[Federal Register Volume 69, Number 107 (Thursday, June 3, 2004)]
[Notices]
[Pages 31454-31456]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-12559]


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DEPARTMENT OF THE TREASURY

Financial Management Service


Privacy Act of 1974, as Amended; System of Records

AGENCY: Financial Management Service, Treasury.

ACTION: Notice of proposed new system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, the 
Financial Management Service gives notice of a proposed new Privacy Act 
system of records entitled ``Treasury/FMS .004--Education and Training 
Records.''

DATES: Comments must be received no later than July 6, 2004. The 
proposed new system of records will become effective July 13, 2004, 
unless comments are received which would result in a contrary 
determination.

ADDRESSES: You should send your comments to Tom Longnecker, Disclosure 
Officer, Financial Management Service, 401 14th Street, SW., 
Washington, DC 20227. Comments received will be available for 
inspection at the same address between the hours of 9 a.m. and 4 p.m. 
Monday through Friday. You may send your comments by electronic mail to 
[email protected].

FOR FURTHER INFORMATION CONTACT: Tom Longnecker, Disclosure Officer, 
(202) 874-6837.

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a, the Financial Management Service (FMS) is 
proposing to establish a new system of records entitled ``Treasury/FMS 
.004--Education and Training Records.'' FMS offers various training 
opportunities, including financial management and accounting training, 
for employees of government agencies, as well as other individuals (for 
example, contractors who may work with the government in the financial 
management area or representatives of foreign governments) on a fee-
for-service basis. For purposes of this notice, individuals who enroll 
and participate in the training classes are referred to as ``training 
participants''. In order to administer the training and collect service 
fees and maintain accurate records, FMS must collect and maintain 
information related to the training participants' enrollment and 
participation. To ensure that class and enrollment status, class 
completion information, transcripts and certificates of completion are 
maintained accurately, FMS collects and maintains the training 
participant's name, social security number (SSN) and contact 
information (for example, title, address, organization, work phone 
number and email address). The training participant's SSN will be used 
to verify the accurate retention of records pertaining to the 
participant and to distinguish them from other participants or payers 
in this system. Furnishing of their SSN and the other requested 
information is voluntary. However, failure to provide any part of the 
requested information may delay the processing of their access request 
and may require additional unique information before the participant is 
granted access to FMS training. To validate records concerning service 
fee payments made by or on behalf of training participants, FMS also 
collects and maintains payment information (for example, credit card 
information or information contained in the Federal Government's 
Standard Form 182--Request, Authorization, Agreement, and Certification 
of Training or DD 1556--Request, Authorization, Agreement, 
Certification of Training and Reimbursement).
    FMS continually seeks to modernize its training program. Through 
its Learning Management System (LMS), FMS is initiating a new self-
service program that allows, among other things, the FMS customer to 
check class offerings and the status of a class, enroll in a class or 
cancel an enrollment, and initiate payment for training via the 
Internet. FMS collects information submitted by the training 
participant via the LMS government Web site, which is subject to 
various security measures described in this notice. Collecting 
information from the training participant via the Internet allows FMS 
to efficiently provide training and payment processing services to its 
customers. With continual improvement in technology, FMS expects to 
develop more automated means to collect and report service fees for 
training and financial information in the future.
    As the LMS is password protected, a visit to the initial Learner 
ID/Password page (log-on screen) of the LMS Internet site is not 
tracked nor are cookies employed. The number of `hits' to the log-on 
screen is tracked. However, no individual record information is 
recorded or tracked. If the visitor subsequently creates an account on 
the LMS or successfully accesses the LMS by using the proper Learner 
Code and Password, and thereby become a training participant, session 
cookies are used to track subsequent `internal' LMS locations visited 
by that participant. Additionally, incorrect log-on attempts exceeding 
the maximum allowed for an established training participant account may 
be tracked in order to lock out the affected account for security 
purposes.
    Once LMS access is gained, the LMS maintains a log of the various 
internal Web pages a training participant visits in order to make the 
LMS site more useful to training participants; for IT security purposes 
to monitor for improper behavior violating the LMS-FMS Rules of 
Behavior, and to facilitate collection of payment from the government 
agencies and individuals by documenting training participant activity 
(i.e., enrollment fee, late or cancellation fees).
    FMS recognizes that security needs (i.e., the need to verify the 
identity of the individual) must be balanced with privacy concerns 
(i.e., the need to protect an individual's personal information), and 
therefore, seeks to limit the collection of personal information to 
only that which is needed for the processing of training information. 
FMS maintains safeguards, both electronically and in its training 
processes, to protect personal and financial data from risks such as 
the unauthorized access to records and inadvertent disclosure of 
confidential information. FMS employs safeguards to ensure that the 
training data is accessible by authorized users only.
    Not every transaction will require the collection or disclosure of 
all of the information listed under ``Categories of records in the 
system.'' The categories of records cover the broad spectrum of 
information that might be required for various types of transactions 
that specifically support FMS' training and education program. It is 
noted that the proposed system covers records obtained in connection 
with the various mechanisms that are either used currently (for 
example, LMS) or may be used in the future for electronic training 
program processes. FMS has attempted to cover the information needed 
for the various types of transactions processed in today's 
technological environment, as

