[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF EDUCATION
Routine Uses
Paragraph (b)(3) of section 552a permits disclosure for a routine use.
A routine use is a use of a record for a purpose which is compatible
with the purpose for which the record was collected. Each routine use
for which an agency may disclose a record must be published in the
notice of the system of records for which the use will apply. Many of
the systems of records maintained by the Department use standard
routine uses. These standard routine uses were published in Appendix B
to the Department's Privacy Act regulations (34 CFR part 5b, May 9,
1980, 45 FR 30808). A system that adopts a standard routine use refers
to Appendix B. For ease of reading, the routine uses listed in
Appendix are appended to this document before the Index of Systems and
System Numbers.
Appendix B of Departmental Regulations (34 CFR part 5b)
Routine Uses Applicable To More Than One System of Records Maintained
by ED
(1) In the event that a system of records maintained by this agency to
carry out its functions indicates a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether federal, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
(2) Referrals may be made of assignments of research investigators and
project monitors to specific research projects to the Smithsonian
Institution to contribute to the Smithsonian Science Information
Exchange, Inc.
(3) 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.
(4) A record from this system of records may be disclosed as a
`routine use' to a federal, state or local agency maintaining civil,
criminal or other relevant enforcement records or other pertinent
records, such as current licenses, if necessary to obtain a record
relevant to an agency decision concerning the hiring or retention of
an employee, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant or other benefit.
A record from this system of records may be disclosed to a federal
agency, in response to its request, in connection with the hiring or
retention of an employee, 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 by the
requesting agency, to the extent that the record is relevant and
necessary to the requesting agency's decision on the matter.
(5) In the event that a system of records maintained by this agency to
carry out its function indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether state or local charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
(6) Where federal agencies having the power to subpoena other federal
agencies' records, such as the Internal Revenue Service or the Civil
Rights Commission, issue a subpoena to the Department for records in
this system of records, the Department will make such records
available.
(7) Where a contract between a component of the Department and a labor
organization recognized under E.O. 11491 provides that the agency will
disclose personal records relevant to the organization's mission,
records in this system of records may be disclosed to such
organization.
(8) Where the appropriate official of the Department, pursuant to the
Department's Freedom of Information Regulation determines that it is
in the public interest to disclose a record which is otherwise exempt
from mandatory disclosure, disclosure may be made from this system of
records.
(9) The Department contemplates that it will contract with a private
firm for the purpose of collating, analyzing, aggregating or otherwise
refining records in this system. Relevant records will be disclosed to
such a contractor. The contractor shall be required to maintain
Privacy Act safeguards with respect to such records.
(10) To individuals and organizations, deemed qualified by the
Secretary to carry out specific research solely for the purpose of
carrying out such research.
(11) Disclosures in the course of employee discipline or competence
determination proceedings.
A complete index of systems of records covered by this notice follows:
Index of Systems and System Numbers
18-01-0001 Secretary's Communication Control System
18-01-0002 Federal Advisory Committee Membership Files
18-05-002 Elementary School Essays on the Bicentennial of the U.S.
Constitution
18-05-0003 America 2000:An Education Strategy Toll-Free Telephone Line
and Database.
18-06-0001 Freedom of Information Case File and Correspondence Control
Index
18-06-0002 Biographies and Photographs of ED Officials
18-07-0002 Congressional Correspondence Control System
18-08-0001 Case Information Management System (OCR)
18-08-0002 Complaint Files and Log, Office of Planning and Compliance
Operations
18-09-0001 Administration Claims
18-09-0002 OGC-Attorney Applicant Files
18-09-0003 Conflict of Interest-Standards of Conduct Records
18-09-0004 Federal Private Relief Legislation
18-09-0005 Litigation Files, Administrative Complaints and Adverse
Personnel Actions
18-10-0001 Investigative Files of the Inspector General
18-10-0002 Investigatory Material Complied for Personnel Security and
Suitability Purposes
18-10-0003 ED/OIG Non-Federal Auditor Referral File.
18-11-0001 Motor Vehicle Operator Records
18-11-0002 Departmental Parking Control Policy
18-11-0003 Family Educational Rights and Privacy Act, School
Recordkeeping Practices, Correspondence and Complaint System
18-11-0005 Safety Management Information System (ED Accident, Injury
and Illness Reporting System)
18-11-0006 Telephone Directory/Locator System
18-11-0007 Applicants for Employment Records
18-11-0008 Payroll, Attendance, and Leave Records (ED PAY/PERS)
18-11-0009 Discrimination Complaints Records System
18-11-0010 Employee Alcoholism, Drug Abuse and Emotional Problem
Counseling and Referral Records
18-11-0011 Employee Appraisal Program Records
18-11-0012 Executive Development Records System
18-11-0014 Grievances Filed Under the Informal Grievance Procedures
18-11-0015 Grievance Records Filed Under Procedures Established by
Labor Management Negotiations
18-11-0018 Personnel Records in Operating Offices
18-11-0019 Special Employment Programs
18-11-0020 Suitability for Employment Records
18-11-0022 Volunteer EEO Support Personnel Records
18-11-0023 Unfair Labor Practice Records
18-11-0025 Employee Suggestion Program Records
18-11-0026 Debarment and Suspension Proceedings Under Executive Order
12549, the Drug-Free Workplace Act, and the Federal
Acquisition Regulations
18-11-0027 ED Financial Management Information System.
18-15-0001 Consultants for Federal Technical Assistance Program,
Vocational Rehabilitation Services
18-15-0002 Office of Rehabilitation Services Mailing Lists
18-15-0003 Mailing Keys
18-15-0004 Correspondence Files
18-20-0001 Fund for Improvement of Postsecondary Education; FIPSE Field
Readers to Review Proposals for ED
18-40-0002 Registry of Deaf-Blind Children/Regional-National
18-40-0003 Students Participation in Deaf-Blind Programs Under Centers
and Services for Deaf-Blind Children
18-40-0004 Parent Participants in Deaf-Blind Programs Provided by
Regional Centers for Deaf-Blind Children
18-40-0005 Participant Waiting List for Projects Serving Severely
Handicapped Children and Youth
18-40-0006 Participants of Projects Serving Severely Handicapped
Children and Youth
18-40-0007 Participants in Workshops Concerning Severely Handicapped
Children and Youth
18-40-0009 Selective Service Registration Compliance File
18-40-0010 Law Enforcement Education System
18-40-0011 Upward Bound Information Systems
18-40-0012 Migration and Refugee Assistance Act of 1962-United States
Loan Program for Cuban Students
18-40-0013 National Defense Direct Student Loan Program Request for
Cancellation of Loan of Ground of Permanent and Total
Disability
18-40-0014 federal Student Aid Application File
18-40-0015 Pell Grant Student Aid Report Sub-system
18-40-0016 Pell Grant Alternate Disbursement System
18-40-0017 Student Financial Assistance Validation File
18-40-0018 Mutual Educational and Cultural Exchange Act--Teacher
Exchange Participants and Applicants
18-40-0019 National Resource Fellowship
18-40-0020 Mutual Educational and Cultural Exchange Act--Doctoral
Dissertation Research Abroad and Faculty Research Abroad,
Fellows and Alternates
18-40-0021 Student Financial Assistance--Compliance Files
18-40-0022 Student Financial Assistance--Student Complaint Files
18-40-0024 TitleIV Program Files
18-40-0032 Record of Advances of Funds for Employees Traveling for the
Department of Education
18-40-0034 Teacher Corps Application for Intern Teacher Positions
18-40-0036 Oral History of the Office of Education as Dictated by
Former Commissioners of Education
18-40-0037 Jacob K, Javits Fellows System
18-40-0038 National Science Scholars Program
18-40-0039 National Student Loan Data System
18-40-0045 Student Financial Assistance Collection Files
18-40-0050 Presidential Scholars Files of Selected Participants
18-40-0077 Records of Educationally Disadvantaged Students Attending
Private Schools Served through Bypass Contracts.
18-40-0078 Fellowships for Indian Students--Applications and Awards
18-40-0079 Potential and Actual Consultant, Field Reader, and Site
Visitor Files, Indexes, and Lists
18-40-0080 Training and Development Awards for Vocational
EducationPersonnel--Applications and Awards
18-40-0081 Women Administrators in Vocational Education
81-42-0001 National Center for Education Statistics Longitudinal
Studies and the School and Staffing Surveys, OERI/NCES.
18-42-0002 National Center for Education Statistics Affidavits of
Nondisclosure.
18-42-0003 National Center for Education Statistics' National
Assessment of Educational Progress.
18-42-0016 Northwest Regional Educational Laboratory, Experience Based
Career Education Record System
18-42-0019 Far West Laboratory Experience Based Career Education
Records System
18-42-0056 National Institute of Education, Sources and Effects of
Teacher Expectations
18-42-0065 NIE Outside Experts
18-42-0078 Travel--Official Travel of NIE Personnel
18-42-0079 NIE Controlled Correspondence
18-42-0082 National Council on Educational Research Mailing Lists
18-42-0083 National Council on Educational Research--Current and Past
Information on Members of the Council and Consultants
18-01-0001
System name: Secretary's Communications Control System, ED/OS/
ES.
Security classification: None.
System location: Executive Secretary to the Department, Room 4181, FOB
No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Categories of individuals covered by the system: Individuals who have
contacted the Secretary or Under Secretary or who have been
contacted in writing by them.
Categories of records in the system: This system includes the
Secretary's and Under Secretary's official files and Congressional
correspondence within an Executive Secretariat, specifically hard
copies of official documents signed or initialed by the Secretary or
Under Secretary; also control information from the Secretary's and
Under Secretary's correspondence to include a subject narrative,
organization drafting the response, and type of action required from
the Department. This information is also contained on computer
magnetic tape, and computer disc units.
Authority for maintenance of the system: 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; (c) any Department employee!in
his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard copy filed in standard file
cabinets.
Retrievability: Official files of the Secretary and Under Secretary are
indexed by subject and name in addition to chronological cross-
reference. Records are available to staff of the Executive
Secretariat for reference purposes in staffing out issues of concern
to the Secretary or Under Secretary. Certain other records are
available to staff responsible for preparation of responses to
inquiries, and are used for control purposes.
Safeguards: Direct access is limited to the staff of the Executive
Secretariat. Access is limited during non-working hours to hard copy
records to those individuals with access to file cabinets and areas
where records are stored. Remote computer terminal locations are
protected with individual user identification numbers and passwords
to the computer system. Where possible, computer terminal locations
are locked during non-working hours.
Retention and disposal: Hard copy records are maintained for three years
and then retired to National Archives. Control and Congressional
records are computer stored indefinitely.
System manager(s) and address: Executive Secretary to the Department,
Room 4181, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Inquiries should be addressed to the system
manager at the above address. The inquirer should indicate the name
of the individual with whom the Secretary or Under Secretary
corresponded, the date of the subject documents and should
reasonably specify the subject matter of the issue involved.
Record access procedures: Same as notification procedures. (These access
procedures are in accordance with Department Regulations (34 CFR
part 5 and 5.13, subtitle A, 45 FR 30810, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Records are derived from documents signed or
initialed by the Secretary or Under Secretary. Computer records are
derived from the incoming correspondence for the Secretary and Under
Secretary.
Systems exempted from certain provisions of the act: None.
18-01-0002
System name: Federal Advisory Committee Membership Files, ED/
OASM/HR/CMO.
Security classification: None.
System location: See system manager below.
Categories of individuals covered by the system: Individuals who have
been or are presently members of or are being considered for
membership on advisory committees within the jurisdiction of the
Department of Education. Additionally the system of records contains
information about members of the public who have requested that they
receive various publications through the inclusion of their names
and addresses on various mailing lists.
Categories of records in the system: Information maintained on those
individuals who have requested participation on mailing lists is
limited to name and mailing address. Information maintained on
individuals who are past, present, or recommended members of
advisory committees subject to this notice consists of one or more
of the following: Name, title, sex, place and date of birth, home
address, business address, organizational affiliation, phone number,
degrees held, general educational background, ethnic background,
resume, curriculum vitae, dates of term on advisory committee,
status on advisory committee, reason for leaving advisory committee,
previous or current membership on other advisory committees, special
qualifications of the individual for the advisory committee
membership, source who recommended the individual for membership on
advisory committee and miscellaneous correspondence. Additionally,
memoranda justifying the individual's selection are included in the
file in cases in which the individual has served repetitively on
advisory committees, has not had a one-year break in service on
advisory committees, or where various statutory or other
requirements for advisory committee membership cannot be met.
Authority for maintenance of the system: Federal Advisory Committee Act
(5 U.S.C. Appendix I).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Annual Report to the
President; administrative reports to OMB and GSA. In accordance with
Department Regulations (34 CFR part 5b, appendix B, items 1 and 3).
In the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to directly affect the operations of the Department or any of
its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to
enable that Department to effectively represent such party, provided
such disclosure is compatible with the purpose for which the records
were collected. Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in hard-copy filed in file cabinets on
index cards.
Retrievability: For the most part records are maintained in an
alphabetical index by name of the individual. Certain files are
based on other factors, e.g. Advisory Committee name, with a cross
index based on an alphabetical listing of individuals. Records from
the system are available to the staffs of the respective Advisory
Committees and other Departmental staff on a need-to-know basis.
Uses include special administrative reports; quarterly alphabetical
listings of past, present and recommended members of Advisory
Committees; and other administrative needs.
Safeguards: Direct access to records is restricted to authorized
personnel through locked files, rooms, and buildings as well as
building pass and security guard sign-in systems.
Retention and disposal: Retention is variable from one year to permanent
retention depending upon the type of record, e.g., names of former
members of advisory committees are retained permanently. Certain
records are disposed of by referral to the Federal Records Center.
Others are disposed of as trash by the system manager or office of
security depending upon the confidentiality of the information
contained on the record.
System manager(s) and address: Department of Education, Committee
Management Officer, Room 2135, FOB No. 6, 400 Maryland Avenue, SW,
Washington, DC 20202.
Notification procedure: Same as above.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7, 45 FR 30810, May 9, 1980).
Record source categories: The vast majority of information contained in
records on individuals is obtained directly from the individual.
Other information in the form of references and recommendations is
obtained from other private individuals, program personnel,
biographical reference books, private organizations, former
employers, regional office of ED, Members of Congress, and other
government sources.
18-05-0002
System name: Elementary School Essays on the Bicentennial of the
U.S. Constitution, ED/OHA/DUS.
Security classification:
None.
System location:
400 Maryland Avenue, SW, Room 3073, FOB-6, Washington, DC 20202.
Categories of individuals covered by the system:
Students in grades 1-8 whose essays on ``What the CONSTITUTION Means
to Me to Our Country'' have been chosen by State Education Agencies,
the Council for American Private Education, the Department of Defense
Dependent Schools, the Bureau of Indian Affairs, and the Department of
State supported schools to compete for national awards and recognition
in the 1987 Elementary Essay Project to celebrate the bicentennial of
the Constitution.
Categories of records in the system:
Name, home address, school name, school address, teacher's name,
school district name and address and student essay. All information
supplied by students.
Purpose(s):
To evaluate entries in the elementary school essay contest on the
Bicentennial of the U.S. Constitution, to determine winning entries,
and to disseminate the result of the competition to the public.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be released to members of the national selection
committee for the purpose of determining eligibility and recommending
awardees and to organizations assisting in the recognition ceremonies
or presenting complementary activities. Selected data may be released
to subcontractors for developing and distributing a booklet containing
the final 150 national representative essays and the names and schools
of all the individuals whose essays were forwarded to the national
selection committee for consideration. This publication will be
available to the public and placed on deposit in a Federal repository.
Information in this system of records may also be disclosed to a
member of Congress in response to an inquiry made at the request of an
individual to whom the records relate.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Contact system manager.
Storage:
The records are kept in file cabinets.
Retrievability:
The records are accessed by name, state and school.
Safeguards:
The records are maintained in file cabinets in a secured Federal
building.
Retention and disposal:
The records are maintained for one year after the April 17, 1987
deadline. Records are then sent to the Federal Records Center where
they are destroyed, pursuant to Federal records retention policy.
System manager(s) and address:
Deputy Under Secretary, Office of Intergovernmental and Interagency
Affairs, Department of Education, Room 3073, FOB6, 400 Maryland
Avenue, SW., Washington, DC 20202.
Notification procedure:
Contact system manager.
Record access procedures:
Contact system manager.
Contesting record procedures:
Contact system manager.
Record source categories:
Students submit information by completing the Official Entry Form.
Systems exempted from certain provisions of the act:
None.
18-05-0003
System name: America 2000: An Education Strategy Toll-Free
Telephone Line and Database.
Security classification:
None.
System location:
Office of Intergovernmental and Intergency Affairs, U.S. Department of
Education, room 3073, 400 Maryland Avenue, SW., Washington, DC 20202-
3500.
Categories of individuals covered by the system:
Individuals who call the America 2000 toll-free telephone line with an
expressed interest in the program and request to be placed on the
mailing list for program materials in areas of interest.
Categories of records in the system:
Data existing in the office's database will contain the caller's name,
address, title or occupation, and other information designed to
indicate the nature of the caller's interest the America 2000
initiative and need for more information.
Authority for maintenance of the system:
20 U.S.C. 1231c, 3402, 3482.
Purpose(s):
The purpose of the America 2000 toll-free telephone line is to provide
information to the public with respect to a long-term strategy for
education. The office will maintain a database of information
concerning the caller in order to: (1) Send information packet to
individuals who call the hotline to request information regarding the
new strategy in education and (2) provide updated information on a
continuing basis, for the benefit of those individuals.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The Department of Education (ED) may disclose infomation contained in
a record in this system of records without the consent of the
individual, but only for a purpose that is compatible with the purpose
for which the record was collected:
(a) The database containing the mailing list of callers for
information on America 2000 may be provided to government and non-
government entities concerned with that initiative in order to
maximize the information available to callers.
(b) Contract Disclosure. When the Department contemplates that it will
contract with a private firm for the purpose of collating, analyzing,
aggregating, or otherwise refining records in this system, relevant
records will be disclosed to such a contractor. The contractor shall
be required to maintain Privacy Act safeguards with respect to such
records.
(c) Research Disclosure. When the appropriate official of the
Department 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.
(d) Congressional Member Disclosure. ED may disclose personally
identifiable information from this system of records to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of that
individual.
(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 as a routine use to the Department of Justice
for the purpose of obtaining its advice.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records will be stored in locked filing cabinets and on removable
personal computer diskettes which are stored in locked file cabinets.
File cabinets are kept in office space that is locked after hours.
Retrievability:
The records will be retrievable by name, occupation, State, and zip
code.
Safeguards:
Direct access is restricted to authorized program personnel. The files
will be accessed only through approved identification of the user and
the use of passwords. Passwords will be changed at the conclusion of
editing, tabulation, and analysis, and the diskettes will be returned
to the file cabinet for storage. Files of information and identifiers
will not be kept together unless necessary for processing the data.
Any tapes, diskettes or forms will be kept in locked file cabinets in
locked rooms during non-duty hours.
Retention and disposal:
Records, supporting database, correspondence, request forms, and other
records relating to changes in the mailing list are destroyed after
appropriate revision of the mailing list or three (3) months,
whichever is sooner.
System manager(s) and address:
Deputy Under Secretary, Office of Intergovernmental and Interagency
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room
3073, Washington, DC 20202-3500.
Notification procedure:
If an individual wishes to determine whether a record exists for him
or her in this system of records, the individual should provide the
system manager with his or her name. Requests from an individual for
notification about whether the system of records contains information
about that individual must meet the requirements in the Department's
Privacy Act regulations at 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to a record in this system of
records, he or she should contact the system manager and provide
information as described in the notification procedure. Requests from
an individual for access to his or her record must meet the
requirements in the Department's Privacy Act regulations at 34 CFR
5b.5.
Contesting record procedures:
Contact system manager. Requests to amend a record must meet the
requirements in the Department's Privacy Act regulations at 34 CFR
5b.7.
Record source categories:
Information contained in the system will be obtained from telephone
calls initiated by the callers.
System exempted from certain provisions of the act:
None.
18-06-0001
System name: Freedom of Information Case File and Correspondence
Control Index, ED/OLPA/ES.
Security classification: None.
System location: Room 4169, FOB No. 6, 400 Maryland Avenue, SW,
Washington, DC 20202 (See Appendix I following).
Categories of individuals covered by the system: Individuals or
organizations requesting access to inspect and/or copy records of
the Department under provisions of the Freedom of Information Act.
Categories of records in the system: Control number, name, address, and
other individually identifying information about the requester and
the records sought.
Authority for maintenance of the system: Freedom of Information Act.
Pub. L. 93-502 (5 U.S.C. 552), ED Public Information Regulation (34
CFR part 5).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information will be released
for the purposes cited in appendix B of the Department's Privacy Act
regulations (34 CFR part 5b). Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where the defendant is (a)
the Department, any component of the Department, or any employee of
the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to affect directly the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Department of Justice
has agreed to represent such employee. The Department may disclose
such records as it deems desirable or necessary to the Department of
Justice to enable that Department to present an effective defense,
provided such disclosure is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Original or copy of incoming request and written response
maintained in case file jackets and corresponding control log.
Retrievability: For the most part, records are indexed by name of
individual requester. Records are available to FOI staff involved in
correspondence and investigative processes, including appeals
officials and staff members of the Office of the General Counsel.
Safeguards: Records are maintained in Conserva-File cabinets in the
office of the Freedom of Information Officer and in public affairs
offices throughout the Department, with limited access.
Retention and disposal: Individual case files are maintained for two
years and then disposed of.
System manager(s) and address: Freedom of Information Officer, Room
2089, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202, (See
Appendix I at the end of this system (18-06-0001)).
Notification procedure: System manager. Address same as above.
Contesting record procedures: Same as under record access.
Record source categories: Individuals and organizations making request
under the Freedom of Information Act or from components of the
Department reporting on the handling of such requests for inclusion
in the annual report to Congress.
Systems exempted from certain provisions of the act: None.
Appendix I--Regional Denial Officers
Region I: Deputy Regional Director, OCR, 140 Federal Street, 14th
Floor, Boston, MA 02110
Region II: Regional Director, OCR, 26 Federal Plaza, Room 33-130, New
York, NY 10278
Region III: Assistant to the Secretary's Representative, PO Box 13716,
Philadelphia, PA 19101
Region IV: Regional Director, OCR, 101 Marietta Street, NW, Suite
2702, Atlanta, GA 30323
Region V: Education Program Specialist, Division of Dissemination,
OEP, 300 South Wacker Drive, 32nd Fl., Chicago, IL 60606
Region VI: Education Program Specialist, 1200 Main Tower Building,
Room 1455, Dallas, TX 75202
Region VII: Education Program Specialist, OEP, 324 East 11th Street,
9th Floor, Kansas City, MO 64106
Region VIII: Public Information Specialist, 1961 Stout Street, Denver,
CO 80294
Region IX: Education Program Specialist, OEP, 50 United Nations Plaza,
San Francisco, CA 94102
Region X: Education Program Specialist, OEP, 1321 Second Avenue, Mail
Stop 1516, Seattle, WA 98101
18-06-0002
System name: Biographies and Photographs of ED Officials, ED/
OLPA.
Security classification: None.
System location: Office of the Assistant Secretary for Public Affairs,
News Division, Room 2097, FOB No. 6, 400 Maryland Avenue, SW,
Washington, DC 20202.
Categories of individuals covered by the system: ED employees in key
management and technical positions, such as the Secretary, Under
Secretary, Assistant Secretaries, Deputy Assistant Secretaries, Unit
Managers.
Categories of records in the system: Biographical files consist of
approved, printed personal and professional resumes and standard
portrait pictures and biographical and professional questionnaires
providing name, title, office location, telephone number, date of
appointment to ED, date of birth, place of birth, marital status,
spouse's name, children's names, education, military service,
professional career data, professional affiliations, publications
and articles authored, awards, citations, prizes and honors
received, civic, social and fraternal associations, outside
interests, such as hobbies, sports, recreation.
Authority for maintenance of the system: 5 U.S.C. 301.
Purpose(s):
These records are maintained and made available to the media and staff
of the Department who have a need for photographs or background
information on top officials of ED.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where the defendant is (a)
the Department, any component of the Department, or any employee of
the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in individual and combined files and
stored in standard five-drawer file cabinets.
Retrievability: Records are indexed by the name in alphabetical order.
These records are made available to the media and staff of the
Department who have a need for photos or background information on
these officials.
Safeguards: Files are maintained in the Office of Legislation and Public
Affairs and requests are honored on a ``need to know'' basis only.
Retention and disposal: Records are periodically updated as
circumstances warrant relative to promotions, reassignment,
resignations, death.
System manager(s) and address: Office of Public Affairs, News Division,
Room 2097, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Records are provided by individuals who are,
therefore, aware their records are being maintained.
Record access procedures: Requesters should reasonably specify the
record contents being sought. (These access procedures are in
accordance with Department Regulations (34 CFR 5b.5(a)(2)), 45 FR
30809, May 9, 1980.
Contesting record procedures: Contact the system manager and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7, 45 FR 30810, May 9, 1980).
Record source categories: Individuals provide some information, other
material is furnished by agency public information offices. The
biographies are cleared with the individuals whose biography they
represent prior to release to the public and the news media.
Systems exempted from certain provisions of the act: None.
18-07-0002
System name: Congressional Correspondence Control System, ED/
OLPA/CS.
Security classification:
None.
System location:
400 Maryland Avenue SW, FOB-6--Room 4119, Washington, DC 20202.
Categories of individuals covered by the system:
Members of Congress indexed by name.
Categories of records in the system:
Control information recording, direct inquiries and referrals of
constituents' inquiries from Members of Congress, and responses to
those inquiries, regarding the Department's activities, including, but
not necessarily limited to:
a. General program activities of the Department;
b. Individual case problems of named persons, families or
institutions;
c. Employment or appointment interests; and
d. Control slips identifying the correspondent, the constituent on
whose behalf the inquiry is made and a summary of the subject of the
inquiry.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To provide response to inquiries from a member of Congress made on
behalf of a constituent regarding the Department's activities,
including, but not limited to general program activities of the
Department.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Inquiries which do not pertain to ED, but fall under the jurisdiction
of another Federal Agency, are transferred to the Agency with a
request that a direct response be provided to the correspondent.
Disclosure may be made to a Congressional office from the record of an
individual in response to an inquiry from the Congressional office
made at the request of that individual. In the event of litigation
where one of the parties is (a) the Department, any component of the
Department, or any employee of the Department in his or her official
capacity; (b) the United States where the Department determines that
the claim, if successful, is likely to directly affect the operations
of the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with the
purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in hard copy filed in standard file
cabinets.
Retrievability:
Records are indexed alphabetically by name of the members of Congress.
Inquiries are forwarded to the ED office which has jurisdiction over
the subject matter for preparation of a response.
Safeguards:
Records are kept in the responsible Department Office with access
limited to those whose official duties require access. The computer
terminal is protected with individual user identification numbers and
passwords to the computer system.
Retention and disposal:
Records are maintained for two years.
