; 5b.1. Routine uses will be
listed in any notice of a system of records. Routine uses published in Appendix B are applicable to
more than one system of records. Where applicable, notices of systems of records may contain
references to the routine uses listed in Appendix B. Appendix B will be published with any
compendium of notices of systems of records.
</p>
<p>(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or
related activity pursuant to the provisions of title 13 U.S.C.
</p>
<p>(5) To a recipient who has provided the agency with advance written assurance that the record
will be used solely as a statistical research or reporting record; <i>Provided,</i> That, the record
is transferred in a form that does not identify the subject individual.
</p>
<p>(6) To the National Archives of the United States as a record which has sufficient historical or
other value to warrant its continued preservation by the United States Government, or for evaluation
by the Administrator of General Services or his designee to determine whether the record has such
value.
</p>
<p>(7) To another government agency or to an instrumentality of any governmental jurisdiction within
or under the control of the United States for a civil or criminal law enforcement activity if the
activity is authorized by law, and if the head of such government agency or instrumentality has
submitted a written request to the Department specifying the record desired and the law enforcement
activity for which the record is sought.
</p>
<p>(8) To an individual pursuant to a showing of compelling circumstances affecting the health or
safety of any individual if a notice of the disclosure is transmitted to the last known address of
the subject individual.
</p>
<p>(9) To either House of Congress, or to the extent of matter within its jurisdiction, any
committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint
committee.
</p>
<p>(10) To the Comptroller General, or any of the Comptroller General?s authorized representatives,
in the course of the performance of the duties of the General Accounting Office.
</p>
<p>(11) Pursuant to the order of a court of competent jurisdiction.
</p>
<p>(c) <i>Accounting of disclosures.</i> (1) An accounting of all disclosures of a record will be
made and maintained by the Department for 5 years or for the life of the record, whichever is
longer; <i>except that,</i> such an accounting will not be made:
</p>
<p>(i) For disclosures under paragraphs (b) (1) and (2) of this section; and,
</p>
<p>(ii) For disclosures made with the written consent of the subject individual.
</p>
<p>(2) The accounting will include:
</p>
<p>(i) The date, nature, and purpose of each disclosure; and
</p>
<p>(ii) The name and address of the person or entity to whom the disclosure is made.
</p>
<p>(3) Any subject individual may request access to an accounting of disclosures of a record. The
subject individual shall make a request for access to an accounting in accordance with the
procedures in &#167; 5b.5 of this part. A subject individual will be granted access to an
accounting of the disclosures of a record in accordance with the procedures of this part which
govern access to the related record. Access to an accounting of a disclosure of a record made under
paragraph (b)(7) of this section may be granted at the discretion of the responsible Department
official.

</p>
<p><b>&#167; 5b.10
 Parents and guardians.
</b></p>
<p>For the purpose of this part, a parent or guardian of any minor or the legal guardian or any
individual who has been declared incompetent due to physical or mental incapacity or age by a court
of competent jurisdiction is authorized to act on behalf of an individual or a subject individual.
Except as provided in paragraph (b)(2) of &#167; 5b.5, of this part governing procedures for
verifying an individual?s identity, an individual authorized to act on behalf of a minor or legal
incompetent will be viewed as if he were the individual or subject individual.

</p>
<p><b>&#167; 5b.11 Exempt systems.
</b></p>

<p>(a) <i>General policy.</i> The Act permits an agency to exempt certain types of systems of
records from some of the Act?s requirements. It is the policy of the Department to exercise
authority to exempt systems of records only in compelling cases.
</p>
<p>(b) <i>Specific systems of records exempted under (j)(2).</i> The Department exempts the
Investigative Files of the Inspector General ED/OIG (18-10-01) and the Hotline Complaint
Files of the Inspector General ED/OIG (18-10-04) systems of records from the following
provisions of 5 U.S.C. 552a and this part:
</p>
<p>(1) 5 U.S.C. 552a(c)(3) and &#167; 5b.9(a)(1) and (c)(3) of this part, regarding access to
an accounting of disclosures of a record.