[[Page 31455]]

well as the information that might be required in connection with 
future security needs or yet-to-be developed mechanisms (i.e., those 
systems or mechanisms developed in the future that specifically address 
required delivery and/or collection of personnel related information or 
authentication of the user).
    FMS recognizes the sensitive nature of the personal and financial 
information collected from the training participant and has safeguards 
in place to protect the information from theft or inadvertent 
disclosure. As appropriate, FMS' contractual arrangements with 
commercial software and hardware vendors include provisions that 
require compliance with the Privacy Act and preclude the vendors from 
retaining, disclosing, and using for other purposes the information 
provided by FMS to the vendor. In addition to various procedural and 
physical safeguards, access to computerized records is limited, through 
the use of encryption, access codes, and other internal mechanisms, to 
those whose official duties require access solely for the purposes 
outlined in the proposed system. Access to the system is granted only 
as authorized by the FMS LMS security manager after appropriate 
security procedures are followed, such as background checks and/or non-
disclosure statements are signed. The information in the Education and 
Training Records system will allow the training participant to enjoy 
the benefits of training and education related technology while 
minimizing the risks of fraudulent activity and possible disclosure of 
personal information.
    The new system of records report, as required by 5 U.S.C. 552a(r) 
of the Privacy Act, has been submitted to the Committee on Government 
Reform of the House of Representatives, the Committee on Governmental 
Affairs of the Senate, and the Office of Management and Budget, 
pursuant to Appendix I to OMB Circular A-130, ``Federal Agency 
Responsibilities for Maintaining Records About Individuals,'' dated 
November 30, 2000.
    For the reasons set forth in the preamble, FMS proposes a new 
system of records Treasury/FMS .004-Education and Training Records 
which is published in its entirety below.

    Dated: May 26, 2004.
Jesus H. Delgado-Jenkins,
Acting Assistant Secretary for Management.
TREASURY/FMS .004

System name:
    Education and Training Records--Treasury/FMS.

System location:
    Financial Management Service, U.S. Department of the Treasury, 401 
14th ST., SW., Washington, DC 20227; Financial Management Service, U.S. 
Department of the Treasury, 1990 K Street, NW., Suite 300, Washington, 
DC 20006.

Categories of individuals covered by the system:
    All Government employees (including separated employees, in certain 
cases) and other individuals who access and apply for FMS training 
services.

Categories of records in the system:
    (1) Personal Profile--Account Record;
    (2) Transcript Record;
    (3) Enrollment Status Record;
    (4) Job Skills Record;
    (5) Individual Development Plan Record;
    (6) Assessment Performance Results Record;
    (7) Managerial Approval/Disapproval Status Record;
    (8) Class Roster Record;
    (9) Certificate--Training Program Status Record;
    (10) Class Evaluation Record;
    (11) Payment Record;
    (12) Statistical Reports--retrievable by names: (a) Personnel 
Transcript Report, (b) Class Enrollment Report, (c) Class Payment/
Billing Report, (d) Status of Training Report, (e) Ad hoc Training 
Report, and (f) Other similar files or registers.

Authority for maintenance of the system:
    5 U.S.C. 301; 31 U.S.C. 321; 31 U.S.C. chapter 33; 31 U.S.C. 3720.

Purpose(s):
    The purpose of this system is to maintain records about Government 
employees and other individuals who participate in FMS' education and 
training program. The information contained in the records will assist 
FMS in properly tracking individual training and accurately account for 
training revenue and expenditures generated through the FMS' training 
programs (for example, Learning Management System (LMS)). For FMS 
personnel, the records contained in FMS' training records will also 
assist managers' active participation in their employees' learning 
plans. FMS maintains the information necessary to ensure that FMS keeps 
accurate records related to classes, including a training participant's 
training and enrollment status, class completion information, 
transcripts and certificates of accomplishment. FMS also maintains the 
records to ensure that financial records pertaining to a training 
participant's payment for training fees are maintained accurately. FMS' 
training records will serve to report receipts to the appropriate 
Federal agency (currently the Treasury Department's Bureau of Public 
Debt) responsible for maintaining FMS' financial records for training. 
Finally, the information contained in the covered records will be used 
for collateral purposes related to the training processes, such as the 
collection of statistical information on training programs, development 
of computer systems, investigation of unauthorized or fraudulent 
activity related to submission of information to FMS for training 
program purposes and the collection of debts arising out of such 
activity.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records may be used to disclose information to:
    (1) Appropriate Federal, State, local or foreign agencies 
responsible for investigating or prosecuting the violation of, or for 
enforcing or implementing, a statute, rule, regulation, order, or 
license;
    (2) A court, magistrate, or administrative tribunal, in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses, for the purpose of civil discovery, litigation, or 
settlement negotiations or in response to a subpoena, where relevant or 
potentially relevant to a proceeding, or in connection with criminal 
law proceedings;
    (3) A congressional office in response to an inquiry made at the 
request of the individual to whom the record pertains;
    (4) Federal agencies, financial institutions, and contractors for 
the purpose of performing financial management services, including, but 
not limited to, processing payments, investigating and rectifying 
possible erroneous reporting information, testing and enhancing related 
computer systems, creating and reviewing statistics to improve the 
quality of services provided, or conducting debt collection services;
    (5) Federal agencies, their agents and contractors for the purposes 
of facilitating the collection of receipts, determining the acceptable 
method of collection, the accounting of such receipts, and the 
implementation of programs related to the receipts being collected as 
well as status of their personnel training, statistical training 
information;