System manager(s) and address:
Director, Congressional Services, 400 Maryland Avenue SW, FOB-6, Room
4119, Washington, DC 20202.
Notification procedure:
Inquiries should be addressed to the system manager at the above
address. The inquirer should indicate the name of the member of
Congress who corresponded with the Department, the name of the
referenced constituent, the subject matter, and the date of the
correspondence.
Record access procedures:
Same as notification procedures. (These access procedures are in
accordance with Department Regulations (34 CFR 5b.5 and 5b.13, 45 FR
30810, May 9, 1980).
Contesting record procedures:
Contact the official at the address specified under notification
procedures above, and reasonably identify the record and specify the
information to be contested.
Record source categories:
The information in CCU files is provided by the correspondent and by
the agency which prepares the final response.
Systems exempted from certain provisions of the Act:
None.
18-08-0001
System name: Case Information Management System, ED/OCR.
Security classification: None.
System location: See Appendix I at the end of this system (18-08-0001).
Categories of individuals covered by the system: Persons filing
complaints with the Office for Civil Rights.
Categories of records in the system: Name, characteristics of complaint
and critical events in OCR's processing of the complaints.
Authority for maintenance of the system: Title VI of the Civil Rights
Act of 1964, Title IX and VII of the Education Amendments of 1972,
and Section 504 of the Rehabilitation Act of 1973 and Age
Discrimination Act of 1975.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Report on current status of
complaint processing. Disclosure may be made to a congressional
office from the record of an individual in response to an inquiry
from the congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Magnetic disk and tape.
Retrievability: Records are indexed by case or complaint number, but may
be recalled by name, address, or any other characteristics by OCR
staff engaged in compliance activities.
Safeguards: The physical data processing storage is controlled by the
Department of Health and Human Services, Data Management Center and
Office for Civil Rights ADP personnel using Standard appropriate
security methods. This agency references data through communication
terminals with access controlled by passwords.
Retention and disposal: Indefinite retention. Disposal by electronic
erasure.
System manager(s) and address: Deputy Assistant Secretary for Planning
and Compliance Operations, Room 5074, Switzer, 400 Maryland Avenue,
SW, Washington, DC 20202.
Notification procedure: System manager in preceding paragraph. Provide
name, address, and name of institution, contractor, or ED program
with which individual has contract.
Record access procedures: Same as notification procedures: Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980.)
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7) 45 FR 30810, May 9, 1980.)
Record source categories: Information in complaint investigation files.
Systems exempted from certain provisions of the act: None.
Appendix I:
This system is located at ED offices in the following cities:
ED Office for Civil Rights, Room 5074, Switzer Bldg., 400 Maryland
Avenue, SW, Washington, DC 20202
Region I, Regional CR Director, 140 Federal Street, Boston, MA 02110
Region II, Regional CR Director, 26 Federal Plaza, New York, NY 10007
Region III, Regional CR Director, Post Office Box 13716, 3535 Market
Street, Philadelphia, PA 19101
Region IV, Regional CR Director, 101 Marietta Street, Atlanta, GA
30303
Region V, Regional CR Director, 300 South Wacker Drive, 8th Fl.,
Chicago, IL 60606
Region VI, Regional CR Director, Plaza Nine Building, 55 Erieview
Plaza, Cleveland, OH 44114
Region VII, Regional CR Director, 1200 Main Tower Building, Dallas, TX
75202
Region VIII, Regional CR Director, 12 Grand Building, 1150 Grand
Avenue, Kansas City, MO 64106
Region IX, Regional CR Director, Federal Building, 1961 Stout Street,
Denver, CO 80294
Region X, Regional CR Director, 1275 Market Street, 14th Floor, San
Francisco, CA 94103
Region XI, Regional CR Director, 1321 Second Avenue, MS/723, Seattle,
WA 98101
18-08-0002
System name: Complaint Files and Log, Office of Planning and
Compliance Operations, ED/OCR/OPCO.
Security classification: None.
System location: See Appendix I to Case Information Management System,
ED/OCR SYSTEM 18-08-0001.
Categories of individuals covered by the system: Individuals who file
complaints with the Department concerning discrimination under Title
VI, Title IX, and Section 504 of the Rehabilitation Act and Age
Discrimination Act of 1975.
Categories of records in the system: Complaint allegation, results of
investigation of the allegation, correspondence related to the
complaint.
Authority for maintenance of the system: Title VI of the Civil Rights
Act; Title IX of the Education Amendments of 1972; Emergency School
Assistance Act; Section 504 of the 1973 Rehabilitation Act and the
Age Discrimination Act of 1975.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Files are maintained to
record the results of the investigation so that OCR can determine if
there was discrimination as charged in the original complaint. Files
may be referred, as necessary, for similar purposes to the
Departments of Justice, and Labor of the Equal Employment
Opportunity Commission. Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders.
Retrievability: By name for use by OCR staff in complaint
investigations.
Safeguards: Printed materials are filed in lockable cabinets. The
Department's Regulations (ADP Systems Security, part 6) govern the
control.
Retention and disposal: 2 years.
System manager(s) and address: Deputy Assistant Secretary for Planning
and Compliance Operations, Room 5074, Switzer, 400 Maryland Avenue,
SW, Washington, DC 20202.
Notification procedure: System manager (above). Include name and address
of complainant, a copy or summary of allegations contained in the
original complaint, name of the institution against which the
allegation was filed, and the date of the original allegation.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)) 45 FR 30810, May 9, 1980.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7), 45 FR 30810, May 9, 1980.
Record source categories: Complaint information filed with the
Department by or on behalf of the individual complainant, also data
provided by the alleged discriminator and other parties.
Systems exempted from certain provisions of the act: None.
18-09-0001
System name: Administrative Claims, ED/OGC.
Security classification: None.
System location: Office of General Counsel, Department of Education, 400
Maryland Avenue, SW, Washington, DC 20202.
Categories of individuals covered by the system: ED employees,
recipients of Federal assistance under ED funded programs, and
members of the public who have a claim against ED or against whom ED
has a claim--Federal Torts Claims Act, Military Personnel and
Civilian Employees Claims Act, Federal Claims Collection Act, Act
for Waiver of Overpayment of Pay.
Categories of records in the system: Information that is pertinent to
the particular claim being asserted, including accident reports,
hospital records, charges for medical service; certifications of
overpayments, audits of payroll accounts during period of
overpayments, earning and leave statements; claims officers
memorandum, final determinations made on claims, identity of debtors
and information pertaining to how debts arose.
Authority for maintenance of the system: Federal Torts Claims Act (28
U.S.C. 2671-2680, 1346(b); Waiver of Overpayment of Pay Act (5
U.S.C. 5584; Military Personnel and Civilian Employees Claims Act,
31 U.S.C. 240 et seq.; Federal Claims Collection Act, 31 U.S.C. 951-
953.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Routine uses of these
records are primarily for adjudicating claims between the U.S. and
private parties. Records are used in communicating with, among
other, Federal, State, and local law enforcement agencies, private
individuals, private and public hospitals, allegedly negligent
parties, private attorneys, insurance companies, the United States
Attorney and other Federal officials and agencies, individual law
enforcement officers, and tribal officials. These communications are
all for the purpose of investigating, settling, or litigating
claims. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Also, the Department may disclose a record for the
purposes described in Departmental Regulations (34 CFR part 5b,
Appendix B, items: (1), (3), (4), (5), (8).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Legal size files in filing cabinets.
Retrievability: Retrieved by name of the non-Government party, whether
claimant, plaintiff, or alleged debtor. In some instances, these
records are retrievable by cross reference to index cards,
containing name of the party involved and the subject matter.
Safeguards: Office buildings in which files are kept are locked after
the close of the business day. These files are only accessible to
General Counsel staff.
Retention and disposal: The records are maintained for an indefinite
duration.
System manager(s) and address: The agency official responsible for the
system policies and practices outlined above is: The General
Counsel, Department of Education, Office of the General Counsel,
Room 4091, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be addressed to the system manager. (These notification and
access procedures are in accordance with Department Regulations (34
CFR 5b.5) Federal Register, May 9, 1980, page 30809.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7) 45 FR 30810, May 9, 1980.
Record source categories: The information in this system comes from a
number of sources including private individuals, private and public
hospitals, doctors, law enforcement agencies and officials, private
attorneys, accident reports, third parties, claimants for
beneficiaries and their relatives, other Federal agencies, State and
local governments, agencies and instrumentalities.
Systems exempted from certain provisions of the act: None.
18-09-0002
System name: OGC-Attorney Applicant Files, ED/OGC.
Security classification: None.
System location: See system location on the Administrative Claims
System, 18-09-0001.
Categories of individuals covered by the system: Current Attorney
Applicants for positions in the Office of the General Counsel.
Categories of records in the system: The Attorney Applicant system
consists of a variety of records relating to persons applying for
attorney positions. These records contain information about an
individual's birth date; home address; telephone number; social
security number; educational background (e.g., law schools attended
and grades); past work experience; writing samples furnished on
request; recommendations from past employers and academic officials.
Authority for maintenance of the system: 5 U.S.C. 3301 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, alphabetized by
name, and in some cases the records are separated by individual law
school affiliation and by the date the application is received. In
some instances records are located in lockable conserva-file
cabinets and in a locked secured room with access limited to those
officials whose duties require access. In other instances records
are maintained in file rooms or with other Office of General Counsel
files.
Retrievability: These records are retrievable by name.
Safeguards: Access is limited to those ED officials whose duties require
access.
Retention and disposal: These records are retained in a current system
for one year, and in some instances two years, after which time they
are discarded.
System manager(s) and address: The agency official responsible for the
systems policies and practices outlined above is: The General
Counsel, Department of Education, Office of the General Counsel,
Room 4091, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be addressed to the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7), 45 FR 30810, May 9, 1980).
Record source categories: Information in this system of records comes
from the individual to whom it applies, law school officials and
past employers.
Systems exempted from certain provisions of the act: None.
18-09-0003
System name: Conflict of Interest--Standards of Conduct Records,
ED/OGC.
Security classification: None.
System location: See system location on the Administrative Claims
System, 18-40-0062.
Categories of individuals covered by the system: Information about
current and past ED employees who are or have been the subject of
conflict of interest or standards of conduct inquiries or
determinations.
Categories of records in the system: These records include information
relating to acceptance or offer of gifts, entertainment and favors,
outside employment; financial interests; use of government funds,
property or official information; partisan political activity; or
other matters relating to ethical standards of conduct.
Authority for maintenance of the system: 18 U.S.C. 202, 203, 205, 207,
208, 209; Executive Order 11222; and 5 CFR parts 735, 104; 34 CFR
Part 73.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if successful
is likely to directly affect the operations of the Department or any
of its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to
enable that Department to effectively represent such party, provided
such disclosure is compatible with the purpose for which the records
were collected. Also, the Department may disclose a record for the
purposes described in Departmental Regulations (34 CFR part 5b,
Appendix B, items: (1), (3), (4), (5), (8).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are kept in legal size files in filing cabinets.
Retrievability: These records are retrievable by name in most cases. In
some instances, these records are retrievable by cross-reference to
index cards containing the name of the party involved and the
subject matter.
Safeguards: These records are only accessible to General Counsel staff.
Office buildings in which these records are maintained are locked
after the close of the business day.
Retention and disposal: The records are maintained for an indefinite
duration.
System manager(s) and address: The agency official responsible for the
systems policies and practices is: The General Counsel, Department
of Education, Office of the General Counsel, Room 4091, FOB No. 6,
400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be addressed to the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.7) 45 FR 30810, May 9, 1980).
Record source categories: The information contained in this system comes
from the individuals involved and from appropriate Department
officials.
Systems exempted from certain provisions of the act: None.
18-09-0004
System name: Federal Private Relief Legislation, ED/OGC.
Security classification: None.
System location: See system location on the Administration Claims
System, 18-40-0062.
Categories of individuals covered by the system: Private individuals,
groups, or institutions for whom a United States Congressman or
Senator has introduced a private relief bill.
Categories of records in the system: Background which gives rise to the
individual's, group's, or institution's claim for private relief
legislation.
Authority for maintenance of the system: 5 U.S.C. 301; OMB Circular A-
19.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The information is used to
prepare reports to the Congress, most commonly to the Judiciary
Committees of the Senate and the House of Representatives, which
reports are thereafter made available to the public under the
provisions of 5 U.S.C. 552. In connection with the preparation of
those reports, the information contained in this system of records
will, as a routine use be disclosed to officers and employees of the
Office of Management and Budget in connection with the review of
private relief legislation contained in OMB Circular No. A-19 at
various stages of the legislative coordination and clearance process
as contained in that Circular, and may, as routine use, be disclosed
to officers, or employees of agencies (as defined in 5 U.S.C. 551(i)
and 552(e) other than the agency that maintains the record.
Disclosure may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional
office made at the request of that individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders kept in legal size filing
cabinets.
Retrievability: By bill number using card systems maintained by name and
by subject.
Safeguards: Immediate access to these records is only by authorized
staff. Building is locked at close of business.
Retention and disposal: Retained indefinitely either at system location
or at Federal Records Center where files are sent on a regular,
predetermined schedule.
System manager(s) and address: The General Counsel, Office of the
General Counsel, Department of Education, Room 4091, FOB No. 6, 400
Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding the records in question
should be made to the system manager.
Record access procedures: Same as notification procedures. Requester
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7, 45 FR 30810, May 9, 1980).
Record source categories: The information in this system comes from the
principal operating components of the Department, the Office of the
Secretary, Congressional Committees, individual Congressmen and
Senators, and, in some cases, the subject individual, group or
institution.
Systems exempted from certain provisions of the act: None.
18-09-0005
System name: Litigation Files, Administrative Complaints, and
Adverse Personnel Actions, ED/OGC.
Security classification: None.
System location: See system location on the Administrative Claims
System, 18-09-0001.
Categories of individuals covered by the system: The individuals on whom
records are maintained in this system are individuals who are
involved in litigation with the Department or the United States
(regarding matters within the jurisdiction of the Department) either
as plaintiffs or as defendants in both civil and criminal matters,
and individuals who either file administrative complaints initiated
by the Department, except claims which are the subjects of records
maintained in the Administrative Claims System, 18-40-0062.
Categories of records in the system: These records contain information
pertaining to the subject matter of the litigation, administrative
complaint, or adverse personnel action. Such records would include
complaints, litigation reports, administrative transcripts, various
litigation documents, investigative materials, correspondence,
briefs, court orders and judgments, and in cases where personal
injury is involved, evaluations by physician specialists.
Authority for maintenance of the system: The authority for maintaining
this system are the various statutes, regulations, rules or orders
pertaining to the subject matter of the litigation, administrative
complaint or adverse personnel action, (e.g., Civil Rights Act,
Federal Torts Claim Act).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Also, the Department may disclose
Department Regulations (34 CFR part 5b, Appendix B, items: (1), (3),
(4), (5), (8).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records consist of legal size files stored in file
cabinets.
Retrievability: These records are retrievable by name of the plaintiff
or the first plaintiff if there is more than one, or by the name of
the first defendant if the plaintiff is the United States. In the
case of adverse personnel actions, records are retrievable by name
of the individual involved.
Safeguards: Office buildings in which these records are maintained are
locked after the close of the business day. These records are only
accessible by General Counsel staff.
Retention and disposal: These records are maintained for an indefinite
duration.
System manager(s) and address: The agency official responsible for the
system policies and practices outlined above is: The General
Counsel, Department of Education, Office of the General Counsel,
Room 4091, FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be addressed to the system manager. Any individual who
requests notification of or access to a medical record shall, at the
time the request is made, designate in writing a responsible
representative who will be willing to review the record and inform
the subject individual of its contents at the representative's
discretion. (These notification and access procedures are in
accordance with the Department Regulations (34 CFR 5b.5) 45 FR
30809, May 9, 1980).
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7) 45 FR 30810, May 9, 1980).
Record source categories: The information for this system is obtained
through a number of sources including the exchange of legal
pleadings, documents, formal and informal discovery, program offices
and component agencies, private attorneys, State and local
governments, their agencies and instrumentalities, and officers of
other Federal agencies and the individuals involved.
Systems exempted from certain provisions of the act: None.
18-10-0001
System name: Investigative Files of the Inspector General ED/
OIG.
Security classification:
None.
System location:
Office of Inspector General, U.S. Department of Education, room
4004, Switzer Building, 330 C Street SW., Washington, DC 20202-1500
Office of Inspector General, U.S. Department of Education, room 512,
PO Box 2142, Boston, MA 02106
Office of Inspector General, U.S. Department of Education, room
3739, 26 Federal Plaza, New York, NY 10278
Office of Inspector General, U.S. Department of Education, room
16120, 3535 Market Street, Philadelphia, PA 19104
Office of Inspector General, U.S. Department of Education, PO Box
1598, Atlanta, GA 30301
Office of Inspector General, U.S. Department of Education, room 700-
G, 401 South State Street, Chicago, IL 60605
Office of Inspector General, U.S. Department of Education, room
2130, 1200 Main Tower, Dallas, TX 75202
Office of Inspector General, U.S. Department of Education, 9th
Floor, 10220 North Executive Hills Blvd., Kansas City, MO 64190
Office of Inspector General, U.S. Department of Education, suite
210, 1244 Speer Blvd., Denver, CO 80204
Office of Inspector General, U.S. Department of Education, room 105,
50 United Nations Plaza, San Francisco, CA 94102
Categories of individuals covered by the system:
Categories include current and former ED employees and individuals who
have any relationship to financial assistance or other educational
programs administered by the Department of Education, or to management
concerns of the Department, including but not limited to: Grantees,
subgrantees, contractors, subcontractors, program participants,
recipients of Federal funds or federally insured funds, and officers,
employees or agents of institutional recipients or program
participants.
Categories of records in the system:
Complaint and investigation files pertaining to alleged violations of
criminal laws, fraud, waste, and abuse with respect to administration
of Department programs and operations; and violations of employee
Standards of Conduct as set out in 34 CFR part 73.
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3)
and 5 U.S.C. 301.
Purpose(s):
Pursuant to the Inspector General Act, the system is maintained for
the purposes of (1) Conducting and documenting investigations by the
OIG or other investigative agencies regarding ED programs and
operations and reporting the results of investigations to other
Federal agencies, other public authorities or professional
organizations which have the authority to bring criminal prosecutions
or civil or administrative actions, or to impose other disciplinary
sanctions; (2) Documenting the outcome of OIG investigations; (3)
Maintaining a record of the activities which were the subject of
investigations; (4) Maintaining a record of complaints and allegations
received relative to Department of Education programs and operations,
documenting the outcome of OIG reviews of such complaints and
allegations; (5) Reporting investigative findings to other ED
components for their use in operating and evaluating their programs or
operations, and in the imposition of civil or administrative
sanctions; (6) Coordinating relationships with other Federal agencies,
State and local governmental agencies, and nongovernmental entities in
matters relating to the statutory responsibilities of the OIG; and (7)
Acting as a repository and source for information necessary to fulfill
the reporting requirements of the Inspector General Act, 5 U.S.C.
Appendix 3, section 5.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The Department of Education 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 purpose for which the record
was collected, under the following routine uses:
(a) Disclosure for use by other law enforcement agencies. In the event
that any records from this system of records, either by themselves or
in combination with any other information, indicate a violation or
potential violation of criminal or civil law or regulation, ED/OIG may
disclose information from this system of records as a routine use 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 prosecutive responsibility of the receiving entity.
(b) Disclosure to public and private entities to obtain information
relevant to ED/OIG functions and duties. ED/OIG may disclose
information from this system of records as a routine use to public or
private sources to the extent necessary to obtain information from
those sources relevant to an ED/OIG investigation, audit, inspection
or other inquiry.
(c) Disclosure for use in employment, employee benefit, security
clearance, and contracting decisions.--(1) For decisions by ED. ED/OIG
may disclose information from this system of records as a routine use
to a Federal, State, local, or foreign 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 an ED decision concerning the
retention of an employee or other personnel action (other than
hiring), the retention of a security clearance, the letting of a
contract, or the issuance or retention of a grant, or other benefit.
(2) For decisions by other public agencies and professional licensing
organizations. ED/OIG may disclose information from this system of
records as a routine use to a Federal, State, local, or foreign agency
or other public authority or professional licensing organization, in
connection with the retention of an employee or other personnel action
(other than hiring), the retention of a security clearance, the
letting of a contract, or the issuance or retention of a license,
grant, or other benefit.
ED/OIG may disclose to those agencies and professional licensing
organizations the fact that this system of records contains
information relevant to the hiring of an employee or issuance of a
security clearance so that the agency or professional licensing
organization may make a request for the information supported by the
consent of the individual.
ED/OIG may make no disclosure under this paragraph ((c)(2)) unless the
Inspector General or his or her designee determines that the
information is sufficiently reliable to support a referral to another
office within ED or to another Federal agency for criminal, civil,
administrative, personnel, or regulatory action.
(d) Disclosure to public and private sources in connection with the
Higher Education Act of 1965, as amended (``HEA''). ED/OIG may
disclose information from this system of records as a routine use to
any accrediting agency which is or was recognized by the Secretary of
Education pursuant to the HEA; to any guaranty agency which is or was
a party to an agreement with the Secretary of Education pursuant to
the HEA; or to any agency which is or was charged with licensing or
legally authorizing the operation of any educational institution or
school which was eligible, is currently eligible, or may become
eligible to participate in any program of Federal student assistance
authorized by the HEA.
(e) Litigation disclosure.--(1) Disclosure to the Department of
Justice. If ED determines that disclosure of certain records to the
Department of Justice is relevant and necessary to litigation and is
compatible with the purpose for which the records were collected, ED/
OIG may disclose those records as a routine use to the Department of
Justice. Such a disclosure may be made in the event that one of the
parties listed below is involved in the litigation, or has an interest
in the litigation:
(i) ED, or any component of the Department;
(ii) Any employee of ED in his or her official capacity;
(iii) Any employee of ED in his or her individual capacity where the
Department of Justice has agreed to represent the employee; or
(iv) The United States, where ED determines that the litigation is
likely to affect the Department or any of its components.
(2) Other disclosure. If ED determines that disclosure of certain
records to a court, adjudicative body before which ED is authorized to
appear, individual or entity designated by ED or, otherwise, empowered
to resolve disputes, counsel or other representative, or potential
witness is relevant and necessary to litigation and is compatible with
the purpose for which the records were collected, ED/OIG may disclose
those records as a routine use to the court, adjudicative body,
individual or entity, counsel or other representative, or witness.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in the
litigation:
(i) ED, or any component of the Department;
(ii) Any employee of ED in his or her official capacity;
(iii) Any employee of ED in his or her individual capacity where the
Department of Justice has agreed to represent the employee; or
(iv) The United States, where ED determines that the litigation is
likely to affect the Department or any of its components.
(f) Disclosure to contractors and consultants. ED/OIG may disclose
information from this system of records as a routine use to a private
firm with which ED/OIG contemplates it will contract or with which it
has contracted for the purpose of performing any functions or analyses
that facilitate or are relevant to an OIG investigation, audit,
inspection, or other inquiry. Such contractor or private firm shall be
required to maintain Privacy Act safeguards with respect to such
information.
(g) Disclosure to the Department of Justice. ED/OIG may disclose
information from this system of records as a routine use to the
Department of Justice to the extent necessary for obtaining its advice
on any matter relevant to an OIG investigation, audit, inspection, or
other inquiry related to the responsibilities of the OIG.
(h) Congressional member disclosure. ED/OIG may disclose information
from this system of records as a routine use from the record of an
individual in response to an inquiry from the Member of Congress made
at the written request of that individual; however the Member's right
to the information is no greater than the right of the individual who
requested it.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained on index cards, investigative reports,
microcomputer disks, computer mainframe files and computer-printed
listings.
Retrievability:
The records are retrieved by manual or computer search of alphabetical
indices or cross-indices. Indices list names of individuals, companies
and organizations.
Safeguards:
Access is restricted to authorized staff members of the Office of
Inspector General and other officials of the Education Department on a
need-to-know basis as determined by the Inspector General. Written
documents and computer disks are maintained in secure rooms, in
security-type safes or in bar-lock file cabinets with manipulation-
proof combination locks. Computer mainframe files are on-line in
guarded, combination-locked computer rooms.
Retention and disposal:
Investigative files are retained for ten years after completion of the
investigation and/or actions based thereon, and records of complaints
and allegations will be maintained for five years after receipt. Paper
and computer indices are retained permanently. The records control
schedule and disposal standards may be obtained by writing to the
System Manager at the address below.
System manager(s) and address:
Assistant Inspector General for Investigation Services, U.S.
Department of Education, Room 4106, Switzer Building, 330 C Street,
SW, Washington DC 20202-1530.
Notification procedures:
See ``Systems Exempted,'' below. As provided in 34 CFR 5b.11(f), the
notification procedures are not applicable to criminal investigative
files except at the discretion of the Inspector General. The
notification procedures are applicable to noncriminal files only under
the conditions set forth by 34 CFR 5b.11(f)(2). To the extent these
procedures apply to the ED/OIG Investigative Files, they are governed
by 34 CFR 5b.5.
Record access procedures:
See ``Notification Procedure.''
Contesting record procedures:
Not applicable. See ``Systems Exempted,'' below.
Record source categories:
Departmental and other Federal, State and local government records;
interviews of witnesses; documents and other material furnished by
nongovernmental sources. Sources may include confidential sources.
Systems exempted from certain provisions of the act:
The Secretary has by regulations exempted the Investigative Files of
the Inspector General ED/OIG from the following provisions of the
Privacy Act:
(a) Pursuant to 5 U.S.C. 552a(j)(2):
(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of a record.
(2) 5 U.S.C. 552a(c)(4), regarding notification to outside parties and
agencies of correction or notation of dispute made in accordance with
5 U.S.C. 552a(d).
(3) 5 U.S.C. 552a(d) (1) through (4) and (f), regarding notification
or access to records and correction or amendment of records.
(4) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and
necessary information.
(5) 5 U.S.C. 552a(e)(2), regarding collection of information from the
subject individual.
(6) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to
provide a record to the Department.
(7) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
(8) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite
accuracy, relevance, timeliness, and completeness.
(9) 5 U.S.C. 552a(e)(8), regarding service of notice on subject
individual if a record is made available under compulsory legal
process if that process becomes a matter of public record.
(10) 5 U.S.C. 552a(g), regarding civil remedies for violation of the
Privacy Act.
(b) Pursuant to 5 U.S.C. 552a(k)(2):
(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.
(2) 5 U.S.C. 552a(d) (1) through (4) and (f), regarding notification
of and access to records and correction or amendment of records.
(3) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only
relevant and necessary information.
(4) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
These exemptions are stated in 34 CFR 5b.11.
18-10-0002
System name: Investigatory Material Compiled for Personnel
Security and Suitability Purposes, ED/OIG.
Security classification:
None for the system; however, a portion of the records within the
system is classified.
System location:
Office of the Inspector General; U.S. Department of Education, Room
4200, Switzer Building, 330 C Street SW, Washington, DC 20202.
