[Federal Register Volume 63, Number 18 (Wednesday, January 28, 1998)]
[Notices]
[Pages 4231-4234]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-2077]


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DEPARTMENT OF EDUCATION


Privacy Act of 1974; System of Records

AGENCY: Office of Inspector General, Department of Education.

ACTION: Notice of an altered system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended (Act), 
the Department of Education (Department) publishes this notice of 
proposed alterations to its system of records for the Investigatory 
Material Compiled for Personnel Security and Suitability Purposes for 
the Office of Inspector General (OIG)--18-10-0002. These alterations 
serve to update the system of records to reflect current administrative 
and related procedures, implementation of computer database technology, 
organizational restructuring, clarification and expanded language to 
provide greater detail and description applicable to the system of 
records, and proposed new and revised routine uses of the information 
contained in this system of records. Because the routine uses have been 
revised or expanded, the Department requests comment regarding the 
proposed routine uses contained in this notice.

DATES: Comments on the proposed routine uses of this system of records 
must be received by the Department on or before February 27, 1998. The 
Department filed a report on the altered system of records with the 
Chair of the Committee on Governmental Affairs of the Senate, the Chair 
of the Committee on Government Reform and Oversight of the House, and 
the Administrator of the Office of Information and Regulatory Affairs, 
Office of Management and Budget (OMB) on January 23, 1998. This altered 
system of records will become effective after the 30-day period for

[[Page 4232]]

OMB review of the system expires on February 22, 1998, unless OMB gives 
specific notice within the 30 days that the system is not approved for 
implementation or requests an additional 10 days for its review. The 
new and revised routine uses become effective 30 days after publication 
unless they need to be changed as a result of public comment. The 
Department will publish any changes to the routine uses that are 
required as a result of the comments.

ADDRESSES: All comments on the proposed routine uses should be 
addressed to the Deputy Inspector General, U.S. Department of 
Education, 600 Independence Avenue, SW., 4022 MES, Washington, DC 
20202-1510. Comments may also be sent through the Internet to: 
C[email protected]
    You must include the term ``Security Notice'' in the subject line 
of the electronic comment.
    All comments submitted in response to this notice will be available 
for public inspection, during and after the comment period, in Room 
4022 Switzer Building, 330 C Street, SW., Washington, DC, between the 
hours of 8:00 a.m. and 4:30 p.m., Eastern time, Monday through Friday 
of each week except Federal holidays.
    On request the Department supplies an appropriate aid, such as a 
reader or print magnifier, to an individual with a disability who needs 
assistance to review the comments or other documents in the public 
rulemaking docket for this notice. An individual with a disability who 
wants to schedule an appointment for this type of aid may call (202) 
205-8113 or (202) 260-9895. An individual who uses a TDD may call the 
Federal Information Relay Service at 1-800-877-8339 between 8 a.m. and 
8 p.m., Eastern time, Monday through Friday.

FOR FURTHER INFORMATION CONTACT: Sandra H. Warren, Security Officer, 
Office of Inspector General, U.S. Department of Education, 600 
Independence Avenue, SW., 4022 MES, Washington, DC 20202-1510. 
Telephone: (202) 205-5400. Individuals who use a telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern 
time, Monday through Friday.
    Individuals with disabilities may obtain this document in an 
alternate format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed in the preceding 
paragraph.

SUPPLEMENTARY INFORMATION:

Electronic Access to This Document

    Anyone may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or 
portable document format (pdf) on the World Wide Web at either of the 
following sites:

http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html

    To use the pdf you must have the Adobe Acrobat Reader Program with 
Search, which is available free at either of the previous sites. If you 
have questions about using the pdf, call the U.S. Government Printing 
Office toll free at 1-888-293-6498.
    Anyone may also view these documents in text copy only on an 
electronic bulletin board of the Department. Telephone: (202) 219-1511 
or, toll free, 1-800-222-4922. The documents are located under Option 
G--Files/Announcements, Bulletins and Press Releases.

    Note: The official version of this document is the document 
published in the Federal Register.

