[Federal Register Volume 78, Number 204 (Tuesday, October 22, 2013)]
[Notices]
[Pages 62605-62609]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-24688]


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DEPARTMENT OF EDUCATION


Privacy Act of 1974; System of Records--Office of Hearings and 
Appeals (OHA) Records System

AGENCY: Office of Hearings & Appeals, 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 
(Privacy Act), the Department of Education (Department) publishes this 
notice of a new system of records entitled ``The Office of Hearings & 
Appeals (OHA) Records System'' (18-05-19).

DATES: Submit your comments on the system of records in this notice on 
or before November 21, 2013. The Department filed a report describing 
the new system of records covered by this notice with the Chair of the 
Senate Committee on Homeland Security and Governmental Affairs, the 
Chair of the House Committee on Oversight and Government Reform, and 
the Administrator of the Office of Information and Regulatory Affairs, 
Office of Management and Budget (OMB) on September 26, 2013. This 
system of records will become effective at the later date of--(1) the 
expiration of the 40 day period for OMB review on November 5, 2013, 
unless OMB waives 10 days of the 40-day review period for compelling 
reasons shown by the Department, or (2) November 21, 2013, unless the 
system of records needs to be changed as a result of public comment or 
OMB review. The Department will publish any changes to the system of 
records or routine uses that result from public comment or OMB review.

ADDRESSES: Address all comments about this new system of records notice 
to Frank Furey, Director, Office of Hearings & Appeals, Office of 
Management, U.S. Department of Education, 400 Maryland Avenue SW., 
Suite 2100A, Washington, DC 20202-4416. If you prefer to send your 
comments through the Internet, use the following address: 
[email protected].
    You must include the term ``OHA system of records'' in the subject 
line of your electronic message.

[[Page 62606]]

    During and after the comment period, you may inspect all comments 
about this notice at the U.S. Department of Education in room 2100A, 
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 will supply an appropriate accommodation or auxiliary 
aid to an individual with a disability, such as a reader or print 
magnifier, who needs 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 accommodation or auxiliary 
aid, please contact the person listed under FOR FURTHER INFORMATION 
CONTACT.

FOR FURTHER INFORMATION CONTACT: Frank Furey, Director, Office of 
Hearings & Appeals, Office of Management, U.S. Department of Education, 
400 Maryland Avenue SW., Suite 2100A, Washington, DC 20202-4416.
    If you use a telecommunications device for the deaf (TDD) or text 
telephone (TTY), you may call the Federal Relay Service (FRS), toll 
free, at 1-800-877-8339.

SUPPLEMENTARY INFORMATION:

Introduction

    The Privacy Act requires the Department to publish in the Federal 
Register this notice of a new system of records maintained by the 
Department (5 U.S.C. 552a(e)(4) and (11)). The Department's regulations 
implementing the Privacy Act are contained in the Code of Federal 
Regulations (CFR) in 34 CFR part 5b.
    The Privacy Act applies to any record about an individual that is 
maintained in a system of records from which individually identifying 
information is 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, whether 
manual or computer-based, is called a ``system of records.''
    The Privacy Act requires each agency to publish a notice of a 
system of records in the Federal Register and to prepare and send a 
report to OMB whenever the agency publishes a new system of records or 
makes a significant change to an established system of records. Each 
agency is also required to send copies of the report to the Chair of 
the Senate Committee on Homeland Security and Governmental Affairs and 
the Chair of the House Committee on Oversight and Government Reform. 
These reports are included to permit an evaluation of the probable 
effect of the proposal on the privacy rights of individuals.
    ``The Office of Hearings & Appeals (OHA) Records System'' reflects 
how the Office of Hearings and Appeals processes its records, including 
the development of a case tracking database and the use of electronic 
filing designed to streamline case management. This system of records 
also reflects the Office of Hearings and Appeals' jurisdiction over 
salary offset cases including waiver requests and hearing requests 
challenging the validity of salary overpayment debts involving current 
and former Department employees, and administrative wage garnishment 
cases under the cross servicing program of the Department and the U.S. 
Department of the Treasury.
    This notice describes in detail the system of records, including 
among other items, its title, location, authority for maintenance of 
the system, routine uses of records maintained in the system, policies 
and practices for storing, retrieving, accessing, retaining, and 
disposing of records in the system (specifically the retention and 
disposal of system records), safeguards that protect the records in the 
system, and system manager's title and address.
    Accessible Format: Individuals with disabilities can obtain this 
document in an accessible format (e.g., braille, large print, 
audiotape, or compact disc) on request to the contact person listed in 
the preceding paragraph.
    Electronic Access to this Document: 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 via the Federal Digital System 
at: www.gpo.gov/fdsys. At this site you can view this document, as well 
as all other documents of this Department published in the Federal 
Register, in text or Adobe Portable Document Format (PDF). To use PDF 
you must have Adobe Acrobat Reader, which is available free at the 
site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