Categories of individuals covered by the system:
Applicants, former employees, employees, and others doing business
with the Department.
Categories of records in the system:
Security investigations case files.
Authority for maintenance of the system:
Executive Order 10450, as amended.
Purpose(s):
Records in this system are maintained to assist the Inspector General
and other responsible officials in determining whether the appointment
and retention of ED employees is consistent with the national security
and whether they are otherwise suitable for employment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used as follows: (1) In the event that this
system of records indicates a violation or potential violation on law,
whether civil, criminal or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule or order issued pursuant thereto, the relevant records in the
system of records may be referred, as a routine use, to the
appropriate agency charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto; (2)
A record from this system of records may be disclosed as a ``routine
use'' to a Federal, State or local agency maintaining civil, criminal,
or other relevant enforcement records or other pertinent records, such
as current licenses, if necessary to obtain a record relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant or other benefit. A record from this
system of records may be disclosed to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, 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 by the requesting
agency, to the extent that the record is relevant and necessary to the
requesting agency's decision on the matter; (3) In the event that this
system of records indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule or order issued pursuant therein, the relevant records in the
system of records may be referred, as a routine use to the appropriate
agency, whether State or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto; (4) Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual; (5) In
the event of litigation where the defendant (one of the parties) is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if successful,
is likely to directly affect the operations of the Department or any
of its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to enable
that Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in security-type vaults or safes or lock
bar file cabinets with manipulation-proof combination locks.
Retrievability:
The records are alphabetically indexed by name of the individual
subject of the file or by cross reference to another file. Access
within ED is limited to the Secretary, and on a need-to-know basis to
other officials having program management responsibility.
Safeguards:
Access is restricted to authorized staff members and other officials
and employees on a need-to-know basis. Direct access to the safes in
which the records are stored is limited to security personnel.
Retention and disposal:
Security investigative records on individuals who occupy sensitive
positions are maintained during the term of their employment. Other
security investigative records are maintained for ten years if subject
to Executive Order 10450, as amended. All other files are destroyed
after three years.
System manager(s) and address:
Inspector General/Assistant Inspector General for Policy, Planning,
and Management Services, U.S. Department of Education, Room 4200
Switzer Building, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedures:
Exempt; however, consideration will be given requests addressed to the
system manager. For general inquiries, include the name and date of
birth of the individual.
Record access procedures:
Same as notification procedures. Requesters also should reasonably
specify the record contents being sought. (These access procedures are
in accordance with the Department's Privacy Act Regulations (34 CFR
5b.5(a)(2)).
Contesting record procedures:
Contact the official at the address specified under system manager(s)
and address above, and reasonably identify the record and specify the
information to be contested. (These procedures are in accordance with
the Department's Privacy Act Regulations (34 CFR 5b.7)).
Record source categories:
Department and other Federal, State and local Government records;
interview of witnesses; documents and other material furnished by non-
Government sources. Sources may include confidential sources.
Systems exempted from certain provisions of the Act:
As indicated in 34 CFR 5b.11(b)(2)(iv)(A) individuals will be provided
information from this record system except when in accordance with the
provisions of 5 USC 552a(k)(5): (1) Disclosure of such 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) if the information was obtained
prior to September 27, 1975, disclosure of such 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.
18-10-0003
System name: ED/OIG Non-Federal Auditor Referral File.
Security classification:
None.
System location:
U.S. Department of Education, Office of Inspector General, 330 C
Street, SW., Washington, DC 20202.
Categories of individuals covered by the system:
Auditors not employed by the Federal government whom the Office of
Inspector General has referred to State boards of accountancy or
professional associations for violations of generally accepted
auditing standards or generally accepted government auditing standards
in connection with audits of federally assisted education programs.
Categories of records in the system:
Information relating to the audit activity which led to the referral
action, including the referral documents; and records on the status of
each referral.
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3,
4(a)(1) and 4(b)(1)(C)).
Purpose(s):
This system of records is maintained for the general purpose of
enabling the ED/OIG to fulfill the requirements of section
(4)(b)(1)(C) of the Inspector General Act of 1978, 5 U.S.C. Appendix
3, 4(b)(1)(C), which requires Federal Inspectors General, including
the ED Inspector General, to ``take appropriate steps to assure that
any work performed by non-Federal auditors complies with the standards
established by the Comptroller General * * *'' Records are used to
document OIG actions with regard to open and closed referrals by the
ED/OIG; to produce statistical data; and to share information with
Federal, State and professional organizations which are also
responsible for maintaining audit standards.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
As provided in the Education Department's Privacy Act regulations (34
CFR 5b.1(j)), the following routine uses are authorized without the
consent of the individual, but only for a purpose which is compatible
with the purpose for which the record was collected:
(1) Audit oversight and referral action disclosure. Disclosure of a
record from this system of records may be made to other Federal OIGs,
the General Accounting Office, State agencies responsible for audit
oversight, and the American Institute of Certified Public Accountants
to make referrals regarding inadequate audits performed by independent
auditors, to track the result of proceedings against those auditors,
and to inform these agencies if prior referrals have been made under
this routine use.
(2) Debarment and suspension disclosure. A record from this system of
records may be disclosed to the appropriate enforcement officials of
this or another Federal agency, as authorized under section 3 of
Executive Order 12549, if the Inspector General determines that an
auditor should be referred for debarment or suspension under the
standards in 34 CFR part 85.
(3) Engagement disclosure. A record from this system of records may be
disclosed to a contractor or grantee of the Department or other
participant in Department programs which may be contemplating engaging
the firm or individual named in the record to perform auditing or
related services pertaining to federally assisted education programs,
unless the entities to which the Assistant Inspector General for Audit
Services has made a referral under routine use number 1, decline to
take action against the auditor or act to exonerate the auditor.
(4) Enforcement disclosure. In the event that this system of records
maintained by the Department to carry out its functions indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto, the Department may refer the record as a routine use
to the appropriate agency, whether Federal, foreign, State, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation, or order issued pursuant thereto.
(5) 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.
(6) Hiring disclosure--(a) For hires by ED. A record from this system
of records may be disclosed as a ``routine use'' to a Federal, State,
or local agency maintaining civil, criminal or other relevant
enforcement records or other pertinent records, such as current
licenses, if necessary to obtain a record relevant to an agency
decision concerning the hiring or retention of an employee to perform
audit services, the issuance of a security clearance, or the letting
of a contract to perform audit services.
(b) For hires by other federal agencies. A record from this system of
records may be disclosed to a Federal agency, in response to its
request, in connection with the hiring or retention of an employee to
perform audit services, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract to perform audit services, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the request is relevant to the performance of audit services and
necessary to the requesting agency's decision on the matter.
(7) Subpoena disclosure. Where Federal agencies having the power to
subpoena other Federal agencies' records, such as the Internal Revenue
Service or the Civil Rights Commission, issue a subpoena to the
Department for records in this system of records, the Department will
make such records available, provided the disclosure is consistent
with the purposes for which the record was collected.
(8) Litigation disclosure--(a) Disclosure to the Department of
Justice. If the Department determines that disclosure of certain
records to the Department of Justice 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 the Department of Justice. Such a disclosure may be made in the
event that one of the parties listed below is involved in the
ligitation, or has an interest in the litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the Department in his or her official capacity;
(iii) Any Department employee in his or her individual capacity where
the Justice Department has agreed to represent such employee; or
(iv) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to a court or adjudicative body. If the Department
determines that disclosure of certain records to a court or
adjudicative body before which the Department is authorized to appear
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 the court or adjudicative
body, or to opposing counsel or witnesses, in the course of the
litigation or related settlement proceedings. Such disclosure may be
made in the event that one of the parties listed below is a party to
litigation, or has an interest in such litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the agency in his or her official capacity;
(iii) Any employee of the Department in his or her individual capacity
where the agency has agreed to represent the employee; or
(iv) The United States, where the agency determines that litigation is
likely to affect the agency or any of its components.
(9) Congressional member disclosure. The Department may disclose
personally identifiable information from this system of records to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual.
(10) Employee conduct disclosure. If a record maintained by the
Department is relevant to an employee discipline or competence
determination proceeding of another agency of the Federal government,
the Department may disclose the record as a routine use in the course
of the proceeding.
(11) Contract disclosure. When the Department contemplates that it
will contract with a private firm for the purpose of collating,
analyzing, aggregating or otherwise refining records in this system,
relevant records will be disclosed to such a contractor. The
contractor shall be required to maintain Privacy Act safeguards with
respect to such records.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed and retrieved by name of individual.
Safeguards:
Access is restricted to authorized OIG staff members on a need-to-know
basis. Records are secured in file cabinets and are locked in offices
after office hours.
Retention and disposal:
Records are continually updated and are kept until seven years after
the date of final action by the State regulatory board or the
professional association, whichever is later. Records are then
shredded mechanically.
System manager(s) and address:
Assistant Inspector General for Audit Services, Office of Inspector
General, U.S. Department of Education, 400 Maryland Avenue, SW.,
Washington, DC 20202-1550.
Notification procedure:
Individuals wishing to know if they are named in this system of
records must submit a written request to the system manager. Requests
must reasonably specify the system of records containing the
information and the particular record contents being sought. For a
complete statement of notification procedures, see the Department's
Privacy Act regulations, 34 CFR 5b.5.
Record access procedures:
Individuals wishing to gain access to a record in this system of
records must submit a written request to the system manager. Requests
must reasonably specify the system of records containing the
information, the particular record contents being sought, and the
reason for the request. For a complete statement of notification
procedures, see the Department's Privacy Act regulations, 34 CFR 5b.5.
Contesting record procedures:
Individuals desiring to contest information contained in a record in
this system of records should contact the system manager. Requests
must be made either in writing or in person, and must specify: (1) The
system of records from which the record is to be retrieved; (2) the
particular record which the requestor is seeking to amend; (3) whether
a deletion, an addition, or a substitution is being sought; and (4)
the reason(s) for the requested change(s). Requestors may wish to
include in their requests any appropriate documentation supporting the
requested changes(s). For a complete statement of contesting record
procedures, see the Department's Privacy Act regulations, 34 CFR 5b.7.
Record source categories:
Information contained in the system will be obtained principally from
OIG employees. Information regarding the status of referral actions
will be obtained from the appropriate State licensing board and
professional organizations to which the referral was made.
Systems exempted from certain provisions of the act:
None.
18-11-0001
System name: Department of Education Motor Vehicle Operator
Records, ED/OASM.
Security classification: None.
System location: Personnel offices of the Department shown in Applicants
for Employment Records. Issuing Officers for Motor Vehicle Operator
Identification Cards within the organizations serviced by the above
personnel offices.
Categories of individuals covered by the system: All Department
employees who are required to operate motor vehicles regularly or
incidentally in carrying out their official duties.
Categories of records in the system: The ED Motor Vehicle Operation
Records System consists of a variety of records related to the
issuance of a Government Motor Vehicle Operator's permit. In
addition to the name of the employee, the system includes
information about the employee's birthplace, SSN, employing
organization, number of years driven, type of vehicles operated,
current driver's license number, state issuing driver's license,
date license expires, restrictions of state license, sex, date of
birth, color of hair, color of eyes, weight, height, record of
arrests, and record of accidents. These records also include
expiration dates of Motor Vehicle Operator permit, any limitations
imposed on its use and the results of the annual review of each
driving record.
Authority for maintenance of the system: 40 U.S.C. 471.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in this system
of records may be used: In accordance with Departmental Regulations
(34 CFR part 5b), Appendix B, Items 01,3,4,5,6,7,8,9. By the Office
of Personnel Management in carrying out its functions. Disclosure
may be made to a Congressional office from the record of an
individual in response to an inquiry from the Congressional office
made at the request of that individual. In the event of litigation
where one of the parties is (a) the Department, any component of the
Department, or any employee of the Department in his or her official
capacity; (b) the United States where the Department determines that
the claim, if successful, is likely to directly affect the
operations of the Department or any of its components; or (c) any
Department employee in his or her individual capacity where the
Justice Department has agreed to represent such employee, the
Department may disclose such records as it deems desirable or
necessary to the Department of Justice to enable that Department to
effectively represent such party, provided such disclosure is
compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Stored in Official Personnel Folder in file folders and index
cards.
Retrievability: Records are retrievable by name. Information is used as
a basis for issuing a SF-46 ``U.S. Government Motor Vehicle
Operator's Identification Card'' and evaluating its use. It may also
be used for production of summary descriptive statistics and
analytical studies in support of the functions for which the records
are collected and maintained and for related personnel management
functions.
Safeguards: Access to and use of these records are limited to personnel
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal: Records are retained for three years after the
individual's government motor vehicle operator's permit expires, or
the individual leaves the Department, and are then destroyed. (See
DOE Personnel Instruction 293-1, Exhibit S293-1-1, item 24.)
System manager(s) and address: Personnel Officers of the Department
shown in Applicants for Employment Records, DOE System 18--11--0007,
Appendix 1.
Notification procedure: Issuing officers in organizational units in
which employed or systems managers shown above. Individual should
provide name and organization in which employed.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7), 45 FR 30810, May 9, 1980).
Record source categories: Information contained in this system of
records is obtained: (1) From information supplied by the
individual, or (2) derived from information supplied by the
individual, or (3) from information supplied by officials of the
Department.
Systems exempted from certain provisions of the act: None.
18-11-0002
System name: Departmental Parking Control Policy, ED/OASM/PARM.
Security classification: None.
System location: Director, Office of Administrative Resources
Management, Room 1177, FOB No. 6, ED/OARM, 400 Maryland Avenue, SW,
Washington, DC 20202.
Offices of Manager for Parking Control at ED facilities where ED
parking is provided.
Categories of individuals covered by the system: All ED employees as
well as any carpool member utilizing parking facilities.
Categories of records in the system: This system includes the following
information on all persons applying for a parking permit: Name,
office room number, office phone number, agency, home address, and
automobile license number.
Authority for maintenance of the system: 63 Stat. 377; 41 CFR 101-
20.111.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are stored in binders in file cabinets.
Retrievability: Records are filed alphabetically by location. The
purpose of the Departmental Parking Policy is to provide standards
for apportionment and assignment of parking spaces on Department-
managed and Department-controlled property and on property assigned
to the Department by GSA or any other Agency and to allocate and
check parking spaces assigned to government vehicles, visitors,
handicapped personnel, key personnel, car-pools, and others.
Safeguards: Access to and use of these records are limited to personnel
whose official duties require access.
Retention and disposal: Superseded policy materials are maintained by
the Director, OARM for historical purposes. Records at other ED
locations are maintained until the Parking Control purpose has been
met, and the records are then destoryed.
System manager(s) and address: Director, OARM, Room 1077, FOB No. 6, ED/
Deputy Assistant Secretary Human Resources, 400 Maryland Avenue, SW,
Washington, DC 20202.
Notification procedure: Access to these records may be obtained by
request in writing to: Office of Manager for Parking Control at ED
facility where ED parking is provided.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7), 45 FR 30810, May 9, 1980).
Record source categories: Information in this system comes from reports
from ED Staff, POC's and Regions, GSA-Federal Management circulars
and Federal Property Management Regulations.
Systems exempted from certain provisions of the act: None.
18-11-0003
System name: Family Educational Rights and Privacy Act--School
Recordkeeping Practices, Correspondence and Complaint System, ED-
OASM-EPM-DEDC-FERPA.
Security classification: None.
System location: U.S. Department of Education, Room 4512 Switzer
Building, Washington, DC 20202.
Categories of individuals covered by the system: Individuals who have
made inquiries or who have filed complaints alleging violations of
the provisions of the Family Educational Rights and Privacy Act of
1974; and those who have commented to the Department on its proposed
rules and practices.
Categories of records in the system: Name and address of individuals
submitting correspondence, responses and exchanges of materials
associated with investigations of complaints.
Authority for maintenance of the system: The Family Educational Rights
and Privacy Act of 1974 (20 U.S.C. 1232g).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To Members of Congress who
inquire on behalf of a constituent; to an educational agency or
institution against which a complaint has been made. A disclosure
may be made for the purposes described in Departmental Regulations
(34 CFR part 5b, Appendix B, Items: 1, 3, 8). Disclosure may be made
to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy filed in standard
lockable file cabinets.
Retrievability: For the most part records are indexed by name of
individual signing incoming correspondence; when indexed
chronologially, or by organization, they are cross-indexed by name
of individual signer. Records are available to FERPA staff involved
in correspondence and investigative processes, including members of
the Office of General Counsel. Occasionally, personnel with special
expertise in other program areas may be given records for the
purpose of assisting FERPA staff in resolution of issues.
Safeguards: Direct access is restricted to authorized FERPA staff;
access to rooms in which files are maintained is limited during non-
working hours to those with keys to rooms and the main files are
left in locked file cabinets when not in use.
Retention and disposal: Inquiry records are maintained a minimum of
three years; complaint and investigative records are maintained a
minimum of five years past date of case closing.
System manager(s) and address: Director, FERPA Office, U.S. Department
of Education, Room 4512 Switzer Building, Washington, DC 20202.
Notification procedure: System manager. For general inquiries, name and
date of previous correspondence, if known; for complaint/
investigative material, name and any I.D. number assigned. Address
is same as above.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7, 45 FR 30810, May 9, 1980).
Record source categories: Incoming correspondence, responses and
material obtained during course of any investigation.
Systems exempted from certain provisions of the act: None.
18-11-0005
System name: Safety Management Information System (ED Accident,
Injury and Illness Reporting System), ED/ASM.
Security classification: None.
System location: At Departmental Regional and Headquarters facilities
(see Appendix 1).
Categories of individuals covered by the system: (1) ED employees who
are involved in an accident which arises in the course of their
employment whether occurring on ED premises or not and results in:
(a) A fatality; (b) lost workdays beyond the day in which the
accident occurred; (c) nonfatal injuries which result in transfer to
another job, termination of employment, medical treatment other than
first aid, loss of consciousness or restriction of work or motion;
(d) a possible tort claim; (e) a claim for compensation; (f)
property damage in excess of 50.00 dollars; (g) interrupts or
interferes with the orderly progress of work of other employees; (h)
radiation over-exposure; (1) biological exposure resulting in lost
time or accidental release of biologicals where the public may be
over-exposed. (2) Visiting educators, contractor personnel,
employees of other Federal agencies, state or local governments or
members of the public who suffer injury, illness or property damage
on or in ED premises or as a result of ED activities.
Categories of records in the system: This system consists of a variety
of information and supporting documentation resulting from the
reporting and investigation of accidents which have resulted in
injury, illness, property damage or the interruption or interference
with the orderly progress of work. The records contain information
about individuals involved in or experiencing accidents including
but not limited to the severity of the injury, whether consciousness
was lost, the type of injury, culmination of any injury, days lost
from work if any, the nature of the injury, illness or disease, the
body part affected, causal factors, weather factors, agency of
accident, whether unsafe mechanical, physical, or personal acts or
factors were involved, the accident's area of origin and if fire was
involved, the type and form of materials involved. Property damage
(both public and private) is noted through the property sequence
number, who owned the property involved, property damage and actual
or estimated monetary loss, the ED installation number if
appropriate and the year of manufacture or construction if
appropriate. Identifiers related to a paticular accident include the
organization, case number assigned, date and time of occurrence,
state of territory, site, type and classification of accident,
estimated amount of tort claims if appropriate, name of
individual(s) involved, the social security number, sex, age, grade,
series and level, CSC series, address, other Departments notified of
accident, duty status, activity at time of accident and time on duty
before accident. Management's evaluation and corrective action taken
or proposed is also noted.
Authority for maintenance of the system: Section 19 of the Occupational
Safety and Health Act of 1970 (Pub. L. 91-596); U.S.C. 7902; 29 CFR
part 1960, Executive Order No. 12196.
Purpose(s):
The purpose of the system is to comply with the reporting and
statistical analyses requirements of section 19 of the Occupational
Safety and Health Act of 1970 (Pub. L. 91-596) as amended (29 U.S.C.
668); 29 U.S.C. 7902; 29 CFR part 1960; Executive Order 12196 and such
other purposes as are described under routine uses of this system
notice. The Safety Management Information System is a Department-wide
system utilized by all organizational components of the Department.
Thus, in addition to the routine uses subsequently noted in this
system notice, there may be other ad hoc disclosures within the
Department on an official business ``need to know'' basis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The Department contemplates
that it will contract with a private firm for the purpose of
collating, analyzing, aggregating or otherwise refining records in
this system. Relevant records will be disclosed to such a
contractor. The contractor shall be required to maintain Privacy Act
safeguards with respect to such records.
To the Department of Justice or other appropriate Federal agencies in
defending claims against the United States when the claim is based
upon an individual's mental or physical condition.
To individuals and organizations, deemed qualified by the Secretary to
carry out specific research solely for the purpose of carrying out
such research.
To organizations deemed qualified by the Secretary to carry out
quality assessment, medical audits or utilization review.
Disclosures in the course of employee discipline or competence
determination proceedings.
To request from a Federal, State, local agency or private sources
information relevant to the investigation of an accident and/or
corrective action.
To respond to an inquiry from a member of Congress made on behalf of a
constituent.
In the event of litigation where (a) the Department, any component of
the Department, or any employee of the Department in his or her
official capacity; (b) the United States where the Department
determines that the claim if successful, is likely to directly affect
the operations of the Department or any of its components; or (c) any
Department employee in his or her individual capacity were the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to present an
effective defense, provided such disclosure is compatible with the
purpose for which the records were collected.
In the event that a system of records maintained by this agency to
carry out its functions indicates a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether federal, or foreign, state or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto.
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.
A record from this system of records may be disclosed as a ``routine
use'' to a Federal, State or local agency maintaining civil, criminal
or other relevant enforcement records or other pertinent records, such
as current licenses, if necessary to obtain a record relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant or other benefit.
A record from this system of records may be disclosed to a Federal
agency in response to its request, in connection with the hiring or
retention of an employee, 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 by the
requesting agency, to the extent that the record is relevant and
necessary to the requesting agency's decision on the matter.
Where the Federal agencies having the power to subpoena other Federal
agencies' records, such as the Internal Revenue Service or the Civil
Rights Commission, issue a subpoena to the Department for records in
this system of records, the Department will make such records
available.
Where a contract between a component of the Department and a labor
organization recognized under E.O. 12196 provides that the agency will
disclose personal records relevant to the organization's mission,
records in this system of records may be disclosed to such
organization.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are or may be maintained on magnetic tapes, punchcards,
lists, forms, disks, computer storage, in file folders, binders and
index cards.
Retrievability: (1) At the Departmental level, the system is completely
computerized with no other records normally maintained or retained
in the Office of the Assistant Secretary for Management. While
individual indentifiers such as name, case number, and social
security number are within the computer storage banks, special
programming would be required to extract individual records. Normal
output consists of statistical reports and surveys based on case
number including those required by the Department of Labor and
Statistical Analysis in support of the Departmental occupational
safety and health program for dissemination to the Principal
Operating Components, Regions and Staff Offices.
(2) The Principal Operating Components of the Department, their sub-
components, Regional Offices and Staff Offices may maintain original
or copies of the accident reports and supporting documentation by
name, social security number, case number or cross reference.
(3) Establish a written record of the causes of accidents.
(4) Provide information to initiate and support corrective or
preventive action.
(5) Provide statistical information relating to accidents resulting in
occupational injuries, illnesses, and/or property damage.
(6) Provide management with information with which to evaluate the
effectiveness of safety management programs.
(7) Provide the means for complying with the reporting requirements of
Section 19 of the Occupational Safety and Health Act of 1970 and such
other reporting requirements as may be required by legislative or
regulative requirements.
(8) Provide such other summary descriptive statistics and analytical
studies as necessary in support of the function for which the records
are collected and maintained including general requests for
statistical information without personal identification of
individuals.
(9) Information in these records is used by or may be disclosed to:
(a) The Assistant Secretary for Management, Office of the Secretary,
ED in the review of accident experience data to determine the adequacy
of corrective actions, the effect of codes, standards and guides, the
consolidation, summarization and dissemination of accident experience
data throughout ED and other Government Departments and agencies as
needed or required; (b) The supervisor, administrative officer or
other official initiating an accident report, including each
succeeding reviewing official in the chain of command through which
the report passes to insure that corrective action, as needed and
appropriate is taken; (c) Appropriately appointed Safety Directors,
Officers, or others with safety responsibilities within the Department
in the verifying, assembling, analyzing, summarizing and disseminating
data concerning the accident experience in their areas of
responsibility and the initiation of appropriate corrective action.
Note.-- If this statement is published prior to the establishment of
an ADP system within the Department to handle our SMIS reporting, the
following should be inserted at this point.
(d) Employees of HHS responsible for the maintenance and retrieval of
the above information pertinent to ED employees, as necessary to carry
out this function.
Safeguards: Access to and use of these records is made available to
those personnel having a legitimate need for the information (those
whose duties require review or access) including inspecting or
evaluating personnel. Records, which under the law, may not be
disclosed such as information pertinent to national security or
trade secrets are maintained separately, adequately safeguarded and
released only in accordance with the law. When there is doubt
regarding the release of information, the matter will be referred,
in advance to the Office of the General Counsel, ED.
Retention and disposal: All accident reports, records, logs, and other
information relating to an accident are retained by the Principal
Operating Components and their agencies, the Regional Offices and
the Office of the Secretary for at least ten years following the end
of the calendar year in which the accident occurred. Specific
occupational safety and health standards (such as the standards
covering the handling of carcinogenic chemicals) may be required to
be kept for up to twenty years. Records may be retained
indefinitely.
System manager(s) and address: The SMIS system at the present time is
being maintained by the Department of HHS under an Inter-Agency
Agreement.
Notification procedure: Individuals wishing to inquire whether this
system of records contains information about them should address
their inquiries to one of the following as appropriate: (1) If
employed or formerly employed in HEW Region Office, the Regional
Occupational Safety and Health Manager of the Regional involved (see
list and addresses under appendix at the end of this system (18-11-
0005)). (2) If employed or formerly employed in a HEW Principal
Operating Component or sub-agency, a staff office or the Office of
the Secretary, the Occupational Safety and Health Manager of the
component where employed (see list and addresses under appendix for
this system (18-11-0005)). Individuals requesting information in
this system of records should provide their full name, social
security number (on a purely voluntary basis), name and address of
office and agency in which currently or formerly employed, the
accident(s) case number if known, and the time and a brief
description of the accident in which they were involved.
Record access procedures: Individuals wishing to gain access to or
contest their records should contact the following in person, or by
writing, as appropriate (See ``notification procedures'' above).
Requesters should also reasonably specify the record contents being
sought. (These access procedures are in accordance with Department
Regulations (34 CFR 5b.5, 45 FR 30808, May 9, 1980.))
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.5(b)(7), 45 FR 30810, May 9, 1980)).
Record source categories: The information in this system is obtained
from the following sources: (a) The individual to whom the record
pertains; (b) witnesses to the accident; (c) investigation officials
(Federal, State, local); (d) medical personnel seeing the individual
as a result of the accident; (e) supervisory personnel; (f)
reviewing officials; (g) personnel offices; (h) investigate material
furnished by Federal, State, or local agencies; and (i) on-site
observations.