General

    The Act (5 U.S.C. 552a)(e)(4) requires the Department to publish in 
the Federal Register this notice of an altered system of records. The 
Department's regulations implementing the Act are contained in the Code 
of Federal Regulations (CFR) in 34 CFR part 5b. A system of records is 
considered altered whenever an agency changes the way it retrieves 
records, expands the types or categories of information, or revises its 
routine uses for information contained in the system. This system 
notice has not been updated since its publication in the Federal 
Register on April 20, 1982. As a result, revisions are needed to 
accurately describe the current system of records that maintains 
investigatory material on current and former Department employees, 
individuals who have applied for employment with the Department, and 
other individuals doing business with the Department.
    The records in this system are maintained to provide the Inspector 
General and other responsible Department of Education (Department) 
officials with information to assist them in making individual 
personnel determinations concerning suitability for Federal employment, 
security clearances, access to classified information or restricted 
areas, and evaluations as to suitability for performance under Federal 
contracts or other agreements with the Federal Government. For those 
investigations conducted by the Office of Inspector General, these 
records may also be disclosed to other Federal and non-Federal 
investigatory agencies to protect the public or Federal interest, or 
both.
    The revisions in this system notice change the name of the system 
manager and add additional system locations; update the authority for 
the maintenance of the system; provide a detailed description of the 
nature of the security investigation case files; revise and clarify the 
purpose of the system; expand the categories of individuals covered by 
the system to include people seeking association with the Department 
under Federal contracts or other agreements as well as individuals 
seeking employment or retention with the Department; revise and expand 
the routine use disclosures to provide for the disclosure of 
information to contractors, grantees, experts, consultants, or 
volunteers performing or working on a contract, grant, or service for 
the Department and with respect to litigation-related disclosures and 
for purposes relating to the Freedom of Information Act; and 
disclosures to specified intelligence agencies of the Federal 
Government for use in intelligence or investigation activities. This 
notice also revises the manner in which the records are stored, 
retrieved, and safeguarded with regard to the use of computer database 
technology; clarifies the retention and disposal period for records 
maintained in the system; and expands the notification procedures to 
assist the system manager in the identification of requested 
information contained in the system of records.
    Direct access is restricted to authorized agency staff in the 
performance of their official duties. Due to the extensive revisions in 
this notice, it is being published in its entirety.

    Dated: January 23, 1998.
Thomas R. Bloom,
Inspector General.

    The Office of Inspector General of the U.S. Department of Education 
publishes notice of an altered system of records as follows:
18-10-0002

SYSTEM NAME:
    Investigatory Material Compiled for Personnel Security and 
Suitability Purposes--ED/OIG.

SECURITY CLASSIFICATION:
    None.

[[Page 4233]]

SYSTEM LOCATIONS:
    Security Program Staff, Office of Inspector General, U.S. 
Department of Education, 600 Independence Avenue, SW., Washington, DC 
20202-1510.
    U.S. Office of Personnel Management, Investigations Group, P.O. Box 
886, Washington, DC 20044-0886.
    Washington National Records Center, Suitland, MD 20746-2042.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants seeking employment with the Department of Education 
(Department), former and current employees of, and other persons and 
entities doing business with, the Department.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records contain investigative information pertaining to 
current and former Department employees, current and former contractor 
personnel, and current employees of entities making offers to the 
Department for purposes of doing business. This information regards 
individuals' character, conduct, and loyalty to the United States as 
relevant to their association with the Department. These records may, 
as appropriate to the individual being investigated, include the 
following types of information: (1) Documentation as to his or her 
arrests and convictions for violations of the law. (2) Reporting as to 
interviews held with the individual, his or her present and former 
supervisors, co-workers, associates, neighbors, educators, etc. (3) 
Correspondence relating to adjudication matters involving the 
individual. (4) Reports of inquiries made of law enforcement agencies 
for information about the individual contained in the agencies' 
records. (5) Information provided by organizations having association 
with the individual, such as employers, educational institutions 
attended, professional or fraternal or social organizations to which 
the individual is or was a member, etc. (6) Reports of action following 
an Office of Personnel Management (OPM) investigation or a Federal 
Bureau of Investigation Section 8(d) full field investigation. (7) 
Other information developed from the previous sources.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Executive Orders 10450, 10577, and 12968; as amended.