[[Page 31456]]

    (6) Financial institutions, including banks and credit unions, and 
credit card companies for the purpose of collections and/or 
investigating the accuracy of information required to complete 
transactions using electronic methods and for administrative purposes, 
such as resolving questions about a transaction;
    (7) Provide information to unions recognized as exclusive 
bargaining representatives under the Civil Service Reform Act of 1978, 
5 U.S.C. 7111 and 7114;
    (8) Foreign governments in accordance with formal or informal 
international agreements and maintain proper administrative or 
financial controls related to the training activity;
    (9) Provide information to third parties during the course of an 
investigation to the extent necessary to obtain information pertinent 
to the investigation;
    (10) Federal agencies, their agents and contractors, credit 
bureaus, and employers of individuals who owe delinquent debt when the 
debt arises from the unauthorized use of electronic payment methods. 
The information will be used for the purpose of collecting such debt 
through offset, administrative wage garnishment, referral to private 
collection agencies, litigation, reporting the debt to credit bureaus, 
or for any other authorized debt collection purpose, and
    (11) Representatives of the National Archives and Records 
Administration (NARA) who are conducting records management inspections 
under authority of 44 U.S.C. 2904 and 2906.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system: Storage:
    Records are maintained in electronic media, such as server hard 
drive, magnetic back-up tape storage, removable optical storage backup 
media (such as compact disc (CD) or Digital Video Disc {DVD{time} ) and 
hard copy.

Retrievability:
    All captured data (both personal and course) and information can be 
retrieved as required for the proper administration of the system, 
within the LMS software's capability. Generally, for training purposes, 
these records will be retrieved by Class Name and/or Organization Name 
and Participant Name. For financial purposes, these records will 
generally be by Name, Organization and payment information (Credit 
Card, Form 182, DD Form 1556, for example).

Safeguards:
    All records are maintained in a secured building, secured room, and 
locked cabinets. FMS personnel access to training data is primarily for 
the purpose of using the training services or administering the LMS. 
For technical and administrative purposes, non-FMS personnel access is 
limited to contractors who are maintaining the LMS system in the normal 
performance of their duties and have completed non-disclosure 
statements and undergone security background checks consistent with 
their access in accordance with the existing contract.

Retention and disposal:
    Records are maintained and disposed of in accordance with General 
Records Schedules issued by the National Archives and Records 
Administration.

System manager and address:
    Assistant Commissioner, Treasury Agency Services, Financial 
Management Service, U.S. Department of the Treasury, 1990 K Street, 
NW., Suite 300, Washington, DC 20006.

Notification procedure:
    Inquiries under the Privacy Act of 1974 shall be addressed to the 
Disclosure Officer, Financial Management Service, 401 14th St., SW., 
Washington, DC 20227. All individuals making inquiries should provide 
with their request as much descriptive matter as is possible to 
identify the particular record desired. The system manager will advise 
as to whether the Service maintains the record requested by the 
individual.

Record access procedures:
    Individuals requesting information under the Privacy Act of 1974, 
as amended, concerning procedures for gaining access to or contesting 
records should write to the Disclosure Officer. All individuals are 
urged to examine the rules of the U.S. Department of the Treasury 
published in 31 CFR part 1, subpart C, and appendix G, concerning 
requirements of this Department with respect to the Privacy Act of 
1974.

Contesting record procedures:
    See RECORD ACCESS PROCEDURES above.

Record source categories:
    Information in this system is provided by: The individual on whom 
the record is maintained; the individual's employer, other governmental 
agency or educational institutions.

Exemptions claimed for the system:
    None.

[FR Doc. 04-12559 Filed 6-2-04; 8:45 am]
BILLING CODE 4810-35-P