</p>
<p>(2) 5 U.S.C. 552a(c)(4) and &#167;&#167; 5b.7(c) and 5b.8(b) of this part, regarding
notification to outside parties and agencies of correction or notation of dispute made in accordance
with 5 U.S.C. 552a(d).
</p>
<p>(3) 5 U.S.C. 552a(d) (1) through (4) and (f) and &#167;&#167; 5b.5(a)(1) and (c), 5b.7, and
5b.8 of this part, regarding notification or access to records and correction or amendment of
records.
</p>
<p>(4) 5 U.S.C. 552a(e)(1) and &#167; 5b.4(a)(1) of this part, regarding maintaining only
relevant and necessary information.
</p>
<p>(5) 5 U.S.C. 552a(e)(2) and &#167; 5b.4(a)(2) of this part, regarding collection of
information from the subject individual.
</p>
<p>(6) 5 U.S.C. 552a(e)(3) and &#167; 5b.4(a)(3) of this part, regarding notice to individuals
asked to provide information to the Department.
</p>
<p>(7) 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.
</p>
<p>(8) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite accuracy, relevance,
timeliness, and completeness.
</p>
<p>(9) 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.
</p>
<p>(10) 5 U.S.C. 552a(g), regarding civil remedies for violation of the Privacy Act.
</p>
<p>(c) <i>Specific systems of records exempted under (k)(2).</i> (1) The Department exempts the
Investigative Files of the Inspector General ED/OIG (18-10-01), the Hotline Complaint
Files of the Inspector General ED/OIG (18-10-04), and the Office of Inspector General
Data Analytics System (ODAS) (18-10-02) from the following provisions of 5 U.S.C. 552a
and this part to the extent that these systems of records consist of investigatory material and
complaints that may be included in investigatory material compiled for law enforcement purposes:
</p>
<p>(i) 5 U.S.C. 552a(c)(3) and &#167; 5b.9(c)(3) of this part, regarding access to an
accounting of disclosures of records.
</p>
<p>(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and &#167;&#167; 5b.5(a)(1) and (c), 5b.7, and
5b.8 of this part, regarding notification of and access to records and correction or amendment of
records.
</p>
<p>(iii) 5 U.S.C. 552a(e)(1) and &#167; 5b.4(a)(1) of this part, regarding the requirement to
maintain only relevant and necessary information.
</p>
<p>(iv) 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.
</p>
<p>(2) The Department exempts the Complaint Files and Log, Office for Civil Rights (18-08
-01) from the following provisions of 5 U.S.C. 552a and this part:
</p>
<p>(i) 5 U.S.C. 552a(c)(3) and &#167; 5b.9(c)(3) of this part, regarding access to an
accounting of disclosures of records.
</p>
<p>(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and &#167;&#167; 5b.5(a)(1) and (c), 5b.7, and
5b.8 of this part, regarding notification of and access to records and correction or amendment of
records.
</p>
<p>(iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of information in the system notice
about procedures for notification, access, and correction of records.
</p>
<p>(d) <i>Specific systems of records exempted under (k)(5).</i> The Department exempts the
Investigatory Material Compiled for Personnel Security and Suitability Purposes (18-05-
17) system of records from the following provisions of 5 U.S.C. 552a and this part:
</p>
<p>(1) 5 U.S.C. 552a(c)(3) and &#167; 5b.9(c)(3) of this part, regarding access to an
accounting of disclosures of records.
</p>
<p>(2) 5 U.S.C. 552a(d) (1) through (4) and (f) and &#167;&#167; 5b.5(a)(1) and (c), 5b.7, and
5b.8 of this part, regarding notification of and access to records and correction or amendment of
records.
</p>
<p>(3) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of information in the system notice
about procedures for notification, access, and correction of records.
