[Federal Register Volume 66, Number 147 (Tuesday, July 31, 2001)]
[Notices]
[Pages 39503-39506]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-18985]


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DEPARTMENT OF EDUCATION


Privacy Act of 1974; System of Records

AGENCY: Office of Management, Department of Education.

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
Department of Education (Department) publishes this notice of a new 
system of records entitled ``Individual Development Planning (IDP) 
System.'' The system will be used by employees and supervisors to 
identify career development opportunities for employees to ensure that 
employees receive appropriate training and development to enhance job 
performance.
    The Department seeks comment on this new system of records 
described in this notice, in accordance with the requirements of the 
Privacy Act.

DATES: We must receive your comments on the proposed routine uses for 
the systems of records included in the notice on or before August 30, 
2001. The Department filed a report describing the new system of 
records covered by this notice with the Chair of the Committee on 
Governmental Affairs of the Senate, the Chair of the Committee on 
Government Reform and Oversight of the House, and the Administrator of 
the Office of Information and Regulatory Affairs, Office of Management 
and Budget (OMB) on July 26, 2001. This new system will become 
effective after the 30-day period for OMB review of the system expires 
on August 25, 2001, unless OMB gives specific notice within the 30 days 
that the changes are not approved for implementation or requests an 
additional 10 days for its review. The routine uses become effective 
August 30, 2001 unless they need to be changed as a result of public 
comment or OMB review. The Department will publish any changes to the 
routine uses.

ADDRESSES: Address all comments on the proposed routine uses to 
Chiquitta Thomas, Privacy Act Officer, Office of the Chief Information 
Officer, U.S. Department of Education, 400 Maryland Avenue, SW., room 
4082, Washington, DC 20202-4580. Telephone: (202) 708-9265. If you 
prefer to send comments through the Internet, use the following 
address: [email protected].
    You must include the term ``IDP'' in the subject line of the 
electronic message.
    During and after the comment period, you may inspect all comments 
about this notice in room 6E236, 400 Maryland Avenue, 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.
    Assistance to Individuals with Disabilities in Reviewing the 
Rulemaking Record: On request, we supply an appropriate aid, such as a 
reader or print magnifier, to an individual with a disability who needs

[[Page 39504]]

assistance to review the comments or other documents in the public 
rulemaking record for this notice. If you want to schedule an 
appointment for this type of aid, you may call (202) 205-8113 or (202) 
260-9895. If you use a TDD, you may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339.

FOR FURTHER INFORMATION CONTACT: Darlene Holly, Training and 
Development Center (TDC), Office of Management, U.S. Department of 
Education, room 2W218 FB6, 400 Maryland Avenue, SW., Washington, DC 
20202-4614. Telephone: 202-401-4956. If you use a telecommunications 
device for the deaf (TDD), you may call the FIRS at 1-800-877-8339.
    Individuals with disabilities may obtain this document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request by contacting the contact person listed in the 
preceding paragraph.

SUPPLEMENTARY INFORMATION:

Introduction

    The Privacy Act (5 U.S.C. 552a) (Privacy Act) requires the 
Department to publish in the Federal Register this notice of a new 
system of records managed by the Department. The Department's 
regulations implementing the Act are contained in the Code of Federal 
Regulations (CFR) in 34 CFR part 5b.
    The Privacy Act applies to information about individuals that 
contain individually identifiable information and that may be retrieved 
by a unique identifier associated with each individual, such as a name 
or social security number. The information about each individual is 
called a ``record'' and the system is called a ``system of records.'' 
The Privacy Act requires each agency to publish notices of systems of 
records in the Federal Register and to prepare reports to the Office of 
Management and Budget (OMB) whenever the agency publishes a new system 
of records.
    The Individual Development Planning (IDP) System will help 
employees improve their current job performance and achieve future 
career goals. The system will guide employees through a process of 
setting short-term goals by identifying areas where performance 
improvement is needed and provide resources for improving performance. 
The system will also help employees establish long-term career goals 
and develop a plan for achieving those goals.
    This system employs a computer-aided analysis of the employee's job 
performance as per the self and group scores obtained from the General 
Performance Appraisal System (GPAS). The results of the analysis, along 
with the employee's long-term and short-term goals, yield a set of 
three GPAS standards, which the employee wishes to improve. A self-
designated standard may be substituted for one of the standards.
    Once the employee has identified the standards to improve, he/she 
may then use the IDP system to link 1 or 2 career-building activities 
for each standard. Activities may be (1) training courses from other 
Government agencies, (2) Department-sponsored training, (3) outside 
courses, (4) self-study, or (5) non-traditional activities such as 
joining a community service organization. These activity types are 
supported by links to database tables, Department Intranet sites, or 
Internet sites for other agencies.
    Once the career-building plan is complete, the employee may submit 
an on-line version of his/her Individual Development Plan document--the 
output of the IDP process. The supervisor then reviews the document, 
offers suggestions for change, and finally approves it when the 
employee and supervisor come to an agreement. This agreement outlines 
steps the employee plans to take to work towards improving specific 
skills, and encourages support from management with training, access to 
materials, job rotation, etc.
    Once a career-building activity has been completed, the employee 
updates the system with an evaluative comment as to the usefulness of 
the activity.
    GPAS records are derived from the GPAS system but do not include 
comments. GPAS standards are presented to facilitate analysis and 
planning. When the employee initiates contact with his/her supervisor, 
the employee's supervisor may access the employee's selection of 
standards and career-building activities. Once the employee and 
supervisor come to an agreement on the individual development plan, 
both sign the document.

