[Federal Register Volume 60, Number 235 (Thursday, December 7, 1995)]
[Notices]
[Pages 62829-62832]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-29856]



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DEPARTMENT OF EDUCATION


Privacy Act of 1974; System of Records

AGENCY: Department of Education.

ACTION: Notice of an altered system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
Department of Education publishes this notice of an altered system of 
records (18-11-0026) for Debarment and Suspension Proceedings under 
Executive Order 12549 and the Drug-Free Workplace Act and the Federal 
Acquisition Regulation (FAR), 48 CFR part 9, subpart 9.4. The purpose 
of this notice is to notify the public of an expansion in scope of the 
system of records managed by the Grants and Contracts Service (GCS) to 
include procurement, as well as nonprocurement and Drug-Free Workplace 
Act actions. Currently, the Grants and Contracts Service maintains 
records regarding debarment and suspension proceedings against 
individuals who are involved in nonprocurement transactions related to 
programs administered by the Department. This notice also makes 
technical changes regarding the addition of a third system manager and 
system location, and also regarding the change of a system manager.

DATES: Comments on the routine uses in this system of records, as 
applied to individuals debarred and suspended under the Federal 
Acquisition Regulation, 48 CFR part 9, subpart 9.4, must be submitted 
by January 8, 1996. The Department filed a report on the altered system 
of records with the Chairman of the House Committee on Government 
Reform and Oversight, the Chairman of the Senate Committee on 
Governmental Affairs, and the Administrator, Office of Information and 
Regulatory Affairs, Office of Management and Budget (OMB) on December 
4, 1995. This change will become effective after the 30 day period for 
OMB review which expires on January 3, 1996, unless OMB gives specific 
notice within the 30 days that the system is not approved for 
implementation or requests an additional 10 days for OMB review. The 
Department will publish any changes to the routine uses that result 
from the comments.

FOR FURTHER INFORMATION CONTACT: Cathy Girouard, Grants and Contracts 
Service, Office of the Chief Financial Officer, U.S. Department of 
Education, 600 Independence Avenue, SW (Room 3636, GSA Regional Office 
Building 3, 7th & D Streets, SW) Washington, DC 20202-5341. Telephone: 
(202) 708-8529. Individuals who use a telecommunication device for the 
deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-
800-877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through 
Friday.

SUPPLEMENTARY INFORMATION: On November 28, 1988, the Department of 
Education published in the Federal Register (53 FR 47855) a notice of a 
new system of records for Debarment and Suspension Proceedings Under 
Executive Order (E.O.) 12549. That notice was amended on January 22, 
1990, to add an additional system manager (55 FR 2131); and amended 
again on March 7, 1990, to expand its scope to cover debarment and 
suspension proceedings under the Drug-Free Workplace Act (55 FR 8168).
    The Privacy Act of 1974 requires the Department to publish in the 
Federal Register a notice of an altered system of records (See 5 U.S.C. 
552a(e)(4)). This notice of an altered system of records notifies the 
public that the Department is expanding the scope of the system of 
records to include procurement, as well as nonprocurement and Drug-Free 
Workplace Act actions.
    This notice also adds a third official authorized to maintain 
records regarding debarment and suspension proceedings against 
individuals and makes other technical changes.
    The Office of Inspector General (OIG) is now responsible for 
proposing debarments and issuing suspensions if the action is against a 
certified public accountant (CPA) or CPA firm that audits, or is likely 
to audit, an educational institution receiving funds under a program 
administered by the Department of Education. As a result, the official 
in the Office of Inspector General who is responsible for issuing these 
notices is now responsible for maintaining records regarding these 
actions.
    The Office of Postsecondary Education (OPE) continues to be 
responsible for initiating all debarment and suspension actions against 
institutions of higher education, lenders, and guarantee agencies and 
their principals. The OPE official responsible for maintaining records 
regarding OPE initiated actions (the system manager) is changed from 
the Assistant Secretary for Postsecondary Education to the Director, 
Compliance and Enforcement Division, Student Financial Assistance 
Programs, Office of Postsecondary Education.
    The Grants and Contracts Service continues to be responsible under 
E.O. 12549 for initiating debarment/suspension actions against 
individuals who are involved in nonprocurement transactions related to 
programs administered by the Department and individuals who violate the 
Drug-Free Workplace Act. Grants and Contracts Service will also be 
responsible for maintaining records regarding actions under the Federal 
Acquisition Regulation (FAR), 48 CFR subpart 9.4--Debarment, 
Suspension, and Ineligibility.
    Direct access to this system of records is restricted to authorized 
agency staff in the performance of their official duties.
    The Chief Financial Officer has updated the routine uses for this 
system of records and seeks comments on the revised routine uses. 
However, to ensure clarity of purpose and as a service to the reader, 
this notice is being published in its entirety.