</p>
<p>(e) <i>Basis for exemptions taken under (j)(2), (k)(2), and (k)(5).</i> The reason the Department
took each exemption described in this section is stated in the preamble for the final rulemaking
document under which the exemption was promulgated. These final rulemaking documents were published
in the <i>Federal Register</i> and may be obtained from the Department of Education by mailing a
request to the following address: U.S. Department of Education, Privacy Act Officer, Office of the
Chief Information Officer, Regulatory Information Management Group, Washington, DC 20202-4651.
</p>
<p>(f) <i>Notification of or access to records in exempt systems of records.</i> (1) If a system of
records is exempt under this section, an individual may nonetheless request notification of or
access to a record in that system. An individual shall make requests for notification of or access
to a record in an exempt system or records in accordance with the procedures of &#167; 5b.5 of
this part.
</p>
<p>(2) An individual will be granted notification of or access to a record in an exempt system but
only to the extent that notification or access would not reveal the identity of a source who
furnished the record to the Department under an express promise, and, prior to September 27, 1975,
an implied promise, that his identity would be held in confidence if--
</p>
<p>(i) The record is in a system of records or that portion of a system of records that is exempt
under subsection (k)(2), but not under subsection (j)(2), of the Act and the individual has been, as
a result of the maintenance of the record, denied a right, privilege, or benefit to which he or she
would otherwise be eligible; or
</p>
<p>(ii) The record is in a system of records that is exempt under subsection (k)(5) of the Act.
</p>
<p>(3) If an individual is not granted notification of or access to a record in a system of records
exempt under subsections (k)(2) (but not under subsection (j)(2)) and (k)(5) of the Act in
accordance with this paragraph, he or she will be informed that the identity of a confidential
source would be revealed if notification of or access to the record were granted to the individual.
</p>
<p>(g) <i>Discretionary actions by the responsible Department official.</i> Unless disclosure of a
record to the general public is otherwise prohibited by law, the responsible Department official
may, in his or her discretion, grant notification of or access to a record in a system of records
that is exempt under this section. Discretionary notification of or access to a record in accordance
with this paragraph will not be a precedent for discretionary notification of or access to a similar
or related record and will not obligate the responsible Department official to exercise his or her
discretion to grant notification of or access to any other record in a system of records that is
exempt under this section.
</p>
<p>[58 FR 44424, Aug. 20, 1993, as amended at 64 FR 31066, June 9, 1999; 69 FR 12246, Mar. 15, 2004;
73 FR 61354, October 16, 2008]

</p>
<p><b>&#167; 5b.12
 Contractors.
</b></p>
<p>(a) All contracts entered into on or after September 27, 1975 which require a contractor to
maintain or on behalf of the Department to maintain, a system of records to accomplish a Department
function must contain a provision requiring the contractor to comply with the Act and this part.
</p>
<p>(b) All unexpired contracts entered into prior to September 27, 1975 which require the contractor
to maintain or on behalf of the Department to maintain, a system of records to accomplish a
Department function will be amended as soon as practicable to include a provision requiring the
contractor to comply with the Act and this part. All such contracts must be so amended by July 1,
1976 unless for good cause the appeal authority identified in &#167; 5b.8 of this part
authorizes the continuation of the contract without amendment beyond that date.
</p>
<p>(c) A contractor and any employee of such contractor shall be considered employees of the
Department only for the purposes of the criminal penalties of the Act, 5 U.S.C. 552a(i), and the
employee standards of conduct listed in appendix A of this part where the contract contains a
provision requiring the contractor to comply with the Act and this part.
</p>
<p>(d) This section does not apply to systems of records maintained by a contractor as a result of
his management discretion, <i>e.g.,</i> the contractor?s personnel records.

</p>
<p><b>&#167; 5b.13
 Fees.
</b></p>
<p>(a) <i>Policy.</i> Where applicable, fees for copying records will be charged in accordance
with the schedule set forth in this section. Fees may only be charged where an individual requests
that a copy be made of the record to which he is granted access. No fee may be charged for making a
search of the system of records whether the search is manual, mechanical, or electronic. Where a
copy of the record must be made in order to provide access to the record (<i>e.g.,</i> computer
printout where no screen reading is available), the copy will be made available to the individual
without cost.