    Dated: October 17, 2013.
Denise L. Carter,
Principal Deputy Assistant Secretary for Management. Delegated the 
Authority to Perform the Functions and Duties of the Assistant 
Secretary for Management.

    For the reasons discussed in the preamble, the Principal Deputy 
Assistant Secretary for Management, U.S. Department of Education 
publishes a notice of a new system of records to read as follows:
SYSTEM NUMBER: 18-05-19

SYSTEM NAME:
    The Office of Hearings & Appeals (OHA) Records System.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    OHA, Office of Management, U.S. Department of Education, 400 
Maryland Avenue SW., Suite 2100A, 490 L'Enfant Plaza, Washington, DC 
20202-4616.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records contains records about current and former 
Department of Education (Department) employees against whom the 
Department has a claim for a salary overpayment debt who request a 
waiver or challenge the validity of a salary overpayment. It also 
contains records regarding recipients subject to administrative wage 
garnishments under the cross servicing program of the Department and 
the U.S. Department of the Treasury (Treasury). Administrative wage 
garnishment applies to collection of any financial obligation owed to 
the United States by an individual that arises under a program the 
Department administers with the exception of debts that arise from an 
individual's obligation to repay a loan or an overpayment of a grant 
received under a student financial assistance program authorized under 
title IV of the Higher Education Act of 1965, as amended.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system of records notice covers salary overpayment case files 
that contain information that is pertinent to the particular claim 
(e.g., a request for a waiver of a salary overpayment filed by current 
or former Department employees or a salary pre-offset hearing request 
filed by a current or former Department employee), including but not 
limited to, documents that contain the employee's name, sex, date of 
birth, home address, telephone number, email address, as well as 
information that is pertinent to the particular claim being

[[Page 62607]]

asserted, including audits of payroll accounts during period(s) of 
overpayments, earning and leave statements, identity of debtors and 
information pertaining to how debts arose, and documents relating to 
financial hardship.
    This system of records also covers wage garnishment case files that 
contain information that is pertinent to the particular claim (e.g., a 
wage garnishment proceeding) including but not limited to, documents 
that contain the individual's name, sex, date of birth, home address, 
telephone number, email address, as well as information that is 
pertinent to the particular claim being asserted, including documents 
relating to the existence, amount, or current enforceability of the 
debt, financial hardship, and payroll documentation.
    This system of records does not include records covered by other 
Departmental or governmental system of records notices, such as the 
Department's systems of records notices entitled ``Education's Central 
Automated Processing System (EDCAPS)'' (18-03-02) and the ``Receivables 
Management System'' (18-03-03) (which the Department soon expects to 
delete and include as part of the EDCAPS system of records notice).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 5584; 31 U.S.C. Sec.  3711 et seq.;, 34 CFR part 32; 34 
CFR part 34; Federal Claims Collection Standards (FCCS) 31 CFR chapter 
IX, parts 900-904; and the U.S. Department of Education, Administrative 
Communications System, Handbook for Processing Salary Overpayments 
(Handbook ACS-OM-04) (Jan. 19, 2012).