PURPOSE(s):
    Records in this system are maintained to provide the Inspector 
General and other responsible Department officials with information to 
assist them in making individual personnel determinations concerning 
suitability for Federal employment, security clearances, access to 
classified information or restricted areas, and evaluations as to 
suitability for performance under Federal contracts or other agreements 
with the Federal Government. Incidental to this purpose, for those 
investigations conducted by the OIG, these records may also be 
disclosed to other Federal and non-Federal investigatory agencies to 
protect the public or Federal interest, or both.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information contained in this system of records may be disclosed as 
a routine use in the following instances:
    1. To public or private sources to the extent necessary to obtain 
information to be included in this system of records.
    2. To officials and employees of a Federal, State, or local 
governmental entity in response to its request in connection with the 
issuance of security clearances or the conduct of security or 
suitability investigations of individuals seeking employment, 
licensure, other benefits, or to perform contractual services, or to 
otherwise associate with the governmental entity.
    3. To a Federal, State, local, or foreign entity or other public 
authority responsible for the investigation, prosecution, enforcement, 
or implementation of a statute, rule, regulation, or order, when a 
record on its face or in combination with any other information 
indicates a violation or potential violation of law (whether civil, 
criminal, or regulatory in nature) if that information is relevant to 
any enforcement, regulatory, investigative, or prosecutive 
responsibility of the receiving entity. It is OIG policy not to 
disclose records under this routine use that pertain to those questions 
for which the OIG has promised confidentiality under Standard Form 85P, 
``Questionnaire for Public Trust Positions.''
    4. To contractors, grantees, experts, consultants, or volunteers 
performing or working on a contract, grant, service, or job for the 
Department or under a Department program.
    5. To parties pertaining to litigation disclosure as follows:
    a. In the event that one of the following parties is involved in 
litigation, or has an interest in litigation, the Department may 
disclose certain records to the parties described in the following 
paragraphs b, c, and d of this routine use under the conditions 
specified in those paragraphs:
    (i) The Department or any of its components.
    (ii) Any Department employee in his or her official capacity.
    (iii) Any employee of the Department in his or her official 
capacity where the Department of Justice (Justice) has agreed to 
provide or arrange for representation of the employee.
    (iv) Any employee of the Department in his or her individual 
capacity where the Department has agreed to represent the employee.
    (v) The United States where the Department determines that the 
litigation is likely to affect the Department or any of its components.
    b. If the Department determines that disclosure of certain records 
to the Department of Justice (DOJ) or attorneys engaged by DOJ is 
relevant and necessary to litigation and is compatible with the purpose 
for which the records were collected, the Department may disclose those 
records as a routine use to DOJ.
    c. If the Department determines that disclosure of certain records 
to an adjudicative body before which the Department is authorized to 
appear, individual, or entity designated by the Department or otherwise 
empowered to resolve disputes is relevant and necessary to the 
administrative litigation and is compatible with the purpose for which 
the records were collected, the Department may disclose those records 
as a routine use to the adjudicative body, individual, or entity.
    d. If the Department determines that disclosure of certain records 
to an opposing counsel, representative, or witness in an administrative 
proceeding is relevant and necessary to the litigation and is 
compatible with the purpose for which the records were collected, the 
Department may disclose those records as a routine use to the counsel, 
representative, or witness.
    6. To the Department of Justice for the purpose of obtaining advice 
regarding the releasability of records maintained in this system of 
records under the Freedom of Information Act and the Privacy Act of 
1974.
    7. To a Member of Congress in response to an inquiry from that 
member made at the written request of the individual about whom the 
information pertains; however, the congressional member's right to the 
information is no greater than the right of the individual who 
requested it.
    8. To the intelligence agencies of the Department of Defense, the 
National Security Agency, the Central Intelligence Agency, and the 
Federal Bureau of Investigation for use in intelligence or 
investigation activities.