</p>
<p>(b) <i>Fee schedule.</i> The fee schedule for the Department is as follows:
</p>
<p>(1) Copying of records susceptible to photocopying--$.10 per page.
</p>
<p>(2) Copying records not susceptible to photocopying (<i>e.g.,</i> punch cards or magnetic tapes)
--at actual cost to be determined on a case-by-case basis.
</p>
<p>(3) No charge will be made if the total amount of copying does not exceed $25.</p>
<p><b>Appendix A to Part 5b--Employee Standards of Conduct
</b></p>
<p>(a) <i>General.</i> All employees are required to be aware of their responsibilities under
the Privacy Act of 1974, 5 U.S.C. 552a. Regulations implementing the Act are set forth in 34 CFR 5b.
Instruction on the requirements of the Act and regulation shall be provided to all new employees of
the Department. In addition, supervisors shall be responsible for assuring that employees who are
working with systems of records or who undertake new duties which require the use of systems of
records are informed of their responsibilities. Supervisors shall also be responsible for assuring
that all employees who work with such systems of records are periodically reminded of the
requirements of the Act and are advised of any new provisions or interpretations of the Act.
</p>
<p>(b) <i>Penalties.</i> (1) All employees must guard against improper disclosure of records which
are governed by the Act. Because of the serious consequences of improper invasions of personal
privacy, employees may be subject to disciplinary action and criminal prosecution for knowing and
willful violations of the Act and regulation. In addition, employees may also be subject to
disciplinary action for unknowing or unwillful violations, where the employee had notice of the
provisions of the Act and regulations and failed to inform himself sufficiently or to conduct
himself in accordance with the requirements to avoid violations.
</p>
<p>(2) The Department may be subjected to civil liability for the following actions undertaken by
its employees:
</p>
<p>(a) Making a determination under the Act and &#167;&#167; 5b.7 and 5b.8 of the regulation
not to amend an individual?s record in accordance with his request, or failing to make such review
in conformity with those provisions;
</p>
<p>(b) Refusing to comply with an individual?s request for notification of or access to a record
pertaining to him;
</p>
<p>(c) Failing to maintain any record pertaining to any individual with such accuracy, relevance,
timeliness, and completeness as is necessary to assure fairness in any determination relating to the
qualifications, character, rights, or opportunities of, or benefits to the individual that may be
made on the basis of such a record, and consequently a determination is made which is adverse to the
individual; or
</p>
<p>(d) Failing to comply with any other provision of the Act or any rule promulgated thereunder, in
such a way as to have an adverse effect on an individual.
</p>
<p>(3) ?An employee may be personally subject to criminal liability as set forth below and in
5 U.S.C. 552a (i):
</p>
<p>(a) Any officer or employee of an agency, who by virtue of his employment or official position,
has possession of, or access to, agency records which contain individually identifiable information
the disclosure of which is prohibited by the Act or by rules or regulations established thereunder,
and who, knowing that disclosure of the specific material is so prohibited, willfully discloses the
material in any manner to any person or agency not entitled to receive it, shall be guilty of a
misdemeanor and fined not more than $5,000.?
</p>
<p>(b) ?Any officer or employee of any agency who willfully maintains a system of records
without meeting the notice requirements [of the Act] shall be guilty of a misdemeanor and fined not
more than $5,000.?
</p>
<p>(c) <i>Rules Governing Employees Not Working With Systems of Records.</i> Employees whose duties
do not involve working with systems of records will not generally disclose to any one, without
specific authorization from their supervisors, records pertaining to employees or other individuals
which by reason of their official duties are available to them. Notwithstanding the above, the
following records concerning Federal employees are a matter of public record and no further
authorization is necessary for disclosure:
</p>
<p>(1) Name and title of individual.