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet at the following site: 
www.ed.gov/legislation/FedRegister.
    To use PDF you must have Adobe Acrobat Reader, which is available 
free at this site. If you have questions about using PDF, call the U.S. 
Government Printing Office (GPO) toll free at 1-888-293-6498, or in the 
Washington, DC area at (202) 512-1530.


    Note: The official version of this document is the document 
published in the Federal Register. Free Internet access to the 
official edition of the Federal Register and the Code of Federal 
Regulations is available on GPO Access at: http://www.access.gpo.gov/nara/index.html.


    Dated: July 26, 2001.
Willie H. Gilmore,
Director, Office of Management.

    The Office of Management of the U.S. Department of Education 
publishes a notice of a new system of records to read as follows:
18-05-14

System Name:
    Individual Development Planning System.

Security Classification:
    None.

System Location:
    U.S. Department of Education, Training and Development Center 
(TDC), Office of Management, 400 Maryland Avenue, SW., room 2W218, 
Washington, DC 20202-4614.

Categories of Individuals Covered by the System:
    The U.S. Department of Education's (Department) Individual 
Development Planning (IDP) System covers all Department employees. 
However, it does not cover temporary employees serving on appointments 
of 120 calendar days or less in a consecutive 12-month period.

Categories of Records in the System:
    This system contains the following information about each employee 
of the Department: The name of the employee, employee social security 
number, organizational entity, supervisor, and hire date. The system 
also includes information from the General Performance Appraisal System 
(GPAS), including each employee's self-evaluation scores, and 
evaluation scores of customers, co-workers and supervisors. This system 
also may contain a computer-aided analysis of the employee's job 
performance derived from the scores contained in the employee's GPAS, 
the employee's long-term and short-term career development goals, the 
employee's individual development plan, and the employee's evaluative 
comments as to the usefulness of the career-building activities.

[[Page 39505]]

Authority for Maintenance of the System:
    Title 5, United States Code (U.S.C.), Chapter 43, Subchapter I.