    Dated: December 4, 1995.
Donald R. Wurtz,
Chief Financial Officer.

    The Chief Financial Officer revises the system of records notice to 
read as follows:
18-11-0026
    Debarment and Suspension Proceedings under Executive Order (E.O.) 
12549, the Drug-Free Workplace Act, and the Federal Acquisition 
Regulation
    None.
    For records regarding actions under E.O. 12549 against individuals 
who are involved in nonprocurement transactions related to Department 
of Education programs, actions under the Drug-Free Workplace Act, and 
actions under the FAR 9.4: Grants and Contracts Service, Office of the 
Chief Financial Officer, U.S. Department of Education, 600 Independence 
Avenue, SW, (Room 3636, GSA Regional Office Building 3, 7th & D 
Streets, SW) Washington, DC 20202-4700.
    For records regarding actions under E.O. 12549 against an 
individual certified public accountant or principals of a CPA firm: 
Planning, Analysis, and Management Services, Office of Inspector 
General, U.S. Department of Education, 600 Independence Avenue, SW, 
(Room 4022, Switzer Building, 330 C Street, SW) Washington, DC 20202-
1510.
    For records regarding actions under E.O. 12549 against principals 
of institutions of higher education, 

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principals of lenders, or principals of guarantee agencies: Compliance 
and Enforcement Division, Student Financial Assistance Programs, Office 
of Postsecondary Education, U.S. Department of Education, 600 
Independence Avenue, SW, (Room 3916, GSA Regional Office Building 3, 
7th & D Streets, SW) Washington, DC 20202-5341.
    Principals undergoing debarment or suspension proceedings and 
principals that have been debarred or suspended. Principals are 
officers, directors, owners, partners, key employees, or other persons 
who have a critical influence on or substantive control over a covered 
transaction, whether or not employed by a participant. A participant is 
any person who submits a proposal for, enters into, or reasonably may 
be expected to enter into a covered transaction. A covered transaction 
is described in the Department's regulations at 34 CFR 85.110(a)(1).
    Individuals receiving grants subject to requirements under the 
Drug-Free Workplace Act.
    Individual contractors undergoing debarment or suspension 
proceedings and contractors that have been debarred or suspended. 
Contractors covered by this system of records are individuals that 
directly or indirectly submit offers for or are awarded, or may 
reasonably be expected to submit offers for or be awarded, a government 
contract, or who conduct business, or may reasonably be expected to 
conduct business with the Department as an agent or representative of 
another contractor.
    Contains documents including written referrals, communications 
between the Department and the respondent, intra-agency and inter-
agency communications regarding proposed or completed debarments or 
suspensions, and a record of any findings from debarment or suspension 
proceedings against individuals under E.O. 12549, the Drug-Free 
Workplace Act, and the FAR 9.4.
    Executive Order 12549, Debarment and Suspension; Sections 5151-5160 
of the Drug-Free Workplace Act; and the Federal Acquisition Regulation, 
48 CFR part 9, subpart 9.4, Debarment, Suspension, and Ineligibility; 
Public Law 103-355, sec. 2455.
    Information contained in this system of records is used to protect 
the Federal Government from the actions prohibited under the Department 
of Education (ED) debarment and suspension regulations, Drug-Free 
Workplace regulations, and the FAR; make decisions regarding debarments 
and suspensions; and ensure that other Federal agencies give effect to 
debarment or suspension decisions rendered by ED.
    The Department may disclose a record for the following purposes:
    (a) Litigation Disclosure.
    (1) In the event that one of the parties listed below is involved 
in litigation, or has an interest in litigation, ED may disclose 
certain records to the parties described in paragraphs (2), (3), and 
(4) of this routine use under the conditions specified in those 
paragraphs:
    (i) ED, or any component of the Department; or
    (ii) Any ED employee in his or her official capacity; or
    (iii) Any employee of ED in his or her individual capacity where 
the Department of Justice has agreed to provide or arrange for 
representation for the employee; or
    (iv) Any employee of ED in his or her individual capacity where the 
agency has agreed to represent the employee; or
    (v) The United States where ED determines that the litigation is 
likely to affect the Department or any of its components.
    (2) Disclosure to the Department of Justice. If ED determines that 
disclosure of certain records to the Department of Justice or attorneys 
engaged by the Department of Justice is relevant and necessary to 
litigation and is compatible with the purpose for which the records 
were collected, ED may disclose those records as a routine use to the 
Department of Justice.
    (3) Administrative Disclosures. If ED determines that disclosure of 
certain records to an adjudicative body before which ED is authorized 
to appear, individual or entity designated by ED or otherwise empowered 
to resolve disputes is relevant and necessary to the administrative 
litigation and is compatible with the purposes for which the records 
were collected, ED may disclose those records as a routine use to the 
adjudicative body, individual or entity.
    (4) Opposing counsels, representatives and witnesses. If ED 
determines that disclosure of certain records to an opposing counsel, 
representative or witness in an administrative proceeding is relevant 
and necessary to the litigation and is compatible with the purpose for 
which the records were collected, ED may disclose those records as a 
routine use to the counsel, representative or witness.
    (b) Disclosure to the General Services Administration. The 
Department makes information contained in this system of records 
available to the General Services Administration for inclusion in the 
Lists of Parties Excluded from Federal Procurement or Nonprocurement 
Programs.
    (c) Disclosure to the Public. The Department provides information 
to persons inquiring about individuals who have been debarred or 
suspended by ED as necessary to enforce debarment and suspension 
actions.
    (d) Enforcement Disclosure. In the event that information in this 
system of records indicates, either on its face or in connection with 
other information, a violation or potential violation 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.
    (e) FOIA Advice Disclosure. In the event the Department deems it 
desirable or necessary, in determining whether particular records are 
required to be disclosed under the Freedom of Information Act, 
disclosure may be made to the Department of Justice for the purpose of 
obtaining its advice.
    (f) Contract Disclosure. If ED contracts with an entity for the 
purpose of performing any function that requires disclosure of records 
in this system to employees of the contractor, ED may disclose the 
records as a routine use to those employees. Before entering such a 
contract, ED 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.
    (g) Research Disclosure. Where the appropriate official of ED 
determines that an individual or organization is qualified to carry out 
specific research, that official may disclose information from this 
system of records to that researcher solely for the purpose of carrying 
out that research. The researcher shall be required to maintain Privacy 
Act safeguards with respect to such records.
    (h) Congressional Member Disclosure. ED may disclose information 
from this system of records to a congressional office from the record 
of an individual 