</p>
<p>(2) Grade classification or equivalent and annual rate of salary.
</p>
<p>(3) Position description.
</p>
<p>(4) Location of duty station, including room number and telephone number.
</p>
<p>In addition, employees shall disclose records which are listed in the Department?s Freedom of
Information Regulation as being available to the public. Requests for other records will be referred
to the responsible Department official. This does not preclude employees from discussing matters
which are known to them personally, and without resort to a record, to official investigators of
Federal agencies for official purposes such as suitability checks, Equal Employment Opportunity
investigations, adverse action proceedings, grievance proceedings, etc.
</p>
<p>(d) <i>Rules governing employees whose duties require use or reference to systems of records.</i>
Employees whose official duties require that they refer to, maintain, service, or otherwise deal
with systems of records (hereinafter referred to as ?Systems Employees?) are governed by
the general provisions. In addition, extra precautions are required and systems employees are held
to higher standards of conduct.
</p>
<p>(1) Systems Employees shall:
</p>
<p>(a) Be informed with respect to their responsibilities under the Act;
</p>
<p>(b) Be alert to possible misuses of the system and report to their supervisors any potential or
actual use of the system which they believe is not in compliance with the Act and regulation;
</p>
<p>(c) Make a disclosure of records within the Department only to an employee who has a legitimate
need to know the record in the course of his official duties;
</p>
<p>(d) Maintain records as accurately as practicable.
</p>
<p>(e) Consult with a supervisor prior to taking any action where they are in doubt whether such
action is in conformance with the Act and regulation.
</p>
<p>(2) Systems Employees shall not:
</p>
<p>(a) Disclose in any form records from a system of records except (1) with the consent or at the
request of the subject individual; or (2) where its disclosure is permitted under &#167; 5b.9
of the regulation.
</p>
<p>(b) Permit unauthorized individuals to be present in controlled areas. Any unauthorized
individuals observed in controlled areas shall be reported to a supervisor or to the guard force.
</p>
<p>(c) Knowingly or willfully take action which might subject the Department to civil liability.
</p>
<p>(d) Make any arrangements for the design development, or operation of any system of records
without making reasonable effort to provide that the system can be maintained in accordance with the
Act and regulation.
</p>
<p>(e) <i>Contracting officers.</i> In addition to any applicable provisions set forth above, those
employees whose official duties involve entering into contracts on behalf of the Department shall
also be governed by the following provisions:
</p>
<p>(1) <i>Contracts for design, or development of systems and equipment.</i> No contract for the
design or development of a system of records, or for equipment to store, service or maintain a
system of records shall be entered into unless the contracting officer has made reasonable effort to
ensure that the product to be purchased is capable of being used without violation of the Act or
regulation. Special attention shall be given to provision of physical safeguards.
</p>
<p>(2) <i>Contracts for the operation of systems and equipment.</i> No contract for the design or
development of a system of whom he feels appropriate, of all proposed contracts providing for the
operation of systems of records shall be made prior to execution of the contracts to determine
whether operation of the system of records is for the purpose of accomplishing a Department
function. If a determination is made that the operation of the system is to accomplish a Department
function, the contracting officer shall be responsible for including in the contract appropriate
provisions to apply the provisions of the Act and regulation to the system, including prohibitions
against improper release by the contractor, his employees, agents, or subcontractors.
</p>
<p>(3) <i>Other service contracts.</i> Contracting officers entering into general service contracts
shall be responsible for determining the appropriateness of including provisions in the contract to
prevent potential misuse (inadvertent or otherwise) by employees, agents, or subcontractors of the
contractor.
</p>
<p>(f) <i>Rules Governing Responsible Department Officials.</i> In addition to the requirements for
Systems Employees, responsible Department officials shall:
</p>
<p>(1) Respond to all requests for notification of or access, disclosure, or amendment of records in
a timely fashion in accordance with the Act and regulation;
</p>
<p>(2) Make any amendment of records accurately and in a timely fashion;
</p>
<p>(3) Inform all persons whom the accounting records show have received copies of the record prior
to the amendments of the correction; and
</p>
<p>(4) Associate any statement of disagreement with the disputed record, and
</p>
<p>(a) Transmit a copy of the statement to all persons whom the accounting records show have
received a copy of the disputed record, and
</p>
<p>(b) Transmit that statement with any future disclosure.