[[Page 4234]]

POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in folders secured in fire resistant safes 
with manipulation proof combination locks, or in metal lock-bar file 
cabinets with three position combination locks, and in a computer 
database.

RETRIEVABILITY:
    Records are alphabetically indexed by name of the individual 
subject of the file. Retrieval is made by the name, date of birth, and 
social security number of the individual on whom they are maintained.

SAFEGUARDS:
    Folders are maintained and secured in fire resistant safes with 
manipulation proof combination locks, or in metal file cabinets secured 
by three position combination locks. All records, including those 
records that are maintained on the computer database, are in limited 
access rooms with keyless cipher locks. All employees are required to 
have an appropriate security clearance before they are allowed access, 
on a need-to-know basis, to the records. Computer databases are kept on 
a local area network that is not connected to any outside network 
including the Internet. Database accessibility is restricted to hard 
wire network connection from within the office or via modem. Authorized 
log-on codes and passwords prevent unauthorized users from gaining 
access to data and system resources. All users have unique log-on codes 
and passwords. The password scheme requires that users must change 
passwords every 90 days and may not repeat the old password. Any 
individual attempting to log on who fails is locked out of the system 
after three attempts. Access after that time requires intervention by 
the system manager.

RETENTION AND DISPOSAL:
    Most background investigative records are maintained for five years 
after the individual separates from his or her departmental association 
if subject to Executive Orders 12968 and 10450, as amended. Reports of 
background investigations conducted by the Office of Inspector General 
are retained for 15 years, plus the current year of the most recent 
investigative activity, in accordance with OPM guidance. The records 
are disposed of by electronic erasure, shredding, or burning.

SYSTEM MANAGER(s) AND ADDRESS:
    Security Officer, Office of Inspector General, U.S. Department of 
Education, 600 Independence Avenue, SW, Washington, DC 20202-1510.

NOTIFICATION PROCEDURE:
    If an individual wishes to determine whether a record exists 
regarding him or her in this system of records, the individual must 
provide the system manager with his or her name, date of birth, social 
security number, signature, and the address to which the record 
information should be sent. Requests for notification about an 
individual must meet the requirements of the Department's Privacy Act 
regulations in 34 CFR 5b.5.

RECORD ACCESS PROCEDURE:
    If an individual wishes to gain access to a record in this system, 
he or she must contact the system manager and provide information as 
described in the notification procedure.

CONTESTING RECORD PROCEDURE:
    If an individual wishes to change the content of a record in the 
system of records, he or she must contact the system manager with the 
information described in the notification procedure, identify the 
specific item or items to be changed, and provide a written 
justification for the change, including any supporting documentation. 
Requests to amend a record must meet the requirements of the 
Department's Privacy Act regulations in 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:
    Information contained in this system of records is obtained from--
    a. Investigative and other record material furnished by other 
Federal entities, other departmental components, State, local, and 
foreign governments;
    b. Applications and other personnel and security forms;
    c. Personal investigation, written inquiry, interview, or the 
electronic accessing of computer databases of sources, such as the OPM 
system of records known as ``Personnel Investigations Records'' (OPM/
Central-9), employers, educational institutions, references, neighbors, 
associates, police departments, courts, credit bureaus, medical 
records, probation officials, prison officials, newspapers, magazines, 
periodicals, and other publications; and
    d. Confidential sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    As indicated in 34 CFR 5b.11, individuals will be provided 
information from this record system unless, in accordance with the 
provisions of 5 U.S.C. 552a(k)(5)--(1) Disclosure of that information 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence; or (2) The information was obtained prior 
to September 27, 1975 and disclosure of that information would reveal 
the identity of a source who provided information under an implied 
promise that the identity of the source would be held in confidence.

[FR Doc. 98-2077 Filed 1-27-98; 8:45 am]
BILLING CODE 4000-01-P