[[Page 62832]]
in response to an inquiry from the Congressional office 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.
    Records are kept in file folders in locked file cabinets.
    The records are indexed by the names of the individuals.
    All physical access to the site where this system of records is 
maintained is controlled and monitored by security personnel who check 
each individual entering the building for his or her employee badge. 
Files are kept in locked file cabinets. Immediate access to these 
records is restricted to authorized staff.
    Pending disposal, Debarment and Suspension records are retained at 
the system location. The Department will retain and dispose of the 
records in accordance with General Records Schedule 22, item 2, which 
states that the cut-off date for Debarment and Suspension records is 
the end of the fiscal year in which the case is closed. The records are 
destroyed eight years after the cut-off date.
    Director, Grants and Contracts Service, U.S. Department of 
Education, 600 Independence Avenue, SW, (Room 3600, GSA Regional Office 
Building 3, SW), Washington, DC 20202-0498.
    Assistant Inspector General for Planning, Analysis, and Management 
Services, Office of Inspector General, U.S. Department of Education, 
600 Independence Avenue, SW, (Room 4022, Switzer Building, 330 C 
Street, SW), Washington, DC 20202-1510.
    Director, Compliance and Enforcement Division, Student Financial 
Assistance Programs, Office of Postsecondary Education, U.S. Department 
of Education, 600 Independence Avenue, SW (Room 3919, GSA Regional 
Office Building 3, SW), Washington, DC 20202-0498.
    If an individual wishes to determine whether a record exists 
regarding him or her in this system of records, the individual must 
provide the system manager his or her name, date of birth and social 
security number. Requests for notification about an individual record 
must meet the requirements of the Department of Education's Privacy Act 
regulations at 34 CFR 5b.5.
    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 Department of 
Education's Privacy Act regulations at 34 CFR 5b.5. Consistent with 5 
U.S.C. 552a(e)(5), ED retains the discretion not to disclose records to 
an individual during the course of a debarment or suspension proceeding 
against the individual.
    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 Department of Education 
Privacy Act regulations at 34 CFR 5b.7.
    Department employees involved in the management of grants and 
contracts, and other organizations or persons that may have relevant 
information regarding participants and their principals.
    None.

[FR Doc. 95-29856 Filed 12-7 -95; 8:45 am]
BILLING CODE 4000-01-P