Systems exempted from certain provisions of the act: None.
Appendix for 18-11-0005
Regions, at the present time, are being serviced by the Department of
HHS under an Inter-Agency Agreement.
Region I: HHS Regional Safety and Occupational Health Manager, John F.
Kennedy Federal Building--Room 1503, Government Center, Boston,
Massachusetts 02203
Region II: HHS Regional Safety and Occupational Health Manager,
Federal Building--Room 3835, 26 Federal Plaza, New York, New York
10007
Region III: HHS Regional Safety and Occupational Health Manager, 3535
Market Street, Philadelphia, Pennsylvania 19101
Region IV: HHS Regional Safety and Occupational Health Manager, 101
Marietta Tower, Suite 1503, Atlanta, Georgia 30323
Region V: HHS Regional Safety and Occupational Health Manager, 300
South Wacker Drive--35th Floor, Chicago, Illinois 60606
Region VI: HHS Regional Safety and Occupational Health Manager, 1200
Main Tower Building, Dallas, Texas 75202
Region VII: HHS Regional Safety and Occupational Health Manager, 601
East 12th Street--Room 506, Kansas City, Missouri 64106
Region VIII: HHS Regional Safety and Occupational Health Manager, 1961
Stout Street--Room 11037, Denver, Colorado 80202
Region XI: HHS Regional Safety and Occupational Health Manager,
Federal Office Building--Room 8, 50 United Nations Plaza, San
Francisco, California 94102
Region X: HHS Regional Safety and Occupational Health Manager, Arcade
Plaza--Room 6003, 1321 Second Avenue, Seattle, Washington 98101
Health Care Financing Administration: Safety Officer, A-1 Gwynn Oak
Building, 1710 Gwynn Oak Avenue, Woodlawn, Maryland 21207
Social Security Administration: Director, Occupational Health
Management, Room 8, Second Floor, Link Building, 6401 Security
Boulevard, Baltimore, Maryland 21235
Office of the Secretary, HHS, Safety Officer, Room 1073, HHS North
Building, Department of Health and Human Services, 300 Independence
Avenue, SW, Washington, DC 20201
Public Health Service: Director, Division of Health Facilities
Planning, Room 18-42--Parklawn Building, 5600 Fishers Lane, Rockville,
Maryland 20852
Alcohol, Drug Abuse, and Mental Health Administration: Safety Officer,
Room 12C26--Parklawn Building, 5600 Fishers Lane, Rockville, Maryland
20852
Center for Disease Control: Chief, Office of Biosafety, Building 4--
Room 232, 1600 Clifton Road, NW, Atlanta, Georgia 30333
Food and Drug Administration: Privacy Act Coordinator, Rockville,
Maryland 20852
Health Resources Administration: Safety Officer, Room 129, Federal
Center Building 2, 3700 East/West Highway, Hyattsville, Maryland 20782
National Institutes of Health: Associate Director, Environmental
Health and Safety, Division of Research Sciences, Room 4051--Building
12A, 9000 Rockville Pike, Bethesda, Maryland 20014
18-11-0006
System name: Telephone Directory/Locator System, ED/OASM.
Security classification: None.
System location: Operating offices and Facility Complexes of the
Department--Employee Locators and Offices of Administrative or
Management Services.
Categories of individuals covered by the system: Current employees of
the Department and vendor or other Federal employees located in
Department operating offices and facility complexes.
Categories of records in the system: Name, title, agency office address,
agency mailing address, telephone number, standard administrative
code, and social security number.
Authority for maintenance of the system: 5 U.S.C. 301, 40 U.S.C. 486(c).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Records are used to develop
and maintain current employee locator and directory listings. The
locator listings are used by the ED information centers, mail rooms,
and others specifically for the purpose of locating employees and
for routing of mail. The directory listings are used to produce
departmental telephone directories on an as needed basis. Disclosure
may be made to a Congressional office from the record of an
individual in response to an inquiry from the Congressional office
made at the request of that individual. In the event of litigation
where one of the parties is (a) the Department, any component of the
Department, or any employee of the Department in his or her official
capacity; (b) the United States where the Department determines that
the claim, if successful, is likely to directly affect the
operations of the Department or any of its components; or (c) any
Department employee in his or her individual capacity where the
Justice Department has agreed to represent such employee, the
Department may disclose such records as it deems desirable or
necessary to the Department of Justice to enable that Department to
effectively represent such party, provided such disclosure is
compatible with the purpose for which the records were collected.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3)
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Variously stored in card files, computer printouts, paper
forms, magnetic tape.
Retrievability: Alphabetically by employee name, in certain instances
also by agency and/or title. Some large systems use the SSN as
control to update, change or delete information on individuals no
longer within this system of records.
Safeguards: Only authorized personnel have access to master lists which
contain social security numbers.
Retention and disposal: Retained as long as individual is employed by or
associated with the Department, then information deleted from files
by appropriate method.
System manager(s) and address: Chief, Department Information Center,Room
1127, FOB--6, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Direct inquiries to the systems manager
identified in Appendix.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7 45 FR 30810, May 9, 1980).
Record source categories: Individual employee.
Systems exempted from certain provisions of the act: None.
18-11-0007
System name: Applicants for Employment Records, ED/ASM/RPB.
Security classification: None.
System location: This system is located in ED's personnel office, 400
Maryland Avenue SW, Washington, DC 20202.
Categories of individuals covered by the system: Persons who have
applied for Federal employment or are employed in the Federal
service.
Categories of records in the system: These records contain information
relating to the education and training; employment history and
earnings; appraisal of past performance; convictions and offenses
against the law; results of written tests; appraisal of potential;
honors, awards or fellowships; military service, veteran preference,
birthplace; birth date; social security number; and home address of
persons who have applied for Federal employment or are employed in
the Federal service and correspondence related thereto. These
records may also include information concerning the date of
application; qualification status, employment consideration,
priority grouping, and other information relating to the
consideration of the individual for employment.
Authority for maintenance of the system: 5 U.S.C. 1302, 3301, 3302;
Executive Order 10577.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: These records may be used:
(1) To respond to requests for information from the Office of
Personnel Management, Members of Congress, or other inquiries from
outside the Department, to the extent their request is compatible
with the purpose for which the records are maintained; (2)
Disclosure may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional
office made at the request of that individual; (3) In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Also, the Department may disclose a record for the
purposes described in Departmental Regulations (34 CFR part 5b,
Appendix B, items (1), (3), (4), (5), (6), (7), (8), (9)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Stored in file cabinets for 2 years.
Retrievability: Records are indexed by any combination of name, birth
date, social security number and identification number. Records are
used to refer applicants to officials of the Department for
placement in positions for which applicant has applied and
qualified.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: Records are retained until the applicant is
selected for a position, or for two years. After the applicant is
selected for a position, his/her records are filed in the Official
Personnel Folder which is retained until the employee leaves the
Department.
System manager(s) and address: Personnel Officers of the Department, 400
Maryland Avenue SW, Washington, DC 20202.
Notification procedure: Individual should provide name, approximate date
of record and title of position for which application was made.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the personnel official and
reasonably identify the record. Specify the information to be
contested.
Record source categories: Information in this system of records is
provided by the individual to whom it applies, is derived from
information he or she supplied; or is obtained from information
supplied by others.
Systems exempted from certain provisions of the act: None.
18-11-0008
System name: Payroll, Attendance, and Leave Records (ED PAY/
PERS)--Education Department.
Security classification:
None.
System location:
1. Education Department PAY/PERS Office, 300 7th Street, SW, Suite
201, Washington, DC 20024.
2. Division of Management Support, Engineering and Research Center, PO
Box 25007, Denver Federal Center, Denver, Colorado 80225.
3. Payroll liaisons and timekeepers, headquarters and regional
offices. (See Appendix 1 for addresses.)
Categories of individuals covered by the system:
All employees of U.S. Education Department, National Commission of
Library and Information Sciences, Institute of Museum Services and
Architectural Transportation Barriers Compliance Board, including
permanent, temporary, or indefinite appointments.
Categories of records in the system:
This system consists of a variety of records relating to pay and leave
determinations made about each employee of the Department of
Education, the National Commission of Library and Information
Sciences, the Institute of Museum Services, and the Architectural
Transportation Barriers Compliance Board. The system contains
information such as the name of the employee, the employee's date of
birth, social security number, home address, grade, employing
organization, timekeeper number, salary, Civil Service retirement fund
contributions, pay plan, number of hours worked, annual and sick leave
accrual rate and usage, annual and sick leave balance, FICA
withholdings, Federal, state, and local tax withholdings, Federal
Employees Government Life Insurance withholdings, garnishment
documents, savings allotments, union and management association dues
withholding, savings bonds allotments, and Combined Federal Campaign
allotments.
Authority for maintenance of the system:
20 U.S.C. 3461, 31 U.S.C. 3512.
Purpose(s):
Records in this system are used to insure that each employee receives
the proper pay and allowances; that proper deductions and authorized
allotments are made from employees' pay; and that employees are
credited and charged with the proper amount of sick and annual leave.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in this system of records is used or may be used:
(1) To disclose information to the Department of the Treasury for
preparation of payroll checks, payroll deductions, U.S. Saving bonds,
and other checks to Federal, State, and local government agencies,
non-governmental organizations and individuals;
(2) To prepare W-2 Forms to submit to the Internal Revenue Service and
to disclose to state and local government agencies having taxing
authority pertinent records relating to employees, including name,
home address, social security number (in accordance with Section 7 of
the Privacy Act of 1974), earned income, and amount of taxes withheld;
(3) By the Office of Personnel Management, Merit Systems Protection
Board (including its Office of the Special Counsel), Equal Employment
Opportunity Commission, and the Federal Labor Relations Authority
(including the General Counsel of the Authority and Federal Service
Impasses Panel) to carry out their functions;
(4) To disclose to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual;
(5) By the Department of Labor to make a compensation determination in
connection with a claim filed by an employee for compensation on
account of a job-connected injury or disease;
(6) To respond to court orders for garnishment of an employee's pay
for alimony or child support;
(7) To respond to orders from IRS for garnishment of an employee's pay
for Federal income tax purposes;
(8) By State offices of unemployment compensation in connection with
claims filed by former ED employees for unemployment compensation;
(9) By financial organizations designated to receive labor
organization or management association dues withheld from an
employee's pay, in order to account for the amounts of the withheld
dues which they receive;
(10) In the event of defensive litigation, to disclose certain records
as the Department deems desirable or necessary to the Department of
Justice to enable that Department to present an effective defense,
provided such disclosure is compatible with the purpose for which the
records were collected, and the defendant is--
(a) The Department, any component of the Department, or any employee
of the Department in his or her official capacity;
(b) The United States where the Department determines that the claim,
if successful, is likely to affect directly the operations of the
Department or any of its components; or
(c) Any Department employee in his or her individual capacity where
the Justice Department has agreed to represent such employee; and
(11) To disclose information to an exclusive representative where 5
U.S.C. Chapter 71 or a collective bargaining agreement between the
Department and the exclusive representative recognized under 5 U.S.C.
Chapter 71 provides that the Department shall disclose records
relevant to the organization's mission; and
(12) To disclose to a State or local agency for the purpose of
conducting computer matching programs designed to reduce fraud, waste,
and abuse in Federal, State, and local public assistance programs and
operations.
Also, the Department may disclose a record for certain purposes
described in Appendix B of the Department's Privacy Act Regulations,
34 CFR part 5b. The specific routine uses in Appendix B that apply to
this system of records are (1), (4), (5), (6), and (9).
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on computer media, input forms and printed outputs in
manual and report form.
Retrievability:
Indexed by name and Social Security number of the employee and other
identifying numbers related to the employee.
Safeguards:
Access to and use of these records are limited to personnel whose
official duties require such access. Personnel screening is employed
to prevent unauthorized disclosure.
Retention and disposal:
Records submitted by the individual, such as allotment authorization
forms, home address forms, and tax withholding forms are retained
until superseded by new forms or until the individual leaves the
Department. Some of these records must be retained for an additional
period, or forwarded to the new employing agency. (Records may be
retired to a Federal Records Center and subsequently disposed of in
accordance with the Records Control Schedule of the Department of
Education).
System manager(s) and address:
Director, Personnel Systems, Planning and Evaluation Division,
Department of Education, PO Box 23578, Washington, DC 20024-0578.
Notification procedure:
An individual may inquire from the System Manager or the Head of the
office at which the employee is (or was) employed, whether or not the
system contains a record pertaining to him or her. The request must be
in writing and be signed by the requester. The request must meet the
requirements of 34 CFR 5b.5.
Record access procedures:
An individual may request access to the system of records in the same
manner as described under the notification procedure. The request must
meet the requirements of 34 CFR 5b.5.
Contesting record procedures:
An individual may contest the contents of his or her record by
contacting the System Manager, identifying the record to be amended,
the information to be contested, the corrective action sought, and the
reasons for the correction. The request must meet the requirements of
34 CFR 5b.7.
Record source categories:
Individual employees, timekeepers and supervisors.
Systems exempted from certain provisions of the act:
None.
Appendix I
U.S. Department of Education
Federal Office Building 6
400 Maryland Avenue, SW
Washington, DC 20202
4U.S. Department of Education
Brown Building (NIE)
200 19th Street, NW
Washington, DC 20024
U.S. Department of Education
Donohoe Building
400 6th Street, SW
Washington, DC 20024
U.S. Department of Education
Mary E. Switzer Building
330 C Street, SW
Washington, DC 20201
U.S. Department of Education
Reporters Building
300 7th Street, SW
Washington, DC 20506
U.S. Department of Education
Old Post Office Building
1100 Pennsylvania Avenue, NW
Washington, DC 20506
Region I
U.S. Department of Education
J. W. McCormack Post Office & Court House, Room 526
Boston, MA 02109
Region II
U.S. Department of Education
Jacob K. Javits Building
26 Federal Plaza, Rm 3954
New York, NY 10278
Region III
U.S. Department of Education
3535 Market Street--Room 16300
Philadelphia, PA 19101
Region IV
U.S. Department of Education
101 Marietta Tower--Suite 2221
Atlanta, GA 30323
Region V
U.S. Department of Education
300 South Wacker Driver
16th Floor
Chicago, IL 60606
Region VI
U.S. Department of Education
1200 Main Tower Building--
Suite 1460
Dallas, Texas 75202
Region VII
U.S. Department of Education
324 East 11th Street--9th Floor
Kansas City, Missouri 64106
Region VIII
U.S. Department of Education
Federal Office Building--19th and Stout Street
Denver, Colorado 80294
Region IX
U.S. Department of Education
50 United Nations Plaza, Room 205
San Francisco, WA 98121
Region X
U.S. Department of Education
Third and Broad Building
2901 3rd Avenue, Room 108
Seattle, WA 98121
18-11-0009
System name: Discrimination Complaints Records System, ED/AS/
EEOS.
Security classification: None.
System location: Office of the Director, Equal Employment Opportunity
Staff, 400 Maryland Avenue SW, Room 2117, Washington, DC 20202.
Categories of individuals covered by the system: Individuals or
organizations which have consulted an EEO Counselor regarding
discrimination on the basis of race, color, religion, sex, national
origin, age, or handicap because of a determination or decision made
by a Department official or which have filed a class allegation of
discrimination.
Categories of records in the system: This system of records contains
information or documents concerning pre-complaint processing and
class allegations of discrimination. The records consist of
counselors' reports, the initial allegations, letters or notices to
the individual or organization, materials placed into the record to
support or refute the decision or determination, statements to
witnesses, investigative reports, instructions about action to be
taken to comply with decisions, and related correspondence, opinions
and recommendations.
Authority for maintenance of the system: Executive Order 11478; 42
U.S.C. 2000e and 29 U.S.C. 633a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: These records and
information in the records may be used:
(a) To respond to a request from a Member of Congress regarding the
status of an appeal, complaint or grievance;
(b) To refer to Office of Personnel Management, Merit Systems
Protection Board (including its Office of the Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Service Impasses Panel) in carrying out their functions;
(c) Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual;
(d) In the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to directly affect the operations of the Department or any of
its components; (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
(e) The Department may disclose a record for the purposes described in
Appendix B of the Departmental Regulations (34 CFR part 5b, Appendix
B, items (1), (3), (4), (5), (6), (7), (8), (9)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, binders, and
index cards.
Retrievability: These records are indexed by the names of the
individuals or organizations on whom they are maintained. They may
be used: To adjudicate an appeal, complaint, or grievance; to
provide a basis for a corrective action related to the
discrimination situation; as a data source for management
information for production of summary descriptive statistics and
analytical studies in support of the function for which the records
are collected and maintained, or for related personnel management
functions or manpower studies; and to locate specific individuals
for personnel research or other personnel management functions.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require access.
Retention and disposal: The records on class allegations of
discrimination are retained after final disposition.
System manager(s) and address: Director, EEO Staff, 400 Maryland Avenue
SW, Washington, DC 20202.
Notification procedure: Individuals and organizations which consulted an
EEO counselor or filed a class allegation of discrimination are
aware of that fact. They may write the system manager indicated
above, regarding the existence of such records pertaining to them.
The inquirers, as appropriate, should provide their name, date of
birth, agency in which employed or agency in which the situation
arose if different from employing agency, the approximate date, and
the kind of action taken, when making inquiries about records.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
indentify the record and specify the information to be contested.
Record source categories: (a) Individual to whom the record pertains;
(b) Department or other officials;
(c) Statements from employees or other witnesses;
(d) Official documents relating to the counseling or class allegation;
and
(e) Correspondence from specific organizations or persons.
18-11--0010
System name: Employee Alcoholism, Drug Abuse and Emotional
Problem Counseling and Referral Records, ED-ASM-DASHR-OPRM.
Security classification: None.
System location: ED personnel offices or designated offices performing
counseling functions for employees in organizational units serviced
by these personnel offices.
Categories of individuals covered by the system: Department employees
who have been counseled for work adjustment, personal or emotional
health problems and/or the abuse of alcohol or drugs.
Categories of records in the system: This system contains records of
employees who have been referred but not counseled; records of
employees who have been counseled for work adjustment, personal or
emotional problems, and/or alcohol or drug abuse; and records of
members of employees' families who have been counseled. Examples of
information which may be found in this record system include the
employee's name, SSN, date of birth, grade, job series, job title,
leave record, service computation date, home address, home phone
number, supervisor's name, name and address of the individual's
personal physician, social history, educational background, and
performance appraisals. Other documents which may also be found in
the counselor's file are notes made by the counselor, copies of
admonishments and reprimands received by the employee, and a record
of the supervisor's referral (if the employee was referred by the
supervisor).
Authority for maintenance of the system: 44 U.S.C. 3101, 42 U.S.C. 4561,
21 U.S.C. 1180, and 5 U.S.C. 7901.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: In unusual circumstances, it
may be appropriate to disclose information from this system of
records. The Department of Justice or other appropriate Federal
agencies in defending claims against the United States when the
claim is based upon an individual's mental or physical condition and
is alleged to have arisen because of activities of components of the
Department in connection with such individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Such disclosure will be restrictively made; in
particular, disclosures of information pertaining to an individual
with a history of alcohol or drug abuse will be limited in
compliance with the restrictions of the Confidentiality of Alcohol
and Drug Abuse Patient Records regulations, 42 CFR part 2. Also, the
Department may disclose a record for the purposes described in item
7 of Appendix B of the Departmental Regulations (34 CFR part 5b).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Employee records are maintained in file folders and on index
cards.
Retrievability: Records are filed by name or by case number cross
indexed with the employee's name. The records are used to document
the nature of the individual's problem and progress and when
necessary to refer individuals to appropriate community or private
resources for treatment or rehabilitation. Anonymous information
from these records may also be used to produce summary descriptive
statistics and analytical studies in support of the funtions for
which the records are collected and maintained.
Safeguards: During the employment of the individual, records are
maintained in confidential files separate from the Official
Personnel Folder and are located in lockable metal containers or in
secured rooms with access limited to those whose official duties
require access. Disclosure of the contents of records which pertain
to an individual's alcohol or drug abuse is restricted under the
provisions of the Confidentiality of Alcohol and Drug Abuse Patient
Records regulations, 42 CFR part 2, as authorized by 21 U.S.C. 1175
and 42 U.S.C. 4582, as amended by Pub. L. 93-282.
Retention and disposal: Records are retained until 3 years after the
individual has ceased contact with the counselor, or until the
individual leaves the Department, and are then destroyed.
System manager(s) and address: The Personnel Officer servicing the
installation in which counseling was provided.
Notification procedure: Inquiries should be addressed to the system
manager at the office where counseling was provided. Individual
should provide name, grade, organization in which employed, date of
birth, and location and approximate date of counseling. When
applicable, the special procedures for access to medical records
will be followed. An individual who requests notification of or
access to a medical/dental record shall, at the time the request is
made, designated in writing a responsible representative who will be
willing to review the record and inform the subject individual of
its contents at the representative's discretion. When the records
pertain to an individual's alcohol or drug use, the procedures in 42
CFR 2.40 will also be followed.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is: (1)
Supplied directly by the individual, or (2) supplied by a member of
the individual's family, or (3) derived from information supplied by
the individual, or (4) supplied by sources to whom the employee has
been referred for assistance, or (5) supplied by Department
officials, or (6) supplied by program counselors.
18-11-0011
System name: Employee Appraisal Program Records, ED/ASM/DASHR/
DPRM.
Security classification: None.
System location: Personnel offices shown in Applicants for Employment
Records, ED System 18-11-0007, and operating offices in
organizational units serviced by those personnel offices.
Categories of individuals covered by the system: Current Federal
employees of the Department.
Categories of records in the system: This system contains information
which includes employee's name, SSN, employing organization, grade,
title, series, and materials relating to the evaluations of
employee's performance.
Authority for maintenance of the system: 5 U.S.C. 4302, 5 U.S.C. 3301, 5
U.S.C. 3302; Executive Order 10577.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
may be used:
(1). By the Office of Personnel Management, Merit Systems Protection
Board (including its Office of the Special Counsel), Equal Employment
Opportunity Commission, and the Federal Labor Relations Authority
(including the General Counsel of the Authority and the Federal
Service Impasses Panel) in carrying out their functions;
(2). Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
(3). In the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to directly affect the operations of the Department or any of
its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to enable
that Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
(4). The Department may disclose a record for the purposes described
in Appendix B of the Departmental Regulations, 34 CFR part 5b,
Appendix B items (1), (3), (4), (5), (6), (7), (8), (9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders, on magnetic tape, and
on punch cards.
Retrievability: Records are retrievable by name or social security
number. They may be used as a basis for reduction-in-force, adverse
actions, decisions regarding retention of employees during
probationary period, recognition, promotions, reassignments and
other personnel actions compatible with the purpose for which the
record was collected.
Safeguards: Access to and use of these records are limited to those
persons who official duties require such access.
Retention and disposal: Appraisals and satisfactory rating are retained
until a new appraisal or rating is issued, 2 years have elapsed, or
the individual leaves the Department, and are then destroyed.
Unsatisfactory and outstanding rating are filed in the Official
Personnel Folder which is retained until the individual leaves the
Department.
System manager(s) and address: Personnel Officers.
Notification procedure: Personnel officers. Employee should provide
name, social security number and organization in which employed.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is
provided by the individual, derived from information supplied by the
individual or supplied by Department officials.
18-11-0012
System name: Executive Development Records System, ED/ASM/OPRM.
Security classification: None.
System location: Office of Personnel Resource Management, Division of
Executive Resources, Department of Education, Washington, DC 20202.
Categories of individuals covered by the system: All Senior Executive
Service, supergrade employees (GS-16-18) and equivalents, and
participants in SES Candidate Program.
Categories of records in the system: The Executive Development Records
System consists of a variety of records relating to an employee's
applications for, and participation in, the executive development
program. In addition to the employee's name, the system contains the
employee's title, grade and salary, Social Security Account Number,
organization in which employed, date of entry into the Executive
Development Program, training needs while participating in the
program, individual's development plan, basis for participation in
the Executive Development Program.
Authority for maintenance of the system: 5 U.S.C. 4101 et. seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in this system
of records is used: (a) By the Office of Personnel Management, Merit
Systems Protection Board (including its Office of the Special
Counsel), Equal Employment Opportunity Commission, and the Federal
Labor Relations Authority (including the General Counsel of the
Authority and the Federal Service Impasses Panel) in carrying out
their functions, (b) Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Also, the Department may disclose
a record for the purposes described in Appendix B of the
Departmental Regulations (34 CFR part 5b, Appendix B, items 1, 3, 4,
5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Information in this system of records is maintained in file
folders, magnetic tape, punch cards, and forms.
Retrievability: Records are indexed by name and Social Security Account
Number. Records are use by operating officials in carrying out their
personnel management responsibilities. They may be used by those
officials in connection with promotions, transfer or reassignment of
the individual and as base for preparing management, budgetary or
statistical reports to support organizational planning or manpower
utilization studies.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: Records of an unsuccessful applicant are
retained for 60 days after notification that he or she was not
selected for participation, and are then destroyed. Records of a
participant are retained for 5 years after the individual has ceased
to participate in the program, and are then destroyed.
System manager(s) and address: Office of Personnel Resource Management,
Division of Executive Resources, Department of Education,
Washington, DC 20202.
Notification procedure: Contact system manager. Individuals should
include their name, grade, title, and organization when contacting
the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is: (1)
Supplied directly by the individual, or (2) derived from information
supplied by the individual, or (3) supplied by Department officials.
18-11-0014
System name: Grievances Filed Under the Informal Grievance
Procedures, ED/ASM/OPRM/Support Service Division.
Security classification: None.
System location: Personnel offices, or office of the immediate
supervisors and the first officials within the Department excluding
the immediate supervisor, with line authority to decide on the
matter grieved.
Categories of individuals covered by the system: Department employees
individually or as a group who have requested personal relief in a
matter of concern or dissatisfaction which is subject to the control
of Department management.
Categories of records in the system: Information or documents relating
to the grievance and personal relief sought, documented materials
used in consideration of the grievance, and correspondence related
to disposition of the grievance.
Authority for maintenance of the system: 5 U.S.C. 1302, 3301, 3302;
Executive Order 10577.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in this system
of records may be used: (a) By the Office of Personnel Management,
Merit Systems Protection Board (including its Office of the Special
Counsel), Equal Employment Opportunity Commission, and the Federal
Labor Relations Authority (including the General Counsel of the
Authority and the Federal Service (Impasses Panel)) in carrying out
their functions. Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determined that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee is his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Departmnt to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Also, the Department may disclose a record for the
purposes described in the Departmental Regulations (34 CFR part 5b,
Appendix B, items 1, 3, 4, 5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in file folders, binders and index
cards for supervisors.
Retrievability: For supervisors, records are indexed by name of
individual filing the grievance. For personnel office, records are
indexed by order of receipt and organization. Records are used to
consider and resolve informal grievances and to provide background
data to further consideration of grievances if later pursued through
formal grievance procedures.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: Records are retained for 3 years after the
grievance case is closed, and are then destroyed.