PURPOSE(S):
    The information in this system of records is used: To adjudicate 
requests for waivers of salary overpayments and claims regarding the 
validity of salary overpayments made to current and former employees 
and to adjudicate administrative wage garnishments under the cross 
servicing program of the Department and Treasury. The Department also 
uses the OHA Records System to provide docket management, including 
scheduling of hearings, oral arguments, and determining compliance with 
parties' filing deadlines and to produce docket reports that may be 
distributed internally in the Department. The authorities identified in 
this notice require hearing officers to preside over and issue 
decisions regarding the aforementioned cases.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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.
    (1) Program Purposes. The Department may disclose records from this 
system of records to any agency or entity administering the 
Department's payroll system to inform them of decisions regarding 
salary overpayment cases.
    (2) Debt Servicing. The Department may disclose records to Treasury 
or to the employers of individuals subject to administrative wage 
garnishments for the purpose of collecting debts owed to the Government 
by individuals subject to administrative wage garnishments.
    (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 prosecutorial responsibility 
within the receiving entity's jurisdiction.
    (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.
    (5) Litigation and Alternative Dispute Resolution (ADR) 
Disclosures.
    (a) Introduction. In the event that one of the parties listed in 
this paragraph 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:
    (i) The Department of Education, or any component of the 
Department;
    (ii) Any Department employee in his or her official capacity;
    (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;
    (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 Department of Justice (DOJ). If the 
Department determines that disclosure of certain records to the DOJ is 
relevant and necessary to judicial or administrative litigation or ADR, 
the Department may disclose those records as a routine use to the DOJ.
    (c) Adjudicative Disclosures. If the Department determines that it 
is relevant and necessary to the judicial or administrative 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.
    (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 
judicial or administrative litigation or ADR, the Department may 
disclose those records as a routine use to the party, counsel, 
representative, or witness.
    (6) 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

[[Page 62608]]

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.
    (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 current 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.
    (8) 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.
    (9) Freedom of Information Act (FOIA) and Privacy Act Advice 
Disclosure. The Department may disclose records to the Department of 
Justice 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 FOIA or 
the Privacy Act.
    (10) Disclosure to the Department of Justice. 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.
    (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 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.
    (12) 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 Department must require the researcher to 
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with 
respect to the disclosed records.
    (13) 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.
    (14) 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.
    (15) Disclosure in the Course of Responding to 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 the OHA Records Systems 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 OHA Records 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.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    Not applicable to this system of records notice.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The Department maintains records in paper files in filing cabinets, 
and electronically on a computerized tracking system.

RETRIEVABILITY:
    Records are indexed by docket number and can be retrieved by the 
name of the non-Government party.

SAFEGUARDS:
    Records are maintained electronically and in paper files.
    All physical access to the Department's site where these paper and 
electronic records are maintained is controlled and monitored by 
security personnel who check each individual entering the building for 
his or her employee or visitor badge. Paper records are maintained in a 
secured space in locked cabinets.
    In accordance with the Department's Administrative Communications 
System (ACS) Directive 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. 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.
    In addition to holding security clearances, 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.
    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 OHA electronic records system is a web-based J2EE application 
that is platform independent which captures all information relating to 
salary overpayment cases and administrative wage garnishment cases. 
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.

[[Page 62609]]

    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:
    The records are maintained in accordance with the Department of 
Education Records Disposition Schedules (ED/RDS) 241 and 243. Under ED/
RDS 241, ``Administrative Adjudication Files for the Office of Hearings 
and Appeals,'' official docket files are cut off annually upon close of 
a case and transferred to a certified records center or to a certified 
records storage facility one year after cut off. Files will be 
destroyed or deleted six years after cutoff.
    For attorney working files, these files will be cut off annually 
upon close of case and destroyed or deleted when no longer needed for 
administrative or reference purposes.
    Duplicate copies maintained for reference purposes and that do not 
serve as the record copy will be destroyed or deleted when no longer 
needed for reference.
    Under ED/RDS 243, ``Decisions Made by Hearing Officials, 
Administrative Law Judges, the Secretary of Education and Members of 
the CRRA,'' copies of the original decision are permanent and removed 
before official docket file is transferred to a certified records 
center. Original decisions are held on site and transferred to the 
National Archives and Records Administration in five-year blocks. 
Duplicate copies regardless of medium maintained for reference purposes 
do not serve as the record copy and will be destroyed/deleted when no 
longer needed for reference.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Office of Hearings & Appeals, Office of Management, U.S. 
Department of Education, 400 Maryland Avenue SW., Suite 2100A, 490 
L'Enfant Plaza, Washington, DC 20202-4616.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURE:
    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.

RECORD SOURCE CATEGORIES:
    The information in the OHA Records System comes from a number of 
sources including: Employees, former employees, and grant recipients. 
Information may also be supplied by an individual's attorney or 
representative and by Department officials or other employees.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

[FR Doc. 2013-24688 Filed 10-21-13; 8:45 am]
BILLING CODE 4000-01-P