</p>
<p><b>Appendix B to Part 5b--Routine Uses Applicable to More Than One System of Records
Maintained by ED</b></p>
<p>(1) In the event that a system of records maintained by this agency to carry out its
functions indicates a violation or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular program statute, or by regulation,
rule or order issued pursuant thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the
responsibility of investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation or order issued pursuant thereto.
</p>
<p>(2) Referrals may be made of assignments of research investigators and project monitors to
specific research projects to the Smithsonian Institution to contribute to the Smithsonian Science
Information Exchange, Inc.
</p>
<p>(3) 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.
</p>
<p>(4) 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.
</p>
<p>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.
</p>
<p>(5) In the event that a system of records maintained by this agency to carry out its function
indicates a violation or potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program statute, or by regulation, rule
or order issued pursuant thereto, the relevant records in the system of records may be referred, as
a routine use, to the appropriate agency, whether state or local charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or implementing the statute,
or rule, regulation or order issued pursuant thereto.
</p>
<p>(6) Where federal agencies having the power to subpoena other federal agencies? records, such as
the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for
records in this system of records, the Department will make such records available.
</p>
<p>(7) Where a contract between a component of the Department and a labor organization recognized
under E.O. 11491 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 organization.
</p>
<p>(8) Where the appropriate official of the Department, pursuant to the Department?s Freedom of
Information Regulation determines that it is in the public interest to disclose a record which is
otherwise exempt from mandatory disclosure, disclosure may be made from this system of records.
</p>
<p>(9) 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.
</p>
<p>(10) To individuals and organizations, deemed qualified by the Secretary to carry out specific
research solely for the purpose of carrying out such research.
</p>
<p>(11) Disclosures in the course of employee discipline or competence determination proceedings.
</p>
<p>[45 FR 30808, May 9, 1980; 45 FR 37426, June 3, 1980]

</p>

</xhtmlContent>
</regulationsPart>
</regulationsTitle>
	
</regulations>
<regulations id="reg2" toc="yes">
<regulationsTitle number="48">
<heading> Federal Acquisition Regulations System
</heading>
<regulationsChapter number="48">
<heading> Department of Education </heading>
<regulationsPart number="3424">
<heading> PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION </heading>
<xhtmlContent>
<p><b>Subpart 3424.1--Protection of Individual Privacy
</b></p>
<p>Sec.
</p>
<p>3424.103 Procedures.
</p>
<p><b>Authority:</b> 5 U.S.C. 301; 40 U.S.C. 486(c).</p>
<p><b>Subpart 3424.1--Protection of Individual Privacy
</b></p>
<p>3424.103
 Procedures.
</p>
<p>(a) If the Privacy Act of 1974 applies to a contract, the contracting officer shall specify in
the contract the disposition to be made of the system or systems of records upon completion of
performance of the contract. For example, the contract may require the contractor to completely
destroy the records, to remove personal identifiers, to turn the records over to ED, or to keep the
records but take certain measures to keep the records confidential and protect the individuals?
privacy.
</p>
<p>(b) If a notice of the system of records has not been published in the <i>Federal Register,</i>
the contracting officer may proceed with the acquisition but shall not award the contract until the
notice is published, unless the contracting officer determines, in writing, that portions of the
contract may proceed without maintaining information subject to the Privacy Act. In this case, the
contracting officer may--
</p>
<p>(1) Award the contract, authorizing performance only of those portions not subject to the Privacy
Act; and
</p>
<p>(2) After the notice is published and effective, authorize performance of the remainder of the
contract.
</p>
<p>[53 FR 19123, May 26, 1988]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency></pai>