System manager(s) and address: Heads of personnel offices which service
organizational units in which employees who submit informal
grievances are located.
Notification procedure: Individuals who have filed grievances are aware
of that fact and have been provided information in writing
concerning the disposition of the grievance. They may contact the
official who signed the written notice, or the System Manager
indicated above. They should provide their name, organization in
which employed and date of birth and approximate date of the filing
of the informal grievance.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is: (1)
Supplied directly by the individual, or (2) derived from information
supplied by the individual, or (3) supplied by testimony of
witnesses, or (4) supplied by union officials, or (5) supplied by
Department officials.
Systems exempted from certain provisions of the act: None.
18-11-0015
System name: Grievance Records Filed Under Procedures
Established by Labor-Management Negotiations.
Security classification: None.
System location: ED personnel offices and offices of operating officials
in organizational units serviced by those personnel offices.
Categories of individuals covered by the system: Current Federal
employees of the Department covered by a collective bargaining
agreement.
Categories of records in the system: This system of records consists of
a variety of records relating to an employee's grievance filed under
procedures established by labor-management negotiations. Examples of
information which may be included in this system of records are the
employee's name, SSN, grade, job title, testimony of witnesses,
material placed into the record to support the decision, the
arbitrator's decision, the arbitrator's report, and a record of an
appeal to the Field Labor Relations Authority.
Authority for maintenance of the system: Title 5, United States Code,
Chapter 71.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in this system
may be released to:
(1) The Office of Personnel Management, Merit Systems Protection Board
(including its Office of the Special Counsel), and the Equal
Employment Opportunity Commission in carrying out their functions.
(2) In accordance with Departmental Regulations, (34 CFR part 5b,
Appendix B. See Items 01, 3, 4, 5, 6, 7, 8, 9 ).
(3) The Department of Labor.
(4) The Federal Labor Relations Authority including the General
Counsel of the Authority and the Federal Service Impasses Panel.
(5) Disclosure may be made to a Congressional office from the record
of an individual in response to an inquiry from the Congressional
office made at the request of that individual.
(6) In the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to directly affect the operations of the Department or any of
its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to enable
that Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders.
Retrievability: Records are retrievable by file number. They are used to
make a determination on and to document a decision made on a
grievance filed by an employee under the negotiated grievance
procedures. Information from this system may be used by Department
officials for preparing statistical summary or management reports.
Safeguards: Records maintained by management are stored in secured rooms
with access limited to those whose official duties required access.
Retention and disposal: As negotiated by the local parties to the
contract.
System manager(s) and address: ED Personnel Offices who service the
organizational unit in which the individual is employed.
Notification procedure: Contact system manager. Individuals should
include their name, grade, title and organizational unit when
contacting the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is: (1)
Supplied directly by the individual, or (2) derived from information
supplied by the individual, or (3) supplied by testimony of
witnesses, or (4) supplied by union officials, or (5) supplied by
Department officials.
Systems exempted from certain provisions of the act: None.
18-11-0018
System name: Personnel Records in Operating Offices, ED/ASM/
OPRM.
Security classification: None.
System location: Operating Offices of the Department at the
organizational level of the individual's employment. Such offices
are located within organizational components serviced by ED
personnel offices.
Categories of individuals covered by the system: Current employees of
the Department.
Categories of records in the system: This system consists of a variety
of records relating to personnel actions and determinations made
about an individual while employed. These records may contain
information about an individual relating to name, birth date, home
address; telephone number, emergency address; social security
number, veterans preference; tenure; work connected injuries;
handicapped code; employment history; qualifications background;
past and present salaries, grades and position titles; training;
awards and other recognition; counseling; performance appraisal;
conduct; pay and leave; and data documenting reasons for personnel
actions, decisions or recommendations made about an employee; and
background data and documentation leading to an adverse action being
taken against an employee.
Authority for maintenance of the system: 5 U.S.C. 1302, 2951, 4118,
4308, 4506, 7501, 7511, 7521 and Executive Order 10561.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
may be used: (1) By the Office of Personnel Management Merit Systems
Protection Board (including its Office of the Special Counsel),
Equal Employment Opportunity Commission, and the Federal Labor
Relations Authority (including the General Counsel of the Authority
and the Federal Services Impasses Panel) in carrying out their
functions; (2) In the event an appeal is made outside the
Department, records which are relevant may be referred to the
appropriate agency charged with rendering a decision on the appeal;
(3) Disclosure may be made to a Congressional office from the record
of an individual in response to an inquiry from the Congressional
office made at the request of that individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enagble that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. In addition, the Departmental may disclose a record for
the purposes described in the Departmental Regulations (34 CFR part
5b, Appendix B, items 1, 3, 4, 5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders, magnetic tape, and
index cards.
Retrievability: Records are indexed by any combination of name, birth
date, social security number, or identification number. Records are
used by operating officials in carrying out their personnel
management responsibilities. They may be used in this connection in
recommending or taking personnel actions such as are related to
appointments, transfers, promotions, reassignments, adverse actions
as a base for employee development, training, recognition,
reprimands, and disciplinary actions; for making decisions on
employee complaints; and as a base for staffing and budgetary
planning and control, organizational planning, and for manpower
utilization purposes, and for preparing statistical or summary
reports. They may be used by appropriate officials in making
decisions on grievance appeals and adverse actions.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require access.
Retention and disposal: Records are retained until there is no further
administrative need to retain them, or the individual leaves the
Department, and are then either destroyed, or, if appropriate, are
combined with the Official Personnel Folder, which is fowarded to
the National Personnel Records Center.
System manager(s) and address: Personnel Officers of the Department: 400
Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Immediate supervisors of individuals or the
administrative offices of the organizational units in which
employed. The system manager shown above may also provide further
information concerning the existence of this system of records.
Individuals should provide their name, social security number, and
organization in which employed.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Information in this system of records either
comes from the individual to whom it applies, is derived from
information supplied by the individual, or is provided by Department
officials.
Systems exempted from certain provisions of the act: None.
18-11-0019
System name: Special Employment Programs, ED/ASM/OHRI.
Security classification: None.
System location: ED Personnel Offices and operating offices in
organization units serviced by those personnel offices in which
employees are employed.
Categories of individuals covered by the system: Current Federal
employees of the Department and outside applicants eligible for
participation in special employment programs.
Categories of records in the system: This system consists of a variety
of records relating to an employee's participation in special
employment programs such as the Upward Mobility College, Career
Advancement Program (Upward Mobility), Cooperative Education,
Veterans Readjustment Appts., Student Volunteers, HEW Fellows,
Management Intern, PMI, Education Policy Fellows, White House
Fellows, President's Executive Exchange Program, FEORP, and
Selective Placement for Handicapped and Disabled Veterans. Examples
of information which this records system may contain include the
employee's name, SSN, program enrolled in, employing agency, grade,
job title, job series, sex, date of birth, status, education
background, handicap code, application for employment, position
description, assignment evaluations. Veterans preference, job
counseling records, letters of reference and recommendations,
medical documentation, and training documentation, IDP ethnic
background.
Currently have people in these programs who transferred into the
Department even though these are not Department of Education programs.
Authority for maintenance of the system: 5 U.S.C. 1301, 3301, 7151 et.
seq.; Executive Order 11813.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in this system
may be used: (1) By the Office of Personnel Management, Merit
Systems Protection Board (including the General Counsel of the
Authority and the Federal Service Impasses Panel) in carrying out
their functions. (2) Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Also, disclosures may be made for
the routine uses contained in Departmental Regulations (34 CFR part
5b, Appendix B, items 1, 3, 4, 5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Information in this system of records is maintained in file
folders, data tape, and punch cards.
Retrievability: Records are retrievable by name and SSN. Records are
used by personnel offices and operating officials to monitor the
progress of the individual in the special program, for career
planning, and for taking personnel actions.
Safeguards: Access and use of these records are limited to those persons
whose official duties require access.
Retention and disposal: Records are retained for two years after the
individual's participation in a special placement program ends, and
are then destroyed.
System manager(s) and address: ED Personnel Offices who service
organizational units in which the participant is employed: 400
Maryland Avenue SW, Washington, DC 20202.
Notification procedure: Contact system manager. Individuals should
include their name, SSN, grade, title, and organization when
contacting the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the system manager and reasonably
identify the record and specify the information to be contested.
Record source categories: Information in this system of records is: (1)
Supplied directly by the individual, or (2) derived from information
supplied by the individual, or (3) supplied by Department officials.
18-11-0020
System name: Suitability for Employment Records, ED/ASM/DASHR/
OPRM/DPIA.
Security classification: None.
System location: ED Personnel offices and operating offers in
organizational units serviced by those personnel offices in which
employees are employed.
Categories of individuals covered by the system: Federal employees of
the Department and applicants for employment.
Categories of records in the system: This system consists of a variety
of records relating to an individual's suitability for employment in
terms of character, reputation and fitness, including letters of
reference, responses to pre-employment inquiries; National Agency
Checks and Inquiries material received from the Office of Personnel
Management and Merit Systems Protection Board including the Office
of the Special Counsel relating to non-sensitive position
qualifications and character investigations, and other information
which may relate to the suitability of the individual for the
position.
Authority for maintenance of the system: 5 U.S.C. 3301, 3302, 7301;
Executive Order 10577; Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in the records
may be used: (a) By the Office of Personnel Management, Merit
Systems Protection Board (including its Office of the Special
Counsel), Equal Employment Opportunity Commission, and the Federal
Labor Relations Authority (including the General Counsel of the
Authority and the Federal Service Impasses Panel) in carrying out
their functions; (b) Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Also, disclosures may be made for
purposes in Appendix B of the Departmental Regulations (34 CFR part
5b, Appendix B, items 1, 3, 4, 5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders.
Retrievability: Records are indexed by any combination of name, date of
birth, Social Security Number, or identification number. Information
in these records is used by designated appointing and selecting
authorities to determine an individual's suitability for employment
by consideration of factors present in such records.
Safeguards: Records are maintained in confidential files and are located
in lockable metal file cabinets or in metal file cabinets in secured
rooms with access limited to those whose official duties require
access.
Retention and disposal: Records from the Office of Personnel Management
and Merit Systems Protection Board including its Office of the
Special Counsel concerning applicants for or incumbents of non-
sensitive positions, are retained until a decision is reached on
whether to hire or retain the applicant or incumbent, and are then
destroyed. Other records in this system are retained until there is
no further administrative need for them, the individual leaves the
Department, or one year has elapsed, and are then destroyed.
System manager(s) and address: Heads of personnel offices which service
organizational units in which individual is employed or in which he/
she applied for employment.
Notification procedure: Same as above. Individuals should indicate name,
social security number, date of birth, and organization in which
employed, or to which they applied for employment.
Record access procedures: Current Department employees or applicants
should contact the appropriate system manager. Former Department
employees who are employed by the Federal Government who wish to
gain access or contest the records maintained on them while employed
by the Department should contact the appropriate official of their
current employing agency in accordance with the appropriate records
system notice of that agency. Former Department employees who have
separated from Federal service should direct a request to: National
Personnel Records Center, General Services Administration, 111
Winnebago Street, St. Louis, Missouri 63118.
Requesters should also reasonably specify the record contents being
sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Information contained in the system is
obtained from these sources:
Applications and other personnel and security forms furnished by the
individual.
Information furnished by other Federal agencies.
Information provided by sources such as employers, schools,
references, former employers.
Systems exempted from certain provisions of the Act:
Individuals will be provided with information from the above record
system except when in accordance with the provisions of 5 U.S.C.
552a(k)(5); (1) disclosure of such 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) if the information was obtained prior to the
effective date of Section 3, Pub. L. 93-579, disclosure of such
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. (34 CFR 5b.11)
18-11-0022
System name: Volunteer EEO Support Personnel Records, ED/ASM/
EEOS.
Security classification: None.
System location: Office of the Director, Equal Employment Opportunity
Staff, 400 Maryland Avenue SW, Room 2117, Washington, DC 20202.
Categories of individuals covered by the system: Individuals who have
volunteered or have been proposed for duty as EEO counselors and
discrimination complaint investigators on a part-time basis.
Categories of records in the system: This system of records contains
information or documents concerning personal characteristics of EEO
counselors and investigators. The records consist of the name and
other identifying data, title, location, training received,
information concerning qualifying background, case assignments, and
evaluations of EEO counselors and investigators serving on a part-
time basis, and related information.
Authority for maintenance of the system: Executive Order 11478, Pub. L.
92-261, Pub. L. 93-259.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: These records and
information in the records may be used: (a) To provide resource to
another Federal agency, in response to its request for loan of
investigators or counselors, (b) by the Office of Personnnel
Management, Merit Systems Protection Board (including its office of
the Special Counsel), Equal Employment Opportunity Commission, and
the Federal Labor Relations Authority (including the General Counsel
of the Authority and the Federal Service Impasses Panel) in carrying
out their functions, (c) Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Also, disclosure may be made for
purposes found in the Departmental Regulations (34 CFR part 5b,
Appendix B, items 1, 3, 4, 5, 6, 7, 8, 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders, binders and index
cards.
Retrievability: These records are indexed by the names of the
individuals on whom they are maintained. They may be used: For
identification, location and determination of availability of
volunteer counselors and investigators for assignment to counsel
complainants and to investigate complaints; to respond to inquiries
regarding availability of counselor resources or determination
regarding location and the jurisdictional propriety of an
investigator resource; for determining training needs of EEO
counselors and investigators; to provide information for production
of summary descriptive statistics and analytical studies in support
of the function for which the records are collected and maintained,
or related personnel management functions or manpower studies; and
to locate specific individuals for personnel research or other
personnel management functions.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require access.
Retention and disposal: The records are maintained up to one year after
volunteer has terminated his services, at which time they are
destroyed.
System manager(s) and address: Director, EEO Staff, 400 Maryland Avenue
SW, Room 2117, Washington, DC 20202.
Notification procedure: Individuals who have volunteered or been
proposed as counselors or investigators are aware of that fact and
the information contained in the record. They may, however, write
the Director, EEO Staff indicated regarding the existence of records
pertaining to them. The inquirers, as appropriate, should provide
their name, agency in which they were proposed or served when making
inquiries about records.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: (a) Individuals to whom the record pertains.
(b) Department or other officials.
(c) Official documents relating to appointments and case assignments
as counselors and investigators.
(d) Correspondence for specific persons or organizations.
(e) Formal reports submitted by the individual in the performance of
official volunteer work.
Systems exempted from certain provisions of the act: None.
18-11-0023
System name: Unfair Labor Practice Records, ED/ASM/OHR/OPRM/LRS.
Security classification: None.
System location: Personnel Offices of the Department, and offices of
operating officials in organizational units serviced by those
personnel offices.
Categories of individuals covered by the system: Current ED employees
and union officials.
Categories of records in the system: This system of records consists of
a variety of records relating to an unfair labor practice charge.
Examples of information which may be included in this system are the
employee's name, social security number, grade, job title,
employment history and a variety of work and personnel records
associated with the charges and required under proceedings
established by 5 U.S.C. 71 and Department of Labor Regulations.
Authority for maintenance of the system: Title VII, Pub. L. 98-491.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information may be released
to: (1) Office of Personnel Management, Merit Systems Protection
Board (including its Office of the Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Service Impasses Panel) in carrying out their functions. (2)
Disclosure may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional
office made at the request of that individual. (3) In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in file folders.
Retrievability: Records are retrievable by file number. They are used to
make a determination on and to document a decision made on an unfair
labor practice charge filed by an employee or union official.
Information from this system may be used by Department officials for
preparing statistical summary or management reports.
Safeguards: When not in use by authorized persons, these records are
stored in lockable metal file cabinets. Access to and use of these
records are limited to personnel who have a need for the records in
performance of official duties.
Retention and disposal: The case files are maintained as long as they
may be pertinent for purpose of precedent or as management
information devices. When no longer useful for these purposes, they
are destroyed.
System manager(s) and address: ED Personnel Officers who service the
organizational unit in which the individual is employed.
Notification procedure: Contact the systems manager and provide name,
approximate date of record, the unfair labor practice charges as
specified by the complainant, and management component in which the
charge was filed.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Information in this system of records is:
(1) Supplied directly by the individual; or
(2) Derived from information supplied by the individual; or
(3) Supplied by testimony of witnesses; or
(4) Supplied by union officials; or
(5) Supplied by Department officials.
Systems exempted from certain provisions of the act: None.
18-11-0025
System name: Employee Suggestion Program Records, ED/OM/DODA.
Security classification:
None.
System location:
This system is located in the Office of the ED Suggestion Officer,
Room 4409, Switzer Building, 330 C Street SW., Washington, DC 20202.
Categories of individuals covered by the system:
Individuals who have made suggestions in ED, and/or suggestions made
by individuals in other Federal Departments requiring an ED
evaluation.
Categories of records in the system:
Suggestions, evaluations of suggestions, names and office addresses of
individuals submitting suggestions; other identifying information, if
provided, such as salary, grade, position title, and social security
number.
Authority for maintenance of the system:
5 USC 4501 et seq.
Purpose(s):
Records in this system are used to control, evaluate, and make award
determinations on employee suggestions.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
To the Office of Personnel Management for information, possible award.
Disclosure may be made to a Congressional office from the record of an
individual in response to an inquiry from the Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in standard sized file cabinets.
Retrievability:
The records are maintained by fiscal year with a sequential identifier
for a particular suggestion. Retrieval by individual employee can only
be made by a search of each file.
Safeguards:
Direct access restricted to authorized staff.
Retention and disposal:
Suggestion records are maintained for at least two years, after which
time they are sent to the Federal Record Center.
System manager(s) and address:
ED Suggestion Officer, U.S. Department of Education, Room 4409B,
Switzer Building, Washington, DC 20202.
Notification procedures:
Individuals who have submitted suggestions are aware of the fact and
of any evaluations contained in their record. They may, however, write
the ED Suggestion Officer regarding the existence of records
pertaining to them. The inquirers should provide their names or any
other personal identifiers to be searched when making inquiries about
records.
Record access procedures:
Same as notification procedures. Requester also should reasonably
specify the records content being sought.
Contesting record procedures:
Same as records access procedures.
Records source categories:
Incoming suggestions, responses, evaluations, and awards made, if
applicable.
Systems exempted from certain provisions of the Act:
None.
18-11-0026
System name:
Debarment and Suspension Proceedings under Executive Order (E.O.)
12549, the Drug-Free Workplace Act, and the Federal Acquisition
Regulation
Security classification:
None.
System location:
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, 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.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
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;
Pub. L. 103-355, sec. 2455.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
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 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in file folders in locked file cabinets.
Retrievability:
The records are indexed by the names of the individuals.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
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.
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 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.
Record access procedures:
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.
Contesting record procedures:
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.
Record source categories:
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.
Systems exempted from certain provisions of the act:
None.
18-11-0027
System name: ED Financial Management Information System.
Security classification:
None.
System location:
The Central Registry System (CRS) is managed by the Data Integrity and
Standards Branch, Information Management and Compliance Division,
Information Resources Management Service, U.S. Department of
Education, GSA Regional Office Building 3, Seventh & D Streets, SW.,
room 5624, Washington, DC 20202-4651.
The Primary Accounting System (PAS) and the Education Payment
Management System (EDPMS) are managed by the Accounting and Financial
Management Service, Office of Management and Budget/Chief Financial
Officer, U.S. Department of Education, 400 Maryland Avenue SW., FOB-6,
room 3092, Washington, DC 20202-4246.
The Grants and Contracts Management System (GCMS) is managed by the
Systems Branch, Management Support Division, Grants and Contracts
Service, Office of Human Resources and Administration, U.S. Department
of Education, GSA Regional Office Building 3, Seventh & D Streets SW.,
room 3616, Washington, DC 20202-4653.
Categories of individuals covered by the system:
Employees of the Department, consultants, contractors, grantees,
advisory committee members, and other individuals receiving funds from
the Department for performing services for the Department. Although
EDFMIS contains information about institutions associated with
individuals, the purpose for which the Department collects and
maintains information under this system of records, and its usage of
this information, pertains only to individuals protected under the
Privacy Act of 1974 (5 U.S.C. 552a).
Categories of records in the system:
The EDFMIS contains the following records: Name, address, SSN,
eligibility codes, detailed and summary obligation data, reports of
expenditures, and grant management data, including application and
close out information.
Authority for maintenance of the system:
44 U.S.C. 301.
Purpose(s):
The purpose of the EDFMIS is to maintain financial and management
records associated with the normal operations of the Department.
Records are used for managing grant and contract awards, making
payments, accounting for goods and services provided and received,
enforcing eligibility requirements, conditions in awards and U.S. law
relating to transactions covered by the system, and defending the
Department in actions relating to those transactions. EDFMIS consists
of four subsystems, as follows:
CRS (The Central Registry System): The purpose of CRS is to register
entities with whom the Department conducts business through grants and
contracts. These entities are required to be registered on CRS before
any obligation data is entered into PAS, GCMS, or EDPMS. CRS will also
provide a means for the Department to perform computer matching for
the purpose of determining eligibility for federal programs and
enforcing debarment, suspension, and other exclusionary actions
consistent with the requirements of the Computer Matching and Privacy
Protection Act of 1988.
PAS (The Primary Accounting System): The purpose of the PAS is to
record all obligations of the Department for payment, either by the
EDPMS or by a contractor of the Department. An obligation cannot be
recorded in PAS until the entity receiving payment under the
obligation is validated in the CRS. Once an obligation is recorded in
PAS, PAS sends the obligation information to EDPMS or a contractor for
payment (the contractor does not maintain individually identifiable
information). PAS maintains detailed information about obligations
paid by the contractor and maintains general balance information for
obligations paid directly by the Department through EDPMS.
EDPMS (The Payment Management System): The purpose of the EDPMS is to
disburse funds to grant recipients for certain Department programs
based on obligations received from PAS. Summary payment data are
returned to PAS for recording.
On a monthly or quarterly basis, recipients report each grant's
expenditures to EDPMS. EDPMS shares information with PAS on a daily
basis providing expenditure information for each grant. Payment
information is provided to PAS monthly. Payment information is
retrievable in EDPMS by Taxpayer Identification Number. The TIN for an
individual is the social security number. The name, mailing address
and other characteristic data related to federal procurements, grants
or institutional loans are also maintained.
GCMS (The Grants and Contracts Management System): The purpose of GCMS
is to administer the contracts and grants award process from planning
through closeout. GCMS shares information with PAS in an on-line,
real-time basis. The GCMS maintains a record of grant and contract
awards by the Department, including management information collected
during the award process.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The Department of Education (ED) may disclose information contained 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 under the following routine uses:
(a) Litigation disclosure--(1) Disclosure to the Department of
Justice. If ED determines that disclosure of certain records to 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. Such a disclosure may be made in the event that one of the
parties listed below is involved in the litigation, or has an interest
in such litigation:
(i) ED or any component of the Department; or
(ii) Any employee of ED 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 represent the employee; or
(iv) Any employee of ED in his or her individual capacity where the
agency has agreed to represent the employer; or
(v) The United States where ED determines that the litigation is
likely to affect ED or any of its components.
(2) Other litigation disclosures. If ED determines that disclosure of
certain records to a court, adjudicative body before which ED is
authorized to appear, individual or entity designated by ED or
otherwise empowered to resolve disputes, counsel or other
representative, or potential witness 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
court, adjudicative body, individual or entity, counsel or other
representative, or witness. Such a disclosure may be made in the event
that one of the parties listed below is involved in the litigation, or
has an interest in the litigation:
(i) ED or any component of the Department; or
(ii) Any employee of ED in his or her official capacity; or
(iii) Any employee of ED in his or her individual capacity where the
Department has agreed to represent the employee; or
(iv) The United States where ED determines that litigation is likely
to affect ED or any of its components.
(b) FOIA advice disclosure. In the event ED deems it desirable or
necessary, in determining whether particular records are required to
be disclosed under the Freedom of Information Act or other authority
permitting disclosure of records, disclosure may be made to the
Department of Justice for the purpose of obtaining its advice.
(c) Contract disclosure. ED may disclose information from this system
of records as a routine use to a private firm or contractor with which
ED contemplates it will contract or with which it has contracted for
the purpose of performing any functions or analyses that facilitate or
are relevant to an investigation, audit, inspection, or other inquiry.
Such contractor or private firm shall be required to maintain Privacy
Act safeguards with respect to such information.
(d) Congressional member disclosure. ED may disclose information from
this system of records as a routine use from the record of an
individual in response to a written inquiry from the Member of
Congress made at the written request of that individual; however, the
Member's right to the information is no greater than the right of the
individual who requested it.
(e) Computer matching disclosure. ED may disclose information from
this system of records to a Federal, State, local, or foreign agency,
or other public authority, for use in computer matching programs to
prevent and detect fraud and abuse in programs and activities
administered by the Department, to support civil and criminal law
enforcement activities of any agency regarding those programs and
activities, and to assist in collecting repayment of debts to the
Department.
Disclosure to a consumer reporting agency:
Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): ED may disclose to a
consumer reporting agency information regarding a claim by the
Department which is determined to be valid and overdue as follows: (1)
The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. ED may
disclose the information specified in this paragraph under 5 U.S.C.
552a(e)(4) and the procedures contained in subsection 31 U.S.C.
3711(f). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system.
Storage:
Records are maintained on microfilm, microfiche, disk packs and
magnetic tapes and stored in a retrievable file system.
Retrievability:
Records are indexed by name, or other individual identifier, and TIN.
The records are retrieved by a manual or computer search by indices.
Safeguards:
Direct access is restricted to authorized Department staff performing
official duties. Authorized staff are assigned passwords which must be
used for access to computerized data. Also, an additional password is
necessary to gain access to the system. The system-access password is
changed frequently. The data is maintained in a secured-access area.
Retention and disposal:
Files are regularly updated. Records are maintained for ten years.
Inactive records are purged from the automated file every five years.
System manager(s) and address:
Central Registry System: Chief, Data Integrity and Standards Branch,
Information Management and Compliance Division, Office of Information
Resources Management, Office of Human Resources and Administration,
U.S. Department of Education, GSA Regional Office Building 3, Seventh
& D Street, SW, Room 5624, Washington, DC 20202-4651.
Primary Accounting and Education Payment Management Systems: Director,
Division of Financial Systems and Reporting, Accounting and Financial
Management Service, Office of Management and Budget/Chief Financial
Officer, U.S. Department of Education, 400 Maryland Avenue, SW, room
1175, Washington, DC 20202-4102.
Grants and Contracts Management System: Chief, Systems Branch,
Management Support Division, Grants and Contracts Service, Office of
Human Resources and Administration, U.S. Department of Education, GSA
Regional Office Building 3, Seventh & D Streets, SW, Room 3616,
Washington, DC 20202-4600.
Notification procedure:
If an individual wishes to determine whether a record pertaining to
himself or herself is the system of records, the individual should
provide his or her name and Social Security Number to the appropriate
system manager. Such requests must meet the requirements in the
Department's Privacy Act regulations at 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to a record in this system, he
or she should contact the appropriate system manager and provide
information as described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in the
Department's Privacy Act regulations at 34 CFR 5b.5.