Purpose(s):
    The information contained in this system is used for the purposes 
of improving employee job performance and helping employees to achieve 
future career goals. The system will guide employees through a process 
of setting short-term goals by identifying areas where performance 
improvement is needed and will provide resources for improving 
performance. The system also will help employees establish long-term 
career goals and develop a plan for achieving those goals. This system 
is also designed to automate the career development process.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purpose of Such Uses:
    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, or if the Department has complied with the computer 
matching requirements of the Act, under a computer matching agreement.
    (1) Disclosure for Use by Other Law Enforcement Agencies. The 
Department may disclose information to any Federal, State, local, or 
foreign agency or other public authority responsible for enforcing, 
investigating, or prosecuting violations of administrative, civil, or 
criminal law or regulation if that information is relevant to any 
enforcement, regulatory, investigative, or prosecution responsibility 
within the receiving entity's jurisdiction.
    (2) Enforcement Disclosure. In the event that information in this 
system of records indicates, either on its face or in connection with 
other information, a violation or potential violation of any applicable 
statute, regulation, or order of a competent authority, the Department 
may disclose the relevant records to the appropriate agency, whether 
foreign, Federal, State, Tribal, or local, charged with the 
responsibility of investigating or prosecuting that violation or 
charged with enforcing or implementing the statute, Executive order, 
rule, regulation, or order issued pursuant thereto.
    (3) Litigation and Alternative Dispute Resolution (ADR) Disclosures
    (a) Introduction. In the event that one of the parties listed below 
is involved in litigation or ADR, or has an interest in litigation or 
ADR, the Department may disclose certain records to the parties 
described in paragraphs (b), (c) and (d) of this routine use under the 
conditions specified in those paragraphs:
    (i) The Department of Education, or any component of the 
Department; or
    (ii) Any Department employee in his or her official capacity; or
    (iii) Any Department employee in his or her individual capacity if 
the Department of Justice (DOJ) has agreed to provide or arrange for 
representation for the employee;
    (iv) Any Department employee in his or her individual capacity 
where the agency has agreed to represent the employee; or
    (v) The United States where the Department determines that the 
litigation is likely to affect the Department or any of its components.
    (b) Disclosure to the DOJ. If the Department determines that 
disclosure of certain records to the DOJ is relevant and necessary to 
litigation or ADR, the Department may disclose those records as a 
routine use to the DOJ.
    (c) Administrative Disclosures. If the Department determines that 
disclosure of certain records to an adjudicative body before which the 
Department is authorized to appear, an individual or entity designated 
by the Department or otherwise empowered to resolve or mediate disputes 
is relevant and necessary to the administrative litigation, the 
Department may disclose those records as a routine use to the 
adjudicative body, individual, or entity.
    (d) Parties, counsels, representatives and witnesses. If the 
Department determines that disclosure of certain records to a party, 
counsel, representative or witness in an administrative proceeding is 
relevant and necessary to the litigation, the Department may disclose 
those records as a routine use to the party, counsel, representative or 
witness.
    (4) Employment, Benefit, and Contracting Disclosure.
    (a) For Decisions by the Department. The Department may disclose a 
record to a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement or other pertinent records, or 
to another public authority or professional organization, if necessary 
to obtain information relevant to a Department decision concerning the 
hiring or retention of an employee or other personnel action, the 
issuance of a security clearance, the letting of a contract, or the 
issuance of a license, grant, or other benefit.
    (b) For Decisions by Other Public Agencies and Professional 
Organizations. The Department may disclose a record to a Federal, 
State, local, or foreign agency or other public authority or 
professional organization, in connection with the hiring or retention 
of an employee or other personnel action, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant, or other 
benefit, to the extent that the record is relevant and necessary to the 
receiving entity's decision on the matter.
    (5) Employee Grievance, Complaint or Conduct Disclosure. The 
Department may disclose a record in this system of records to another 
agency of the Federal Government if the record is relevant to one of 
the following proceedings regarding a present or former employee of the 
Department: Complaint, grievance, discipline or competence 
determination proceedings. The disclosure may only be made during the 
course of the proceeding.
    (6) Labor Organization Disclosure. A component of the Department 
may disclose records to a labor organization if a contract between the 
component and a labor organization recognized under Title V of the 
United States Code, Chapter 71, provides that the Department will 
disclose personal records relevant to the organization's mission. The 
disclosures will be made only as authorized by law.
    (7) Freedom of Information Act (FOIA) Advice Disclosure. The 
Department may disclose records to the Department of Justice and the 
Office of Management and Budget if the Department concludes that 
disclosure is desirable or necessary in determining whether particular 
records are required to be disclosed under the FOIA.
    (8) Disclosure to the Department of Justice (DOJ). The Department 
may disclose records to the DOJ to the extent necessary for obtaining 
DOJ advice on any matter relevant to an audit, inspection, or other 
inquiry related to the programs covered by this system.
    (9) Contract Disclosure. If the Department contracts with an entity 
for the purposes of performing any function that requires disclosure of 
records in this system to employees of the contractor, the Department 
may disclose the records to those employees. Before entering into such 
a contract, the Department shall require the contractor to maintain 
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect 
to the records in the system.
    (10) Research Disclosure. The Department may disclose records to a 
researcher if an appropriate official of the Department determines that 
the

[[Page 39506]]

individual or organization to which the disclosure would be made is 
qualified to carry out specific research related to functions or 
purposes of this system of records. The official may disclose records 
from this system of records to that researcher solely for the purpose 
of carrying out that research related to the functions or purposes of 
this system of records. The researcher shall be required to maintain 
Privacy Act safeguards with respect to the disclosed records.
    (11) Congressional Member Disclosure. The Department may disclose 
records to a member of Congress from the record of an individual in 
response to an inquiry from the member made at the written request of 
that individual. The Member's right to the information is no greater 
than the right of the individual who requested it.
  

Disclosure to Consumer Reporting Agencies:
    Not applicable.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    The records are maintained in hard copy and on a computer database.

Retrievability:
    The files in this system are retrievable by social security number 
or name.

Safeguards:
    The database is protected by stringent security mechanisms that 
include a combination of hardware, operating system, application 
software, database software, and procedures. This ensures that every 
employee's Individual Development Planning (IDP) system career planning 
records are handled with utmost privacy and confidentiality.
    Access to the employee's records is controlled through the IDP 
application by use of a login/password authentication process. The 
employee is able to change his/her password at will. Status changes of 
the IDP record set are tracked, and are available in the form of an 
audit trail.

Retention and Disposal:
    An employee's career-planning information for a semi-annual review 
period remains in the IDP database until four semi-annual cycles have 
passed. Each cycle is six months in length. The database is purged on a 
semi-annual basis of any data that is older than two years.

System Manager(s) and Address:
    Training and Development Center, Office of Management, U.S. 
Department of Education, 400 Maryland Avenue, SW., room 2W218, FB6, 
Washington, DC 20202-4614.

Notification Procedures:
    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.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: 
Training and Development Center, Office of Management, U.S. Department 
of Education, room 2W218, FB-6, 400 Maryland Avenue, SW., Washington, 
DC 20202.

Record Access Procedures:
    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 under 
Notification Procedures.

Contesting of Records Procedures:
    If you wish to contest the contents of records 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 under 
System Manager and Address.

Record Source Categories:
    Information in this system of records is derived from the 
Department's General Performance Appraisal System (GPAS).

System Exempted From Certain Provisions of the Act:
    None.
[FR Doc. 01-18985 Filed 7-30-01; 8:45 am]
BILLING CODE 4000-01-P