Contesting record procedures:
If an individual wishes to change the content of a record pertaining
to himself or herself that is contained in the system of records, he
or she should contact the appropriate system manager with the
information described in the notification procedure, identify the
specific items requested to be changed, and provide a justification
for such change. A request to amend a record must meet the
requirements in the Department's Privacy Act regulations at 34 CFR
5b.7.
Record source categories:
Information in this system will be obtained from applicants applying
for an ED contract, grant, or loan at the time of application.
Information will also be obtained from ED program offices, employees,
consultants, and others performing personnel services for ED.
System exempted from certain provisions of the act:
None.
18-15-0001
System name: Consultants for Federal Technical Assistance
Program, Vocational Rehabilitation Services, ED/OSERS/RSA.
Security classification: None.
System location: Room 3325, 330 C Street, SW, Washington, DC 20202.
Categories of individuals covered by the system: Technical Assistance
Consultants.
Categories of records in the system: Name, address, education,
experience (general business resume of qualifications).
Authority for maintenance of the system: Pub. L. 93-112, Sec. 12.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper files, standard metal file cabinets.
Retrievability: Indexed alphabetically.
Safeguards: Access limited to RSA staff.
Retention and disposal: Files maintained for two years then retired to
Federal Records Center.
System manager(s) and address: Rehabilitation Program Specialist, Room
3325, 330 C Street, SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be in writing and should be addressed to the System Manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Individuals.
Systems exempted from certain provisions of the act: None.
18-15-0002
System name: Office of Rehabilitation Services Mailing Lists,
ED/OSERS/RSA.
Security classification: None.
System location: Department of Education, Rehabilitation Services
Administration, Room 615, Arcade Plaza Building, 1321 Second Avenue,
Seattle, Washington 98101.
Categories of individuals covered by the system: Providers of
rehabilitation services in Region X, individuals who have requested
that they receive program information, grantees, grant applicants.
Categories of records in the system: Name, address, title, phone
numbers.
Authority for maintenance of the system: Pub. L. 93-112.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congresssional office made at the request of
that individual. In the event of litigation where one of the parties
is (a) the Department, any component of the Department, or any
employee of the Department in his or her official capacity; (b) the
United States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Card files.
Retrievability: Indexed by name. Used by ORS staff to disseminate
program information.
Safeguards: Access by authorized personnel only.
Retention and disposal: Regained indefinitely and updated periodically.
System manager(s) and address: Regional Commissioner, RSA, MS 622,
Arcade Plaza Building, 1321 Second Avenue, Seattle, Washington
98101.
Notification procedure: Any inquiries regarding these systems of records
should be in writing and should be addressed to the System Manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Individuals themselves, from grant
applications.
Systems exempted from certain provisions of the act: None.
18-15-0003
System name: Mailing Keys, ED/OSERS/RSA.
Security classification: None.
System location: Administrative Officer, MES Building Room 3036, 330 C
Street SW, Washington, DC 20202.
Categories of individuals covered by the system: State vocational
rehabilitation agencies (general and blind), rehabilitation
facilities, persons interested in statistics, persons interested in
the deaf.
Categories of records in the system: Names of agency or individual, and
address.
Authority for maintenance of the system: The Rehabilitation Act of 1973
(Pub. L. 93-112) and the Rehabilitation Amendments of 1974 (Pub. L.
93-516).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employees; the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable the Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: IBM Master Cards are stored in file drawers.
Retrievability: These IBM cards are filed by key number, city and State
and zip code.
Safeguards: Only authorized persons allowed access.
Retention and disposal: Maintained as long as necessary and then
destroyed.
System manager(s) and address: Administrative Officer, MES Building,
Room 3036, 330 C Street SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be in writing and should be addressed to the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: From agencies or individuals themselves.
Systems exempted from certain provisions of the act: None.
18-15-0004
System name: Correspondence Files, ED/OSERS/RSA.
Security classification: None.
System location: Administrative Officer, MES Building, Room 3036, 330 C
Street SW, Washington, DC 20202.
Categories of individuals covered by the system: Name and address of
individuals submitting correspondence, responses and exchanges of
information associated with the Federal-State vocational
rehabilitation program.
Categories of records in the system: Name and address of individuals
submitting correspondence, responses and exchanges of information
associated with the Federal-State vocational rehabilitation program.
Authority for maintenance of the system: The Rehabilitation Act of 1973
(Pub. L. 93-112) and the Rehabilitation Amendments of 1974 (Pub. L.
93-516).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Disclosure may be made to an
inquiry from the Congressional office made at the request of that
individual. In the event of litigation, where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in file cabinets.
Retrievability: Congressional correspondence filed by name of
Congressperson. Other correspondence filed in alphabetical order by
name of signer.
Safeguards: Access to authorized individuals only.
Retention and disposal: Inquiry records are maintained five years and
sent to the Federal Records Disposal Center.
System manager(s) and address: Administrative Officer, MES Building,
Room 3036, 330 C Street SW, Washington, DC 20202.
Notification procedure: Any inquiries regarding these systems of records
should be in writing and should be addressed to the system manager.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record being sought.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested.
Record source categories: Incoming correspondence, responses, and
material provided by individual.
Systems exempted from certain provisions of the act: None.
18-20-0001
System name: Fund for the Improvement of Postsecondary
Education; Field Readers to Review Proposals for ED, ED/OPE/FIPSE.
Security classification: None.
System location: Fund for the Improvement of Postsecondary Education,
Room 3123, 400 Maryland Avenue SW, Washington, DC 20202.
Categories of individuals covered by the system: Individuals with
backgrounds and experience in postsecondary education.
Categories of records in the system: Brief personal data sheets.
Authority for maintenance of the system: 20 U.S.C. 1135 and 3462.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For uses in the Departmental
Regulations (34 CFR part 5b, appendix B, items 1 through 8).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders in cabinet.
Retrievability: The file contains names and short resumes of people who
have read for the Fund or who have been suggested as readers, within
the last three years. It is organized by State.
The use of the file is to secure academicians and scholars as readers
to evaluate and make recommendations on FIPSE proposals and as
consultants to review and assess FIPSE projects already in progress.
Safeguards: Administrative use by authorized agency personnel.
Exception: Subject to disclosure requirements of Privacy Act.
Retention and disposal: The file is cleared of inactive resumes at
irregular intervals.
System manager(s) and address: Deputy Director, FIPSE, Room 3123, 400
Maryland Avenue SW, Washington, DC 20202.
Notification procedure: System manager; for general inquiries, name and
date of previous correspondence, if known; for complaint/
investigative material, name and any I.D. number assigned. Address
is same as in preceding paragraph.
Record access procedures: Contact system manager.
Contesting record procedures: Contact system manager.
Record source categories: Information forwarded to FIPSE by individuals
interested in serving as field readers; information obtained by
contacting individuals with specific expertise in postsecondary
education.
Systems exempted from certain provisions of the act: None.
18-40-0002
System name: Registry of Deaf-Blind Children/Regional-National,
ED/OSERS.
Security classification: None.
System location: (See Appendix I--System 18-40-0004).
Categories of individuals covered by the system: Deaf-blind children
enrolled in programs supported by Pub. L. 94-142, Part C or for whom
services are being planned by each State under the 16 regional deaf-
blind centers are indicated in the registry by name, or code as
determined by State and local regulations. The registry contains
information on children by sex, demographic data, and service status
of child.
Categories of records in the system: Name, address, service category,
i.e., service being provided to the child, fiscal data such as
state, local, or Federal funding received by each program under the
regional deaf-blind center.
Authority for maintenance of the system: 20 U.S.C. 1422.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Authorized staff of regional
deaf-blind centers, State and local educational agencies, and
participating agencies for the purpose of planning and developing
appropriate programs to meet short and long term needs of deaf-blind
children have access to statistical aggregate data only through
authorized center staff. Registry data will be coordinated with a
joint national registry in cooperation with the Helen Keller
National Center for Deaf-Blind Youths and Adults. Disclosure may be
made to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Card index, paper files in metal file cabinets in each regional
center office, computer disks and magnetic tapes under management of
one regional center and the National Deaf-Blind Center.
Retrievability: Registries are indexed by name, or code, for each child
reported by programs serving deaf-blind children and maintained only
by the regional center staff. Statistical aggregate data is
available for planning purposes to center staff, regional advisory
committee members, state and local educational agencies,
participating agencies and Helen Keller National Center for Deaf-
Blind Youth and Adults.
Safeguards: Direct access to regional registries is controlled by each
regional center and statistical data are made available only to
authorized officials as indicated under ``Retrievability''. Regional
and national registries maintained under lock and key, and code for
data on computer tapes known only to authorized staff responsible
for their management. Exception: Subject to disclosure requirements
of the Privacy Act.
Retention and disposal: Regional and national registries are maintained
throughout educational and rehabilitation lifetime of the
individual, or removed upon request by parents or the client.
System manager(s) and address: Chief, Deaf-Blind Section/OSERS, Room
3153, Donohoe Building, 400 Maryland Avenue SW, Washington, DC
20202.
Notification procedure: System manager for general inquiries; for
specific information contact regional center serving State in which
child resides. See Appendix I of System 18-40-0004. Provide child's
name and/or any I.D. number or code assigned to regional center.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Parents, referrals by States and participating
agencies serving deaf-blind children, to the regional deaf-blind
center. All data are provided on a voluntary basis.
Systems exempted from certain provisions of the act: None.
18-40-0003
System name: Student Participants in Deaf-Blind Programs under
Centers and Services for Deaf-Blind Children, ED/OSERS.
Security classification: None.
System location: (See Appendix I--System 18-40-0004)
Categories of individuals covered by the system: General intake data
including name and address of child, medical, sociological and
educational data relevent to the child in order to determine child's
needs.
Categories of records in the system: Name, address, general intake data
as described in preceding paragraph, and maintained in file record
of program in which child is enrolled. All information is provided
by consent and knowledge of parents of child.
Authority for maintenance of the system: 20 U.S.C. 1422.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Authorized officials and
staff of immediate program in which child is enrolled, Regional
Center staff for planning short and long term program alternatives
for the child. Disclosure may be made to a Congressional office from
the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly effect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper files stored in file cabinets of individual programs in
which child is enrolled. Only authorized staff have access to
records with approval of administrative official of said program.
Retrievability: Files are indexed by child's name and are retrievable
only by authorized staff of program in which child is enrolled, and
by parent of child.
Safeguards: Files are maintained under lock and key and cannot be
removed without approval of authorized official of program in which
child is enrolled. Exception: Subject to disclosure requirements of
the Privacy Act.
Retention and disposal: Files are maintained as long as child is
enrolled in program. File may follow child as child moves to another
program or State.
System manager(s) and address: Chief, Deaf-Blind Section/OSERS, Room
3151, Donohoe Building, 400 Maryland Avenue, SW, Washington, DC
20202.
Notification procedure: System manager for general inquiries; for
specific information see Appendix I of 18-40-0004. Provide child's
name and/or code number for information regarding specific program
child is enrolled in. Regional Center will provide name and address
from which parent can request specific information.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Parents of child enrolled in program; all data
are provided on a voluntary basis.
Systems exempted from certain provisions of the act: None.
18-40-0004
System name: Parent Participants in Deaf-Blind Programs provided
by Regional Centers for Deaf-Blind Children, ED.
Security classification: None.
System location: (See Appendix I of this System 18-40-0004).
Categories of individuals covered by the system: Parents of deaf-blind
children enrolled in programs provided by Regional Centers for Deaf-
Blind Children.
Categories of records in the system: Name, address, general intake data
as determined by administrative officials of programs in which child
is enrolled. All information requested is provided with knowledge
and consent of the parent.
Authority for maintenance of the system: 20 U.S.C. 1422.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Authorized officials and
staff of immediate program in which child is enrolled to communicate
with parents regarding child's progress. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper files stored in file cabinets of individual program in
which child is enrolled. Only authorized staff have access to
records with approval of administrative official of said program.
Retrievability: Files are indexed by child's name and are retrievable
only by authorized staff of program in which child is enrolled; and,
by parent of child.
Safeguards: Files are maintained under lock and key and cannot be
removed without approval of authorized official of program in which
child is enrolled. Exception: Subject to disclosure requirements of
the Privacy Act.
Retention and disposal: Files are maintained as long as child is
enrolled in program. File may follow child, as child moves to
another program or State.
System manager(s) and address: Chief, Deaf-Blind Section/OSERS, Room
3151, Donohoe Building, 400 Maryland Avenue, SW, Washington, DC
20202.
Notification procedure: System manager for general inquiries; for
specific information see Appendix I of this system (18-40-0004).
Provide child's name and/or code number for information regarding
specific program child is enrolled in. Regional Center will provide
name and address from which parent can request specific information.
Record access procedures: If an individual wishes to gain access to a
record in ths system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Parents of child enrolled in program; all data
are provided in a voluntary basis.
Systems exempted from certain provisions of the act: None.
Appendix I--Programs for Deaf-Blind Children and Youth
Alaska--Program
Alaska State Center for Deaf-Blind Children, 111 Dowling Road,
Anchorage, AK 99502
Colorado--Program
Colorado Department of Education, State Office Building, 201 East
Colfax, Denver, CO 80203
Illinois--Program
Illinois Office of Education, 100 North First Street, Springfield, IL
62777
Ohio--Program
Ohio Department of Education, Division of Special Education, 933 High
Street, Worthington, OH 43085
Pennsylvania--Program
Pennsylvania Department of Education, 236 Union Deposit Mall,
Harrisburg, PA 17111
Texas--Program
Texas Education Agency, 201 East 11th Street, Austin, TX 78701
Washington--Program
Washington State Office, Education School District 121, 1410 South
200th, Seattle, WA 98148
New England Region
Connecticut, Maine, Vermont, Massachusetts, Rhode Island, New
Hampshire, Perkins School for the Blind, 175 North Beacon Street,
Watertown, MA 02172
Mid-Atlantic Region
New Jersey, New York, Delaware, Puerto Rico, Virgin Islands, New York
Institute for Education of the Blind, 999 Pelham Parkway, Bronx, NY
10469 Mountain Range Region:Idaho,Kansas, Montana, Nebraska, New
Mexico, North Dakota, South Dakota, Utah, Wyoming Mountain Range
Regional, 165 Cook Street, Denver, CO 80206
South Atlantic Region
North Carolina, Maryland, Virginia, District of Columbia, West
Virginia, South Carolina, North Carolina Department of Public
Instruction, 327 Hillboro Street, Bunn-Hatch Building, Raleigh, NC
27611
Southeast Region
Alabama, Georgia, Tennessee, Florida, Mississippi, Kentucky, Alabama
Institute for the Deaf-Blind, Box 698, Talladega, AL 35160
Midwest Region
Michigan, Indiana, Wisconsin, Minnesota, Michigan Department of
Education, 5th Floor, Davenport Building, Ottawa and Capitol Streets,
Lansing, MI 48933 South Central Region: Arkansas, Iowa, Louisiana,
Missouri, Oklahoma South Central Regional, Deaf Blind Center, 2930
Turtle Creek Plaza, Dallas, TX 74204
Southwest Region
Arizona, Nevada, California, Guam, Hawaii, Trust Territories,
California Department of Education, 721 Capitol Mall, Sacramento, CA
95814
Appendix II--Programs for Deaf-Blind Youths and Adults
Hellen Keller National Center for Deaf-Blind Youths and Adults, 111
Middle Neck Road, Sands Point, NY 11050
18-40-0005
System name: Participant Waiting List for Projects Serving
Severely Handicapped Children and Youth, ED/OSERS.
Security classification: None.
System location: (See Appendix II--18-40-0006.)
Categories of individuals covered by the system: Severely handicapped
children and youth waiting to be included in services provided by
project.
Categories of records in the system: Name, address, and telephone
numbers of children and youth; student educational, social,
psychological, and relevant medical information.
Authority for maintenance of the system: Education of the Handicapped
Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To State and local
educational agencies for coordinating services to potential
participants; to other relevant State and local public and private
agencies providing services to such potential participants, for
coordination of services; to members of the project advisory boards
and parent-teacher type organizations for coordinating and
augmenting services to potential participants. Disclosure may be
made to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Information is in folders and stored in file cabinets.
Retrievability: File alphabetically by potential student surname.
Records are cross indexed with listings of students by county/
district. Records are available to project staff involved in
planning for services to be provided.
Safeguards: Direct access is restricted to authorized project staff;
access to room in which file cabinets are maintained is limited
during nonworking hours to those with keys to room. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Student files are maintained in potential
student category until the enrollment of a student, or for two years
following possible enrollment age of student. Disposal--records put
into trash.
System manager(s) and address: Chief, Special Needs Section/OSERS, Room
3135, Donohoe Building, 400 Maryland Avenue, SW, Washington, DC
20202.
Notification procedure: System manager; for general inquiries, provide
name and possible matriculation date of student. Address is project
director as cited in Appendix II (18-40-0006).
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Names and addresses referred from public and
private educational and health agencies. Student information
provided through review of records available on potential students
from other public and private agencies.
Systems exempted from certain provisions of the act: None.
18-40-0006
System name: Participants of Projects Serving Severely
Handicapped Children and Youth, ED/OSERS.
Security classification: None.
System location: (See Appendix II of this system (18-40-0006.)
Categories of individuals covered by the system: Severely handicapped
children and youth participating in Special Services Branch-funded
projects, and the parents of these children and youth.
Categories of records in the system: Name, address, and telephone
numbers of children, youth and their parents; student educational,
social, psychological and relevant medical information; student
attendance, progress and testing records.
Authority for maintenance of the system: 44 U.S.C. 3701.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To State and local
educational agencies for coordinating services to participants; to
other relevant State and local public agencies providing services to
such participants; for coordination of services to them; to members
of project advisory boards and parent-teacher type organizations for
coordinating and augmenting services to participants. Disclosure may
be made to a Congressional office from the record of an individual
in response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper files maintained in standard file cabinets.
Retrievability: Filed alphabetically by student/parent surname. Records
are cross-indexed with listings of students by county/school
district. Records are available to project staff involved in the
provision of services to the students/parents. Occasionally,
personnel in State and local educational departments may be given
some information from the files for the purpose of coordinating and
strengthening services to the students/parents.
Safeguards: Direct access is restricted to authorized project staff;
access to room in which file cabinets are maintained is limited
during non-working hours to those with keys to room. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Student and parent files are maintained for two
years following the participation of a student. Disposal--records
put into trash.
System manager(s) and address: Chief, Special Needs Section/OSERS, Room
3135, Donohoe Building, 400 Maryland Avenue, SW, Washington, DC
20202.
Notification procedure: System manager; for general inquiries, name and
matriculation dates of students. Address is project director as
cited in Appendix II of this system (18-40-0006).
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Names and addresses referred from public and
private educational and health agencies. Student information
provided through review of records of students previously receiving
services from other agencies.
Systems exempted from certain provisions of the act: None.
Appendix II--Program for Severely Handicapped Children and Youth
Alabama
Alabama Institute for Deaf-Blind, PO Box 698, Talladega, AL 35160
California
Bay Area Severely Handicapped Deaf-Blind Project, Bryant--Sunshine
School, San Francisco, CA 94110
Frederic Burk Foundation for Education at San Francisco State
University, 1640 Holloway Avenue, San Francisco, CA 94132
Hawaii
University of Hawaii, Department of Special Education, 1776 University
Avenue, Honolulu, HI 96822
Illinois
Northern Illinois University, Dekalb County, IL 60115
Institute for the Study of Developmental Disabilities, University of
Illinois at Chicago Circle, Chicago, IL 60680
Kansas
Bureau of Child Research, University of Kansas, Parson Research,
Parson, KS 67357
Massachusetts
Perkins School for the Blind, Deaf-Blind Program, 175 North Beason
Street, Watertown, MA 02171
Missouri
Department of Special Education, University of Missouri--Columbia, 515
South Sixth Street, Columbia, MO 65211
New Jersey
Educational Testing Service, Rosedale Road, Priceton, NJ 08541
New York
Cantalican Center for Learning, 3233 Main Street, Buffalo, NY 14214
Deafness Research and Training Center, 80 Washington Square East, New
York, NY 10003
North Carolina
University of North Carolina at Chapel Hill, Division TEACCH,
Department of Psychiatry, Chapel Hill, NC 27514
Oklahoma
Project SPARK, Baptist Med. Center/Nat'l Assn. for D-B, Oklahoma City,
OK 73116
Oregon
Oregon Research Institute, 195 West 12 Avenue, Eugene, OR 21230
Specialized Training Program, 1590 Willamette Street, Eugene, OR 97401
Teaching Research, Division of Oregon State System of Higher
Education, Monmouth, OR 97361
Deaf-Blind Youths, Teaching Research, Division of Oregon State System
of Higher Education, Monmouth, OR 97361
Rhode Island
Easter Seal Society of Rhode Island, Inc., 667 Waterman Avenue, East
Providence, RI 02914
Tennessee
George Peabody College, PO Box 36, Nashville, TN 73203
Texas
Education Service Center, Region No. 20, 1314 Hines Avenue, San
Antonio, TX 78208
Vermont
University of Vermont, Center for Developmental Disabilities, 499 C
Waterman Building, Burlington, VT 05405
Washington
University of Washington, College of Education, Seattle, WA 98195
Lake Washington, School District, Kirkland, WA 98033
Wisconsin
University of Wisconsin, Department of Behavorial Disabilities, 427
Education Building, Madison, WI 53706
18-40-0007
System name: Participants in Workshops Concerning Severely
Handicapped Children and Youth, ED/OSERS/OSE.
Security classification: None.
System location: Room 3135, Donohoe Building, 400 Maryland Avenue, SW,
Washington, DC 20202.
Categories of individuals covered by the system: Professionals and non-
professionals attending OSE sponsored or supported national and
regional workshops which deal with severely handicapped children and
youth.
Categories of records in the system: Name and address of workshop
participants.
Authority for maintenance of the system: 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To national organizations of
professionals working with severely handicapped children and youth
for sharing of information and coordination of activities; to State
and local educational agencies directing attention to this special
field of services. Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department of any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agree to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File cabinet storage, paper files.
Retrievability: Indexed and filed by name of conference-workshop
location of conference, and topic(s) discussed. Cross-indexed by
name of participant in alphabetical listings.
Safeguards: Direct access is restricted to authorized program staff;
access to room in which file cabinets are maintained is limited
during non-working hours to those with passes to building.
Exception: Subject to the disclosure requirements of the Privacy
Act.
Retention and disposal: Workshop Participants files are maintained for
two years following the completion of a conference/workshop.
Disposal--records put into trash.
System manager(s) and address: Chief, Special Needs Section/BEH, Room
3135, Donohoe Building, 400 Maryland Avenue, Washington, DC 20202.
Notification procedure: System manager; for general inquiries, name and
address of participant. Address is Program Officer, in preceding
paragraph.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Names and addresses obtained from the
participants attending national or regional meetings concerning
severely handicapped children and youth.
18-40-0009
System name: Selective Service Registration Compliance File, ED/
OPE/OSFA.
Security classification:
None.
System location:
Room 4318, ROB No. 3, 7th and D Streets SW, Washington, DC 20202.
Categories of individuals covered by the system:
Recipients of student financial assistance under Title IV of the
Higher Education Act of 1965, as amended, who indicate that they are
registered with the Selective Service System on the Statement of
Registration Compliance.
Categories of records in the system:
Name, Social Security number, and date of birth of students who have
indicated in the Statement of Registration Compliance that they are
registered with the Selective Service System.
Authority for maintenance of the system:
50 U.S.C. App. 462.
Purpose(s):
This system of records will be used to evaluate the degree of student
compliance with the Selective Service Registration requirement. This
compliance data is used to determine if the requirement that
institutions document the Selective Service registration status of
students who receive financial assistance under Title IV of the Higher
Education Act of 1965, as amended, should be modified.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
This information will be furnished to the Director of the Selective
Service System to verify compliance with 50 U.S.C. App. 462, as
amended September 8, 1982. Disclosure of information in this system of
records may be made to a Congressional office from the record of an
individual in response to an inquiry from the Congressional office
made at the request of that individual. In the event of litigation
where one of the parties is--
(a) The Department, any component of the Department, or any employee
of the Department in his or her official capacity;
(b) The United States where the Department determines that the claim,
if successful, is likely to directly affect the operations of the
Department or any of its components; or
(c) Any Department employee in his or her individual capacity where
the Department of Justice has agreed to represent such employee, the
Department may disclose such records as it deems desirable or
necessary to the Department of Justice to enable that Department to
effectively represent such party, provided such disclosure is
compatible with the purpose for which the records were collected.
Also, the Department may disclose a record for the purposes described
in the Department's Privacy Act regulations (34 CFR part 5b, appendix
B, items, 1, 3, 4, 5, 6, 8, and 9).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy. The database used to generate
this system of records will be maintained on a microcomputer.
Retrievability:
Records are indexed by name and Social Security number.
Safeguards:
Hard copy files are maintained in locked cabinets. The microcomputer
database will only be accessible through the use of a password and
will be archived. Access is restricted to authorized staff in the
performance of official duties.
Retention and disposal:
Records will be retained for one year after conclusion of the study,
and then destroyed.
System manager(s) and address:
Director, Division of Policy and Program Development, Office of
Postsecondary Education, Department of Education, Room 4100, ROB-3,
7th and D Streets SW, Washington, DC 20202.
Notification procedure:
An individual may ask the system manager whether or not the system
contains a record pertaining to him. The individual must provide his
name or Social Security number to the system manager. The request must
meet the requirements contained in 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to a record in this system, he
or she should contact the system manager and provide information as
described in the notification procedure.
Contesting record procedures:
If an individual wishes to change the content of a record in the
system of records, he or she should contact the system manager with
the information described in the notification procedure, identify the
specific items to be changed, and provide a written justification for
the change with a photocopy of the signed Statement of Registration
Compliance. The request must meet the requirements contained in 34 CFR
5b.7.
Record source categories:
Student Aid Reports and other financial aid documents bearing the
student's signed Certification of Registration Compliance.
Systems exempted from certain provisions of the act:
None.
18-40-0010
System name: Law Enforcement Education System, ED/OPE/OSFA.
Security classification: None.
System location: 3661, GSA Building, 7th & D Streets, SW, Washington, DC
2020; Room 4003, 425 I Street NW, Washington, DC 20530.
Categories of individuals covered by the system: Recipients of LEAA Law
Enforcement Education Loans and Grants.
Categories of records in the system: LEEP Master Computer File; LEEP
Promissory Note File; LEAA Form 03.
Authority for maintenance of the system: The system is established and
maintained under 42 U.S.C. 3775.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To contracts for categories
and statistical analysis, educational institutions for record
reconciliation, IRS and references listed on application for address
verification, references in bankruptcy for claim action, State and
local agencies to verify eligibility.
Release of information to the news media: When the Members or staff
requests the information on behalf of, and at the requests of, the
individual who is the subject of the record.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the authority
of 44 U.S.C. 2984 and 2996.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:Information maintained in the system is stored on computer
magnetic tape and folders.
Retrievability:Information is retrievable by name of recipient and
social security number.
Safeguards:Computerized information is safeguarded and protected by
computer password key and limited access. Noncomputerized data is
safeguarded in file room which is locked after business hours.
Access is limited to authorized personnel.
Retention and disposal: Computerized records are kept indefinitely.
Uncollected loans/grants are transferred to GAO as soon as
determined uncollectable. Cancelled or repaid loans/grants are
closed at end of fiscal year, held three years, then sent to Federal
Records Center and destroyed in accordance with instructions from
GAO.
System manager(s) and address: Director, Division of Program Operations,
Room 4636, GSA Building, 7th and D Streets SW, Washington, DC 20202.
Notification procedure: Contact system manager.
Record access procedures: A request for access to a record from this
system shall be made in writing, with the envelope and the letter
clearly marked ``Privacy Access Request.'' Include in the request
the name and personal identifier number. Access requests will be
directed to the system manager.
Contesting record procedures: Individuals desiring to contest or amend
information maintained in the system should direct their request to
the system manager, stating clearly and concisely what information
is being contested, the reasons for contesting it, and the proposed
amendment to the information sought.
Record source categories: Sources of information are the recipient of
loans/grants and their educational institutions.
Systems exempted from certain provisions of the act: None.
18-40-0011
System name: Upward Bound Information Systems, ED/ASDE/HE.
Security classification: None.
System location: Room 3319-C, ROB No. 3, 7th and D Streets SW,
Washington, DC 20202.
Categories of individuals covered by the system: Current and former
participants in the Upward Bound Program.
Categories of records in the system: The student's: Name, system
identifier number, social security number, sex, date of birth,
ethnoracial background, home address, dates of entry into and
departure from Upward Bound, income eligibility data, need for
program services, veteran's status, current enrollment status and
grade level, high school and expected date of graduation, high
school academic program and grade point average at time of entrance
into the program, Scholastic Aptitude Test and American College Test
Score data (if applicable), reason for leaving program, and
postsecondary school enrollment data or reason for not pursuing a
postsecondary education.
Authority for maintenance of the system: Title IV-A of the Higher
Education Act of 1965, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For the routine uses
contained in 34 CFR part 5b, Appendix B. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official Department in his or ner
official capacity; (b) the United States where the Department
determines that the claim, if successful, is likely to directly
affect the operations of the Department or any of its components; or
(c) any Department employee in his or her individual capacity where
the Justice Department has agreed to represent such employee, the
Department may disclose such records as it deems desirable or
necessary to the Department of Justice to enable that Department to
effectively represent such party, provided such disclosure is
compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are stored on magnetic tape files at ED's contractor
site, 5185 MacArthur Blvd., NW, Washington, DC 20016.
Retrievability: Records are accessed primarily by a student number
assigned by the Upward Bound Computer system.
Safeguards: Only designated personnel are authorized to have access to
the files.
Retention and disposal: Current records are maintained indefinitely.
System manager(s) and address: Chief, Information Systems and Program
Support Branch, Division of Student Services, OHCE, Room 3514, ROB
No. 3, 400 Maryland Avenue SW, Washington, DC 20202.
Notification procedure: If an individual wishes to determine whether a
record exists for him or her in the system of records, the
individual should provide to the system manager his or her name and
student number.
Record access procedures: If an individual wishes to gain access to a
record in this system he or she should contact the system manager
with the information described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Information submitted by the institution's
program director who obtains it directly from the individual
students. Information regarding the enrollment and graduation of
former participants is also obtained from college registrars.
18-40-0012
System name: Migration and Refugee Assistance Act of 1962--
United States Loan Program for Cuban Students, ED/OPE/OSFA.
Security classification: None.
System location: Office of Student Financial Assistance, 101 Marietta
Tower, Third Floor, Atlanta, GA 30323.
Categories of individuals covered by the system: Cuban refugees who have
borrowed money under the program to finance their education at
eligible institutions of higher education.
Categories of records in the system: (1) All individual student files
contain the following personal data: Name, address, institution, ED
ID No.; sex, date of birth, marital status, dependents; place of
birth, immigration status, social security number; name and address
of parents and relatives; employment record for past five years;
educational pursuits, career objective; financial information
(relatives); date of separation, total amount borrowed; repayment
schedule, collections, deferments, cancellations; (2) Additional
information on those who request a postponement of repayment on
ground of hardship; place of employment, income; regular expenses,
list of debts giving name and address of creditor, nature of
indebtedness, total cost, balance owed, frequency of payment and
amount of each payment; (3) Additional information on those who
request cancellation of loan on ground of permanent and total
disability; nature of disability, date symptoms first appeared;
name, address of doctor or hospital providing examination(s) and
treatment; history of disability, present condition, diagnosis,
treatment, progress, prognosis.
Authority for maintenance of the system: Migration and Refugee
Assistance Act of 1962, section 2, Pub. L. 87-510 (22 U.S.C. 2601).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To contractor providing
billing and collection services for purposes of maintaining accurate
and current records of participating students; to students who
request a record of their account; to Internal Revenue Service and
Immigration and Naturalization Service for purposes of skip-tracing
lost borrowers; and to the General Accounting Office or the
Department of Justice for legal action against delinquent borrowers
and for the routine uses contained in 34 CFR part 5b, appendix B.
Disclosure may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional
office made at the request of that individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in hard-copy, filed in a standard
(locked) file cabinets.
Retrievability: Records are indexed by individual name and ED
identification number. Records are available to DPO staff involved
in correspondence with Cuban refugee borrowers, contractor personnel
if necessary, and members of the Office of General Counsel. Records
are available to Public Health Service for determinations on
requests for medical postponement of repayment of loan or permanent
and total disability.
Safeguards: Direct access is restricted to authorized program officials
and contractor personnel. Physically safeguard by use of standard
file cabinets which are locked during non-working hours. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Records maintained indefinitely.
System manager(s) and address: Regional Administrator, Office of Student
Financial Assistance, 101 Marietta Tower, Third Floor, Atlanta, GA
30323
Notification procedure: System manager will respond to inquiries.
Inquiries must contain system identification number and system name;
name and address of borrower concerned; and date of previous
correspondence, if any.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Original information is submitted by the
institution's program director who obtains it directly from the
individual students; additional information in the case of requests
for hardship postponements or cancellations on the gounds of total
and permanent disability is obtained from the student, a doctor and/
or a hospital; and if a borrower dies before completion of
repayment, proof of death is obtained from appropriate source.
18-40-0013
System name: National Defense Direct Student Loan Program--
Request for Cancellation of Loan on Ground of Permanent and Total
Disability, ED/OPE/OSFA.
Security classification: None.
System location: Room 4636, GSA Building, 7th and D Streets SW,
Washington, DC 20202.
Categories of individuals covered by the system: Student borrowers under
the National Defense Direct Student Loan Program requesting loan
cancellation because of permanent and total disability.
Categories of records in the system: Information on borrowers requesting
disability cancellation of loans includes name, address, social
security number, medical records, name and address of lending
institution, and other information needed to process such
cancellation requests.
Authority for maintenance of the system: Title IV-E of the Higher
Education Act of 1965, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For the routine uses
contained in 34 CFR part 5b, appendix B. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records in hard copy form are maintained in standard file
cabinets.
Retrievability: Records are accessed by individual's name only. Program
officials use the records to secure appropriate information on which
the Secretary of Education may make a determination to cancel a
National Defense Direct Student Loan for reasons of permanent and
total disability.
Safeguards: Only program officials are authorized to have access to the
files. Exception: Subject to disclosure requirements of the Privacy
Act.
Retention and disposal: The file is a cumulative one. To date, all
individual case records are maintained as initially filed; none have
been deleted, removed, or stored elsewhere.
System manager(s) and address: Director, Division of Program Operations,
Room 4636, ROB No. 3, 7th and D Streets SW, Washington, DC 20202.
Notification procedure: System manager will respond to inquiries as to
whether the system contains an individual's record. Inquiries must
contain system identification number and system; name and address of
borrower concerned; and date of previous correspondence if any.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Information is submitted by the borrower
requesting cancellation and by his physician(s), through the lending
institution.
18-40-0014
System name: Federal Student Aid Application File, ED/OPE/SFAP.
Security classification:
None.
System location:
U.S. Department of Education, Office of Postsecondary Education,
Division of Program Operations and Systems, Student Financial
Assistance Programs, 7th and D Streets, SW. (Regional Office Building
3, Room 4640) Washington, DC 20202; Federal Student Aid Application
Processing Center, Iowa City, IA 52240.
Categories of individuals covered by the system:
Students applying for Federal student financial assistance under title
IV of the Higher Education Act of 1965, (HEA).
Categories of records in the system:
Name, address, birthdate, social security number, and financial data
necessary to identify applicants, verify applicant data, and calculate
their expected family contributions for Federal student financial
assistance.
Authority for maintenance of the system:
Title IV of the Higher Education Act of 1965, as amended.
Purpose(s):
Information contained in this system is maintained for the purposes
of:
(1) Determining an applicant's eligibility for the Federal student
financial assistance programs authorized by Title IV of the HEA;
(2) Maintaining a record of the data supplied by those requesting
assistance;
(3) Documenting the results of an applicant's need analysis and Pell
Grant eligibility;
(4) Reporting the results of the need analysis and Pell Grant
eligibility determination to applicants, postsecondary institutions,
and State agencies designated by the applicant, and to other
Departmental and investigative components for use in operating and
evaluating the title IV, HEA programs and in the imposition of
criminal, civil or administrative sanctions; and
(5) Acting as a repository and source for information necessary to
fulfill the requirements of title IV of the HEA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records in this system of records may be disclosed without the consent
of the subject individuals for the following routine uses, consistent
with the purposes for which the records were collected:
(a) Disclosure to institutions of postsecondary education. Identifying
information and expected family contributions of applicants are
provided to those institutions of postsecondary education (or their
designated agents) in which the applicants plan to enroll or are
enrolled.
(b) Disclosure to State agencies. The data described in paragraph (a)
are provided to State agencies having agreements with the Secretary
for purposes of coordinating student aid.
(c) Disclosure to parents and spouses. On request, information that is
provided by parents or spouses on the application form is disclosed to
those individuals.
(d) Disclosure to multiple data entry agencies listed as record source
categories. Original information received by the Department from a
Multiple Data Entry (MDE) agency listed as a record source category
and the Department's calculation of expected family contributions and
determination of eligibility are provided back to the MDE agency for
release to the applicant, and, at the applicant's request, may be
released by these agencies to institutions of postsecondary education,
and State scholarship and loan guaranty agencies designated by the
applicant. Disclosure of this information may be made by the
Department of another MDE agency at the request of an applicant.
(e) Congressional member disclosure. Disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of that
individual.
(f) Enforcement disclosure. In the event that records maintained in
this system of records indicate a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto.
(g) Subpoena disclosure. Where Federal agencies having the power to
subpoena other Federal agencies' records, such as the Internal Revenue
Service or the Civil Rights Commission, issue a subpoena to the
Department for records in this system of records, the Department will
make such records available.
(h) Litigation Disclosure.--(1) Disclosure to the Department of
Justice. If the Department determines that disclosure of certain
records to the Department of Justice 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 the Department of Justice. Such a disclosure may be made in the
event that one of the parties listed below is involved in the
litigation, or has an interest in the litigation:
(i) The Department, or any component of the Department;
(ii) Any employee of the Department in his or her official capacity;
(iii) Any Department employee in his or her individual capacity where
the Justice Department has agreed to represent the employee; or
(iv) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(2) Disclosure to a Court or Adjudicative Body. If the Department
determines that disclosure of certain records to a court or
adjudicative body before which the agency is authorized to appear 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 the court or adjudicative
body. Such disclosure may be made in the event that one of the parties
listed below is a party to litigation, or has an interest in such
litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the Department in his or her official capacity;
or
(iii) Any employee of the Department in his or her individual capacity
where the Department has agreed to represent the employee; or
(iv) The United States, where the Department determines that
litigation is likely to affect the Department or any of its
components.
(i) Contract disclosure. When the Department contemplates that it will
contract with a private firm for the purpose of collating, analyzing,
aggregating or otherwise refining records in this system, relevant
records will be disclosed to such a contractor. The contractor shall
be required to maintain Privacy Act safeguards with respect to such
records.
(j) Disclosure to third parties through computer matching programs.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the U.S.
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual; (2) the amount,
status and history of the claim; and (3) the program under which the
claim arose. The Department may disclose the information specified in
this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained
in 31 U.S.C. 3711(f). A consumer reporting agency to which these
disclosures may be made is defined at 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Original applications for award years prior to the 1990-91 are
maintained in standard Federal Records Center boxes in locked storage
rooms within the Federal Student Aid Application Central Processing
Center. Original applications for 1990-91 and subsequent award years
are maintained in standard Federal Records Center boxes in locked
storage rooms within the facility of the Application for Federal
Student Aid Processor. Computerized applicant records are maintained
on magnetic tape reels, cartridges and hard disks in the computer
facility and locked storage rooms within the Federal Student Aid
Application Central Processing Center. Microfiche records maintained
in the Washington, DC office are locked in standard file cabinets.
Retrievability:
Records are indexed by name of applicant with a cross-index file by
social security number. Records are available to staff of the Student
Financial Assistance Programs (including appropriate contract support
staff).
Safeguards:
All physical access to the Department of Education's contractor's site
where this system of records is maintained is controlled and monitored
by security personnel. All physical access within the facility is
controlled by a computerized badge reading system. The entire complex
is patrolled by security personnel during nonbusiness hours.
The computer system employed by the Department of Education offers a
high degree of resistance to tampering and circumvention. Multiple
levels of security are maintained within the computer system control
program. This security system limits data access to Department of
Education 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 ID
with personal identifiers. All interactions by individual users with
the system are recorded.
Retention and disposal:
Original records are maintained for the duration of the contract and
then stored in a Federal Records Center for a period not to exceed
five years after payment to the grantee in accordance with the ED
Comprehensive Schedule, ED-RDS-Part 10-Item 3A.
System manager(s) and address:
U.S. Department of Education, Office of Postsecondary Education,
Director, Division of Program Operations and Systems, Room 4640,
Regional Office Building No. 3, 7th and D Streets SW., Washington, DC
20202-5459.
Notification procedure:
If an individual wishes to determine whether a record exists for him
or her in the system of records, the individual should provide to the
system manager his or her name, date of birth, and social security
number. Requests for notification about whether the system of records
contains information about an individual must meet the requirements of
the Department of Education's Privacy Act regulations at 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to a record in this system, he
or she should contact the system manager and provide information as
described in the notification procedure. Requests by an individual for
access to a record must meet the requirements of the Department of
Education's Privacy Act regulations at 34 CFR 5b.5.
Contesting record procedures:
If an individual wishes to change the content of a record in the
system of records, he or she should contact the system manager with
the information described in the notification procedure, identify the
specific items to be changed, and provide a justification for the
change. Requests to amend a record must meet the requirements of the
Department of Education's Privacy Act regulations at 34 CFR 5b.7.
Record source categories:
Information may be provided directly to the Department of Education by
applicants, or, at the request of an applicant, may be provided by the
following agencies: American College Testing Program, Iowa City, IA
52240; College Scholarship Service, Princeton, NJ 08541; CSX
Corporation, Jacksonville, FL 32216; Pennsylvania Higher Education
Assistance Agency, Harrisburgy, PA 17102; and United Student Aid
Funds, Indianapolis, IN 46250.
Systems exempted from certain provisions of the act:
None.
18-40-0015
System name: Pell Grant Student Aid Report Sub-system, ED/OPSE/
OSFA.
Security classification: None.
System location: Room 4712, ROB No. 3, 7th and D Streets SW, Washington,
DC 20202.
Categories of individuals covered by the system: Pell Grant Recipients.
Categories of records in the system: Name, address, birthdate, social
security number, financial data, and status of award for Pell Grant
recipients.
Authority for maintenance of the system: Title IV-A of the Higher
Education Act of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To prepare processed student
payment data for submission to schools or their agents in order to
verify payments made to students.Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Original Student Aid Reports and hard copy are maintained in
standard file cabinet.
Retrievability: Records are indexed by institution and by name and
social security number within school. Records are used to verify and
reconcile institutional expenditures.
Safeguards: Direct access is restricted to authorized staff. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Original copies are maintained until fiscal year
funds are closed out, and then stored at Federal Records Center.
System manager(s) and address: Director, Division of Program Operations,
Room 4651, ROB No. 3, 7th and D Streets SW, Washington, DC 20202.
Notification procedure: If an individual wishes to determine whether a
record exists for him or her in the system of records, the
individual should provide to the system manager his or her name and
social security number.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Student Aid Report.
18-40-0016
System name: Pell Grant Alternate Disbursement System, ED/OPE/
OSFA.
Security classification: None.
System location: Room 4651, GSA Building, 7th and D Streets SW,
Washington, DC 20202.
Categories of individuals covered by the system: Eligible applicants who
are paid directly by Federal Government since they are enrolled in
eligible non-participating schools.
Categories of records in the system: Name, address, birthdate, social
security number, financial data, and enrollment status of Pell Grant
recipients paid through this system:
Authority for maintenance of the system: Title IV-A of the Higher
Education Act of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For routine uses contained
in 34 CFR part 5b, Appendix B. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in standard file cabinet.
Retrievability: Records are indexed by name of applicant. Records are
available to Division of Program Operations staff.
Safeguards: Direct access is restricted to authorized staff.
Retention and disposal: Original copies are maintained until fiscal year
funds are closed out and then stored at Federal Records Center.
System manager(s) and address: Director, Division of Program Operations,
Room 4636, GSA Building, 7th and D Streets SW, Washington, DC 20202.
Notification procedure: If an individual wishes to determine whether a
record exists for him or her in the system of records, the
individual should provide to the system manager his or her name and
social security number.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedures.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Student Eligibility Reports and Requests for
Payment from applicants.
18-40-0017
System name: Student Financial Assistance Validation File, ED/
OPSE/OSFA.
Security classification: None.
System location: Room 4069, ROB No. 3, 7th and D Streets, SW,
Washington, DC 20202.
Categories of individuals covered by the system: Applicants and
recipients of student financial assistance.
Categories of records in the system: Student financial assistance
application, award and servicing forms and documentation.
Authority for maintenance of the system: Title IV of the Higher
Education Act of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For the routine uses
contained in 34 CFR part 5b, appendix B. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are maintained in standard file cabinets.
Retrievability: Records are indexed by name and are available only to
specifically designated staff involved in validation process.
Safeguards: Access is restricted to authorized staff only and files are
maintained in locked cabinets. Exception: Subject to disclosure
requirements of the Privacy Act.
Retention and disposal: Records are maintained until resolved and then
stored in Federal Records Center.
System manager(s) and address: Director, Division of Certification and
Program Review, Room 4069, ROB No. 3, 7th and D Streets, SW,
Washington, DC 20202.
Notification procedure: If an individual wishes to determine whether a
record exists for him or her in the system of records, the
individual should provide to the system manager his or her name and
social security number.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Application data, incoming correspondence and
related material, obtained during course of investigation.
18-40-0018
System name: Mutual Educational and Cultural Exchange Act
Teacher Exchange Participants and Applicants, ED/OPE/IE.
Security classification: None.
System location: Room 3069, GSA Building, 7th and D Streets, SW,
Washington, DC 20202.
Categories of individuals covered by the system: Individuals who have
been selected to teach abroad under the Teacher Exchange Program.
Individuals who have applied abroad under the Teacher Exchange
Program.
Categories of records in the system: Name, address, telephone number,
date and place of birth, citizenship, dependents, educational
background, employment background, languages, membership in clubs
and organizations of the individuals, personal references including
reports of interviews, administrative approval, and language
proficiency when required.
Authority for maintenance of the system: The Mutual Educational and
Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451-2458).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For routine uses contained
in 34 CFR part 5b, appendix B, U.S. binational commissions, the
Board of Foreign Scholarships and concerned country educational
authorities to determine suitability of candidate for teaching
position or study in their country. Disclosure may be made to a
Congressional office from the record of an individual in response to
any inquiry from the Congressional office made at the request of
that individual. In the event of litigation where one of the parties
is (a) the Department, any component of the Department, or any
employee of the Department in his or her official capacity; (b) the
United States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy, filed in standard
file cabinets.
Retrievability: Records are accessed by individual names only by
authorized ED staff for the purposes of determining eligibility for
teacher exchange opportunities, for selection of teacher exchange
participants, and to develop profile information regarding
recipients of grants for program evaluation, planning, and reporting
purposes.
Safeguards: Direct access is restricted to authorized ED staff.
Exception: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Records are maintained for three years and then
destroyed.
System manager(s) and address: Chief, Teacher Exchange Branch, Division,
of International Services and Improvement, International Education
Programs, U.S. Department of Education, Room 3069, GSA Building,
Washington, DC 20202.
Notification procedure: Contact system manager.
Record access procedures: Contact system manager.
Contesting record procedures: Contact system manager.
Record source categories: Information is submitted by the individual on
approved application forms.
18-40-0019
System name: National Resource Fellowship, ED/OPE/IE.
Security classification: None.
System location: Room 3916, GSA Building, 7th and D Streets, SW,
Washington, DC 20202.
Categories of individuals covered by the system:
Individuals who have been nominated by their institution of higher
education to be a recipient or alternate recipient of a fellowship.
Categories of records in the system: Name, address, telephone number,
citizenship, career goal, language competency, educational
background, and previous awards held.
Authority for maintenance of the system: Higher Education Act of 1965,
as amended, Title VI, section 601(b); Title X, Section 1001(f) (1),
(2).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For routine uses contained
in 34 CFR part 5b, appendix B. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy, filed in standard file
cabinets.
Retrievability: Records are accessed by individual names or by
educational institutions only by authorized ED staff members for the
purposes of determining eligibility for fellowships, for
establishing allowances for stipends and dependents, and for
developing profile information regarding recipients of fellowships
for program evaluation, planning, and reporting purposes.
Safeguards: Direct access is restricted to authorized ED staff.
Exceptions: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Records are maintained three years and then
destroyed.
System manager(s) and address: Division Director, Division of
International Education Research and Studies, 400 Maryland Avenue,
SW, Washington, DC 20202.
Notification procedure: Contact system manager.
Record access procedures: Contact system manager.
Contesting record procedures: Contact system manager.
Record source categories: Information is submitted by the individual on
approved application forms.
18-40-0020
System name: Mutual Educational and Cultural Exchange Act--
Doctoral Dissertation Research Abroad and Faculty Research Abroad,
Fellows and Alternates, ED/OPE/IE.
Security classification: None.
System location: Room 3727, GSA Building, 7th and D Streets, SW,
Washington, DC 20202.
Categories of individuals covered by the system: Individuals who have
been selected to be a recipient or alternate recipient of a
fellowship.
Categories of records in the system: Name, address, educational
institution, date and place of birth, veteran's status, educational
background, health statement, language references, personal
references for all individuals, project descriptions. In addition,
the annualized salary figure for all faculty fellows and alternates.
Authority for maintenance of the system: The Mutual Educational and
Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451-2458).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For the routine uses
contained in 34 CFR part 5b, appendix B, U.S. embassies, binational
commissions, the Board of Foreign Scholarships, and in some cases
foreign governments, and to field readers, to determine eligibility
and suitability to undertake research abroad. Disclosure may be made
to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hardcopy, filed in standard file
cabinets.
Retrievability: Records are accessed by individual names and educational
institution only by authorized ED staff and field readers for the
purposes of determining eligibility and suitability to undertake
research abroad, establishing allowances for travel, maintenance,
and dependents, and for developing profile information regarding
recipients of fellowships for program evaluation, planning, and
reporting purposes.
Safeguards: Direct access is restricted to authorized ED staff.
Exception: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Records are maintained five years and then
destroyed.
System manager(s) and address: Director, Office of International
Education, 400 Maryland Avenue, SW, Washington, DC 20202.
Notification procedure: Contact system manager.
Record access procedures: Contact system manager.
Contesting record procedures: Contact system manager.
Record source categories: Information is submitted by the individual on
approved application forms.
18-40-0021
System name: Student Financial Assistance--Compliance Files, ED/
OPE/OSFA.
Security classification: None.
System location: Room 4069, GSA Building, 7th and D Streets SW,
Washington, DC 20202.
Categories of individuals covered by the system: Applicants for, and
recipients of, Title IV student financial assistance; personnel of
OSFA; officials, employees or agents of regional offices,
participating schools, and lenders, who are involved in complaints
or allegations of program irregularities, noncompliance with
regulations, misconduct, fraud or abuse.
Categories of records in the system: Contains written documentation of
the alleged or proven act(s) of misconduct including name, address,
social security and claim numbers (if appropriate) of the
complainant, name of the student borrower, school or lender, and the
results of investigative action, prosecution or non-prosecution
intent, and results.
Authority for maintenance of the system: Higher Education Act of 1965,
Title IV, as amended (20 U.S.C. 1070 et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The information may be
furnished to Federal, State, or local agencies, to private parties
such as relatives, present and former employers, business and
personal associates, to guarantee agencies, to educational and
financial institutions, and to agency contractors, in order to
verify the identity of the applicant, to determine program
eligibility and benefits, to permit servicing or collecting of the
loan, to counsel the borrower in repayment efforts, to investigate
possible fraud and verify compliance with program regulations, or to
locate a delinquent or defaulted borrower. To schools and lenders
for investigative activities. In 34 CFR part 5b, appendix B, items
1, 3, 4, 5, 6, 8, and 11. Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy filed in standard file
cabinets.
Retrievability: The records are filed and indexed alphabetically by name
and address. Intradepartmental users of these records are the Office
of General Counsel (OGC), Office of Inspector General (OIG), and the
ED Regional Offices (RO). OGC usage is for the purpose of providing
background data in obtaining legal rulings and opinions. OIG usage
is for the purpose of obtaining documentation necessary for the
investigation. RO usage is for the purpose of coordinating actions
between various regional offices.
Safeguards: Direct access is restricted to authorized staff; file
cabinets are locked. Exception: Subject to disclosure requirements
of the Privacy Act.
Retention and disposal: Records are maintained three years; compliance
and investigative records are maintained five years past date of
case closing. Destroyed by maceration.
System manager(s) and address: Director, Division of Certification and
Program Review, Room 4069, GSA Building, 7th and D Streets SW,
Washington, DC 20202.
Notification procedure: System manager; for general inquiries, name and
date of previous correspondence, if known; for compliance/
investigative material, name and an I.D. number assigned. Address is
listed in preceding paragraph.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Incoming correspondence, responses, and
material obtained during course of any investigation.
Systems exempted from certain provisions of the act: None.
18-40-0022
System name: Student Financial Assistance--Student Complaint
Files, ED/OPE/OSFA.
Security classification: None.
System location: Room 4069, GSA Building, 7th and D Streets, SW,
Washington, DC 20202.
Categories of individuals covered by the system: Applicant for,
recipients of, Title IV student financial assistance who have made
complaints or allegations of irregularities by schools or lenders,
or their officials, employees, or agents.
Categories of records in the system: Contains written documentation of
student complaints including name, address, social security and
claim number (if appropriate) of the complainant, name of school and
lender.
Authority for maintenance of the system: Higher Education Act of 1965,
Title IV.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The information may be
furnished to Federal, State, or local agencies, to private parties
such as relatives, present and former employers, business and
personal associates, to guarantee agencies, to educational and
financial institutions, and to agency contractors, in order to
verify the identity of the applicant, to determine program
eligibility and benefits, to permit servicing or collecting of the
loan, to counsel the borrower in repayment efforts, to investigate
possible fraud and verify compliance with program regulations, or to
relocate a delinquent or defaulted borrower. To schools and lenders
for investigative activities. In Departmental regulations (34 CFR
part 5b, appendix B, items 1, 3, 5, 6, 8, and 11). Disclosure may be
made to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such dislosure is compatible with the
purpose for which the records were collected.
Any information from this system of records, including personal
information obtained from other agencies through computer matching
programs, may be disclosed to any third party through a computer
matching program in connection with an individual's application or
participation in any grant or loan program administered by the
Department of Education. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy, filed in standard file
cabinets.
Retrievability: The records are filed and indexed alphabetically by name
and address. Authorized intradepartmental employees review action
taken.
Safeguards: Direct access is restricted to authorized OSFA staff; file
cabinets are locked. Exception: Subject to disclosure requirements
of the Privacy Act.
Retention and disposal: Records are maintained three years; complaint
and investigative records are maintained five years past date of
case closing. Destroyed by maceration.
System manager(s) and address: Director, Division of Certification and
Program Review, Room 4069, GSA Building, 7th and D Streets, SW,
Washington, DC 20202.
Notification procedure: System manager; for general inquiries, name and
date of previous correspondence, if known; for complaint/
investigative material, name and any I.D. number assigned. Address
is listed in preceding paragraph.
Record access procedures: If an individual wishes to gain access to a
record in this system, he or she should contact the system manager
and provide information as described in the notification procedure.
Contesting record procedures: If an individual wishes to change the
content of a record in the system of records, he or she should
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed,
and provide a written justification for the change.
Record source categories: Incoming correspondence, responses, and
material obtained during course of any investigation.
18-40-0024
System name:
Title IV Program Files.
Security classsification:
None.
System location:
U.S. Department of Education, Office of Postsecondary Education (OPE),
Program Systems Support, Student Financial Assistance Programs, 7th
and D Streets, SW., GSA Regional Office Building 3, room 4640,
Washington, DC 20202-5258. The National Computer Systems, 2510 North
Dodge Street, Iowa City, Iowa; the Atlanta Regional Office, PO Box
1692, Atlanta, Georgia; the Chicago Regional Office, 401 South State
Street, room 700-D, Chicago, Illinois 60605; and the San Francisco
Regional Office, 50 United Nations Plaza, room 250, San Francisco,
California 94102-4987.
Categories of individuals covered by the system:
The categories of individuals for whom records are maintained under
this consolidated system notice will include: Borrowers who apply for
loans under the Federal Direct Student Loan Program; borrowers who
applied for loans under the Federal Insured Student Loan (FISL)
Program; borrowers whose loans defaulted or the borrower died, became
disabled or had a loan discharged in bankruptcy under the FISL Program
and on which ED paid a claim to the holder of the loan; borrowers
whose loans were guaranteed by a guaranty agency and who defaulted
under the Federal Family Education Loan (FFEL) Program if those loans
were assigned by the guaranty agency to ED; FFEL borrowers whose
lenders have reported them delinquent or reported their locations as
unknown; FFEL borrowers whose loans were cancelled due to borrower's
death or total and permanent disability, or whose loans were
discharged in bankruptcy under the FFEL Program; FFEL borrowers whose
loans have been assigned to ED due to false loan certification;
borrowers under the Federal Perkins Loan Program whose loans have been
assigned to ED because of default, and borrowers under the Federal
Perkins Loan Program or under the FFEL Program whose loans have been
assigned to ED due to school closing; borrowers whose loans were
served by guaranty agencies for which ED has assumed management
responsibility; and Federal Pell and Federal Supplemental Educational
Opportunity Grants on which overpayments are collected by the
Department.
Categories of records in the system:
This system contains records regarding an applicant's demographic
background, loan, and educational status; family income; social
security number; address and telephone number; and employment
information on borrowers and co-signers; default claim number; amount
of claim; information pertaining to locating a borrower; collection
and repayment history; information pertaining to the amount of the
loan and repayment obligation; forbearance; cancellation; disability;
and deferment information.
Authority for maintenance of the system:
Higher Education Act of 1965, titles IV-A, IV-B, IV-D, and IV-E, as
amended, (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a,
1087aa-hh).
Purpose(s):
The information contained in the records maintained in this system is
used for the purposes of determining program eligibility and benefits,
verifying the identity of the individual, enforcing the conditions and
terms of the loan or grant, permitting the servicing and collecting of
the loan or grant, counseling the individual in repayment efforts,
investigating possible fraud and verifying compliance with program
regulations, locating a delinquent or defaulted debtor or locating a
recipient owing an overpayment on a grant, initiating legal action
against an individual involved in program fraud, abuse, or
noncompliance, and enforcing Title IV requirements against schools,
lenders, and guaranty agencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The Department of Education (ED) 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 purpose for which
the record was collected under the following routine uses:
(a) Program purposes. (1) The information may be disclosed for the
following program purposes to the persons listed in (a)(2): To verify
the identity of the applicant, to determine program eligibility and
benefits, to facilitate default reduction efforts by program
participants, to enforce the conditions or terms of the loan, to
permit servicing, collecting, or accepting the loan, to counsel the
borrower in repayment efforts, to investigate possible fraud and
verify compliance with program regulations, to locate a delinquent or
defaulted borrower, to issue collection letters, to locate a missing
borrower, to collect in-file history information to determine assets
and ability to pay, to determine last known address, to conduct a
salary offset hearing under 34 CFR part 31, to prepare for litigation
or to litigate collection service and audit, to initiate a limitation,
suspension, and termination (LS&T) or debarment or suspension action,
to ensure title IV requirements are met by schools, lenders, and
guaranty agencies, to verify death, to conduct credit checks, and to
investigate complaints, update files, and correct errors.
(2) The information may be provided to the following recipients:
Federal, State, or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, guaranty agencies, educational and financial agencies or
institutions, consumer reporting agencies, contractors and hearing
officials.
(b) Feasibility study disclosure. Any information from this system of
records may be disclosed to other Federal agencies and to guaranty
agencies to determine whether computer matching programs should be
conducted by the Department regarding an individual's application for
participation in any grant or loan program administered by ED.
Purposes of these disclosures may be to determine program eligibility
and benefits, facilitate default reduction efforts, enforce the
conditions and terms of a loan or grant, permit the servicing and
collecting of the loan or grant, enforce debarment, suspension, and
exclusionary actions, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
(c) 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, 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 if the information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility of the
receiving entity.
(d) Subpoena disclosure. Where Federal agencies having the power to
subpoena other Federal agencies' records, such as Internal Revenue
Service or Civil Rights Commission, issue a subpoena to ED for records
in this system of records, the Department may make such records
available (provided the disclosure is consistent with the purposes for
which the records were collected).
(e) Litigation disclosure. (1) 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. Such a
disclosure may be made in the event that one of the parties listed
below is involved in the litigation, or has an interest in the
litigation:
(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 employer; or
(v) The United States where ED determines that the litigation is
likely to affect the Department or any of its components.
(2) Other disclosures. If ED determines that disclosure of certain
records to a court, adjudicative body before which ED is authorized to
appear, individual or entity designated by ED or otherwise empowered
to resolve disputes, counsel, or other representative, or potential
witness 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 court, adjudicative body,
individual or entity, counsel or other representative, or witness.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in the
litigation:
(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 has agreed to represent the employee; or
(iv) The United States, where ED determines that litigation is likely
to affect the Department or any of its components.
(f) Employment, benefit, and contracting disclosure. (1) For Decisions
by ED. ED may disclose a record from this system of records as a
routine use to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
such as current licenses, if the disclosure is necessary to obtain a
record ED believes may be relevant to an ED decision concerning the
hiring, retention of, or any personnel action concerning an employee,
the issuance of a security clearance, the letting of a contract, or
the issuance of a license, grant, or other benefit.
(2) For decisions by other public agencies and professional licensing
organizations. ED may disclose information from this system of records
as a routine use to a Federal, State, local, or foreign agency or
other public authority or professional licensing organization, in
connection with the hiring or retention of an employee, 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.
(g) Employee grievance, complaint or conduct disclosure. If a record
maintained in this system of records is relevant to an employee
grievance or complaint or employee discipline or competence
determination proceedings of another party of the Federal Government,
ED may disclose the record as a routine use in the course of the
proceedings.
(h) Labor organization disclosure. Where a contract between a
component of ED and a labor organization recognized under Chapter 71,
U.S.C. Title V provides that the Department will disclose personal
records relevant to the organization's mission, records in this system
of records may be disclosed as a routine use to such an organization.
(i) Contract disclosure. When ED contemplates that it will contract
with a private firm for the purpose of collating, analyzing,
aggregating, or otherwise refining records or performing any other
function with respect to the records in this system, relevant records
will be disclosed to such a contractor. The contractor shall be
required to maintain Privacy Act Safeguards with respect to such
records.
(j) Disclosure to the Department of Justice. ED may disclose
information from this system of records as a routine use to the
Department of Justice to the extent necessary for obtaining its advice
on any matter relevant to an audit, inspection, or other inquiry
related to the Department's responsibilities under Title IV of the
Higher Education Act of 1965.
(k) Research disclosure. When 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.
(l) Computer matching disclosure. Any information from this system of
records, including personal information obtained from other agencies
through computer matching programs, may be disclosed to any third
party through a computer matching program in connection with an
individual's application for, or participation in, any grant or loan
program administered by ED. The purposes of these disclosures may be
to determine program eligibility and benefits, enforce the condition
and terms of a loan or grant, permit the servicing and collecting of
the loan or grant, prosecute or enforce debarment, suspension, and
exclusionary actions, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
Among other disclosures, this routine use authorizes disclosure to any
other Federal agency, including the Defense Manpower Data Center,
Department of Defense, for the purposes of identifying and locating
individuals who are delinquent in their repayment of debts owed to the
U.S. Government under title IV, HEA programs of ED, in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (including 31 U.S.C. Chapter 37 and 5 U.S.C. 5514) and 31 CFR
part 31 by voluntary repayment or by administrative or salary offset.
(m) FOIA advice disclosure. In the event that ED 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 or the Office of Management and
Budget for the purpose of obtaining their advice.
(n) Congressional member disclosure. ED may disclose information from
this system of records to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the written request of that individual; however, the Member's
right to the information is no greater than the right of the
individual who requested it.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): ED may disclose to a
consumer reporting agency information regarding a claim which is
determined to be valid and overdue as follows: (1) The name, address,
social security number, and other information necessary to establish
the identity of the individual responsible for the claim; (2) the
amount, status, and history of the claim; and (3) the program under
which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in 31 U.S.C. 3711(f). A consumer reporting agency
to which these disclosures may be made is defined at 15 U.S.C.
1681a(f) and 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in either hard copy, microfilm, magnetic
tape, or other electronic media.
Retrievability:
The file is indexed by social security number or name. Data for loans
made under the Federal Direct Student Loan Program, FISL Program,
Federal Perkins Loan (formerly National Direct Student Loan) Program,
Federal Pell Grant Program, and some FFELs are retrievable by social
security number.
Safeguards:
All physical access to the Department of Education site, and the sites
of Department contractors 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 or visitor
badge.
The computer system employed by the Department of Education offers a
high degree of resistance to tampering and circumvention. This
security system limits data access to Department of Education 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 ID with
personal identifiers. All interactions by individual users with the
system are recorded.
Retention and disposal:
Records of individual loans may be destroyed five years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant recipients may be
destroyed five years after the fiscal operations report is filed.
Records of Federal Pell Grant recipients may be destroyed five years
after the initial award year has ended, as set forth in appropriate
record retention schedules.
System manager(s) and address:
The System Manager for the title IV program file is the Director,
Program Systems Support, Student Financial Assistance Programs, U.S.
Department of Education, 400 Maryland Avenue, SW., room 4640, GSA
Regional Office Building 3, Washington, DC 20202-5258.
Notification procedure:
If an individual wishes to determine whether a record exists regarding
him or her in the system of records, the individual should provide to
the system manager his or her name, date of birth, social security
number, and the name of the school or lender from which the loan or
grant was obtained. Requests for notification about whether the system
of records contains information about an individual must meet the
requirements of the Department of Education's Privacy Act regulations
at 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to a record in this system, he
or she should contact the system manager and provide information as
described in the notification procedure. Requests by an individual for
access to a record must meet the requirements of the Department of
Education's Privacy Act regulations at 34 CFR 5b.5.
Contesting record procedures:
If an individual wishes to change the content of a record in the
system of records, he or she should contact the system manager with
the information described in the notification procedure, identify the
specific items to be changed, and provide a written justification for
the change. Requests to amend a record must meet the requirements of
the Department of Education's Privacy Act regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from reports from borrowers and their
families, lenders, schools, examining or treating physicians,
employers, credit agencies, Federal and State governmental agencies,
and State or private nonprofit guaranty agencies. However, lenders and
guaranty agencies are not a source of information for participants in
the Federal Direct Student Loan Program, since the Department
maintains individual records of borrowers for this program.
System exempted from certain provisions of the act:
None.
18-40-0032
System name: Record of Advances of Funds for Employees Traveling
for the Department of Education--(SF 1038, Application and Account
for Advance of Funds), ED/OASM/OFM.
Security classification: None.
System location: Room 3105, FOB No. 6, 400 Maryland Avenue SW,
Washington, DC 20202.
Categories of individuals covered by the system: Employees of the
Department of Education (including consultants) who have requested
advances of funds for travel on official business.
Categories of records in the system: Name, social security number, home
and/or business address, amount of travel advance requested, amount
actually paid, and unliquidated balance, if any.
Authority for maintenance of the system: 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For audit by U.S. General
Accounting Office (GAO). Disclosures may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that
individual. In the event of litigation where one of the parties is
(a) the Department, any component of the Department, or any employee
of the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. The Department may disclose
the information specified in this paragraph under 5 U.S.C. 552a(b)(12)
and the procedures contained in subsection 31 U.S.C. 3711(f). A
consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in card format and are stored in
file cabinets.
Retrievability: Records are indexed by name of individual requesting
advance of funds. Records are available to employees of the Division
of Financial Management, Department of Education, in performance of
accounting functions and to the individual to whom funds were
advanced.
Safeguards: Direct access is restricted to authorized agency staff in
performance of official duties. Maintained in locked file cabinets.
Exception: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Retained four years or until audit by the U.S.
General Accounting Office, whichever is earlier. Disposed of by
maceration.
System manager(s) and address: Director, Division of Financial
Management, U.S. Department of Education, Room 3105, FOB No. 6, 400
Maryland Avenue SW, Washington, DC 20202.
Notification procedure: System manager will respond to inquiries.
Record access procedures: Same as under ``Retrievability.''
Contesting record procedures: Contact system manager, above.
Record source categories: Travelers who complete Form SF 1038. (See
system name at the beginning of this document (18-40-0032).)
Systems exempted from certain provisions of the act: None.
Appendix:
Loan/award programs under which the Department collects receivables:
Bilingual Education Fellowship program.
18-40-0034
System name: Teacher Corps Application For Intern Teacher
Position, ED/OERI/EPDD.
Security classification: None.
System location: Records previously contracted out, and maintained in
four locations, have been transferred to Washington and are located
at: Department of Education, 720 Riviere Building, 1832 M Street,
NW, Washington, DC
Inquiries concerning Teachers Corps intern positions should be sent
to: Intern Recruitment Unit, Teacher Corps, Department of Education,
400 Maryland Avenue, SW, Washington, DC 20202.
Categories of individuals covered by the system: People who submit
applications to be members (interns) of Teacher Corps projects.
Categories of records in the system: An application form containing
basic demographic data, education and employment histories and
motivation statements, and any other information provided by the
applicant is filed alphabetically by name in the project to which it
is sent by the applicant.
Authority for maintenance of the system: 20 U.S. Code, Sections 1101
through 1107a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To Teacher Corps project
grantees who are considering the applicants for selection as
interns. To State departments of education for verification of
eligibility of the applicant for teacher certification programs.
When requested by applicant, to potential employers or managers of
other teachers training or social service programs. Disclosure may
be made to a Congressional office from the record of an individual
in response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The profile sheets are kept in a file cabinet.
Retrievability: Files are established when each application is received
and placed alphabetically in file cabinets. Project staff analyze
the data on the application forms, prepare a summary sheet, and
either notify applicant of ineligibility for Teachers Corps
membership, or refer them to the local selection panel for which
they would qualify. These project staff refer to these files in
answering subsequent inquiries concerning application status from
Teacher Corps projects and from applicants.
Safeguards: Direct access is limited to Recruitment and Technical
Resources Center staff and to national office Teacher Corps staff.
Access to room in which file cabinet is maintained is limited during
non-working hours to those with keys to the room. Exception: Subject
to disclosure requirements of the Privacy Act.
Retention and disposal: Applications are held for one year, being
disposed of when selections are completed annually by all new
Teacher Corps projects. Disposal is through regular refuse services.
System manager(s) and address: Associate Director, Development,
Department of Education, Teacher Corps, 400 Maryland Avenue SW,
Washington, DC 20202.
Notification procedure: System manager (address in preceding paragraph)
will respond to inquiries, or applicants can write directly to the
Center to which the application was originally sent. Requesters
should list their name and address and the date of their application
for membership in Teacher Corps.
Record access procedures: See information under ``Retrievability.''
Contesting record procedures: See information under ``Notification
Procedures.''
Record source categories: All information on the application form is
provided by the applicant.
Systems exempted from certain provisions of the act: None.
18-40-0036
System name: Oral History of the Office of Education as Dictated
by Former Commissioners of Education, ED/OL.
Security classification: None.
System location: 400 Maryland Avenue SW, Washington, DC 20202.
Categories of individuals covered by the system: Living former U.S.
Commissioners of Education.
Categories of records in the system: Information about the individual's
life as Commissioner and about OE during his term of office.
Authority for maintenance of the system: 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To those involved in
publishing (including the Government Printing Office) for production
of final document; to the Department of Justice for Freedom of
Information Act consultation; under subpoena by any administrative
agency. To answer inquiries from the National Archives, and from
government libraries. For uses in the Departmental Regulations (34
CFR part 5b, appendix B, items 1, 2, 3, 5, 6, 8, 9, 10). Disclosure
may be made to organizations deemed qualified by the Secretary to
carry out quality assessment, medical audits or utilization review.
Disclosure may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional
office made at the request of that individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained on paper and on magnetic tape and
are filed in a standard file cabinet.
Retrievability: By name by the system manager or staff for the purpose
of obtaining the approval of former Commissioners; after approval
and release by former Commissioners the records may be retrieved as
historical documents by system manager or staff.
Safeguards: Records may be placed in the National Archives under seal
upon threat of disclosure. Exceptions: Subject to disclosure
requirements of the Privacy Act.
Retention and disposal: All background material will be disposed of 5
years after publication of the final document. These records may be
destroyed by maceration, burning, or other appropriate means.
System manager(s) and address: Office of Legislation, Room 4119, FOB No.
6, 400 Maryland Avenue SW, Washington, DC 20202.
Notification procedure: System manager (address in preceding paragraph)
will respond to inquiries. Individual must provide system I.D.
number and name.
Record access procedures: Contact system manager.
Contesting record procedures: Same as ``Notification Procedures.''
Record source categories: Information provided by the individual
Commissioner and records and documents provided by the Commissioner
during interviews. Information is transcribed as approved by
individual.
Systems exempted from certain provisions of the act: None.
18-40-0037
System name: Jacob K. Javits Fellows System.
Security classification:
None.
System location:
U.S. Department of Education, Officer of Higher Education Programs,
7th and D Streets, SW, Washington, DC 20202-5153.
Categories of individuals covered by the system:
Individuals who apply for fellowships under the Jacob K. Javits
Fellows Program.
Categories of records in the system:
Name, social security number, or nine digit identification number,
date of birth, address, scholastic accomplishments, rating scores,
reference letters, waivers to letters of reference.
Authority for maintenance of the system:
Title IX, part C of the Higher Education Act of 1965, as amended (20
U.S.C. 1134h-1134K). The program regulations are found in 34 CFR part
650.
Purpose(s):
This system of records is maintained for the general purpose of
administering the Jacob K. Javits Fellows Program, including selection
of fellows, tracking their progress, and ensuring compliance with
program requirements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The Department of Education (ED) may disclose information contained in
a record in this system of records without the consent of the
individual consistent with the following routine uses but only for a
purpose which is compatible with the purpose for which the record was
collected:
(a) Evaluating the applicants. Records are disclosed to the Fellowship
Board and selection panel members in order to select fellows.
(b) Congressional member disclosure. ED may disclose personally
identifiable information from this system of records to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of that
individual.
(c) Litigation disclosure. (1) Disclosure to the Department of
Justice. If ED determines that disclosure of certain records to 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. Such a disclosure may be made in the event that one of the
parties listed below is involved in the litigation, or has an interest
in such litigation:
(i) ED, or any component of the Department; or
(ii) Any employee of ED in his or her official capacity; or
(iii) Any employee of ED in his or her individual capacity where the
Justice Department has agreed to represent the employee; or
(iv) The United States where ED determines that the litigation is
likely to affect the Department or any of its components.
(2) Disclosure to a Court, Adjudicative Body or Potential Witnesses.
If ED determines that the disclosure of certain records to a court or
adjudicative body before which ED is authorized to appear, an
individual or entity designated by ED or otherwise empowered to
resolve disputes, counsel or representative or to potential witnesses
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 court, adjudicative body, individual
or entity, counsel or representative, or potential witnesses. Such
disclosure may be made in the event that one of the parties listed
below is involved in the litigation, or has an interest in the
litigation:
(i) ED or any component of the Department; or
(ii) Any employee of ED in his or her official capacity; or
(iii) Any employee of ED in his or her individual capacity where ED
has agreed to represent the employee; or
(iv) The United States where ED determines that the litigation is
likely to affect the Department or any of its components.
(d) FOIA advice disclosure. In the event ED 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.
(e) Research disclosure. When the appropriate official of ED
determines that an individual or an 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 research.
(f) Contract disclosure. When ED contracts with a private firm for the
purpose of computer data entry, collating, analyzing, aggregating or
otherwise refining records in this system, relevant records will be
disclosed to the contractor. The contractor shall be required to
maintain Privacy Act safeguards with respect to such records.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12): ED may disclose to a
consumer reporting agency information regarding any Federal claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information
necessary to establish the identity of the individual responsible for
the claim; (2) the amount, status, and history of the claim; and (3)
the program under which the claim arose. ED may disclose the
information specified in this paragraph under 5 U.S.C. 552(a)(b)(12)
after competing the procedures contained in subsection 31 U.S.C.
3711(f). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system.
Storage:
Records are maintained on access-controlled personal computers, and on
file folders and on removable personal computer diskettes which are
stored in file cabinets.
Retrievability:
Records are indexed and retrieved by name of individual and social
security number, or, for individuals who do not provide a social
security number, other nine digit identification number.
Safeguards:
The computer data on personal computers is protected with access-
control software. The personal computers are kept in office space that
is locked during non-working hours. The file folders and removable
personal computer diskettes are kept locked in file cabinets located
in office space that is locked after hours. Users of the system are
briefed on the need to safeguard the data and operating programs.
Retention and disposal:
Records on successful applicants are destroyed five years after final
payment, or after completion audit-related activities or litigation,
whichever is later.
System manager(s) and address:
Program Manager, Jacob K. Javits Fellows Program, Office of Higher
Education Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., room 3022, GSA Regional Office Building 3, Washington, DC 20202-
5251.
Notification procedure:
If an individual wishes to determine whether a record exists for him
or her in this system of records, the individual should provide the
system manager his or her name, date of birth, social security number
or nine digit identification number. Requests for notification about
whether this system contains information about an individual must meet
the requirements of the Education Department's Privacy Act
regulations, 34 CFR 5b.5.
Record access procedures:
If an individual wishes to gain access to record in this system of
records, he or she should contact the system manager and provide
information as described in the notification procedure. Requests for
access to a record should reasonably specify the particular record
content being sought. Requests for access to a record in this system
of records must meet the requirements of the Education Department's
Privacy Act regulations, 34 CFR 5b.5.
Contesting record procedure:
Individuals desiring to contest information contained in a record in
this system of records should contact the system manager. Requests for
amendment of records may be made either in writing or in person, and
should specify: (1) The system of records from which the record is to
be retrieved; (2) the particular record he requestor is seeking to
amend; (3) whether a deletion, an addition, or a substitution is being
sought; and (4) the reason(s) for the requested change(s). Requestors
should include in their requests any appropriate documentation
supporting the requested change(s). For a complete statement of the
procedures required for contesting a record, see the Education
Department's Privacy Act regulations, 34 CFR 5b.7.
Record source categories:
Information contained in the system will be obtained principally from
individual applicants, references, and schools attended by the
applicant.
Systems exempted from certain provisions of the act:
None.
18-40-0038
System name: National Science Scholars Program.
Security classification:
None.
System location:
Division of Policy and Program Development and Division of Program
Operations and Systems, Student Financial Assistance Programs, Office
of Postsecondary Education, U.S. Department of Education, Seventh and
D Streets, SW., GSA Regional Office Building 3, Rooms 4018 and 4651,
Washington, DC 20202-5459.
Categories of individuals covered by the system:
(a) Individuals appointed to serve on State nominating committees that
nominate Scholars for the National Science Scholars Program, and
(b) Individuals nominated for scholarships under the National Science
Scholars Program.
Categories of records in the system:
(a) Nominating committee member's name, and qualifications for the
position.
(b) Student's name, sex, social security number or alternate
identifier, address, telephone numbers, congressional district,
priority ranking in the congressional district, name of the
institution of higher education the applicant is attending or plans to
attend, the institution's address, the Scholar's cost of attendance
for the institution of higher education at which he or she will
enroll, major, and the amount of award.
Authority for maintenance of the system:
Title VI, Part A of the Excellence in Mathematics, Science and
Engineering Education Act of 1990 (Pub. L. 101-589), 20 U.S.C. 5381(b)
and 20 U.S.C. 5383a-5383e.
Purpose(s):
This system of records will be maintained for the general purpose of
administering the National Science Scholars Program, including
approving members of State nominating committees, selection of
National Science Scholars (Scholars), disbursing awards to
institutions of higher education on behalf of Scholars, encouraging
other organizations to provide additional assistance to Scholars,
assisting Scholars in obtaining federally financed summer employment,
and ensuring compliance with program requirements.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The routine uses for this system of records apply to records regarding
the nominating committee, National Science Scholar nominees, and
National Science Scholars unless otherwise specified in a particular
routine use. The Department of Education (ED) will disclose
information contained in a record in this system of records without
the consent of the individual consistent with the following routine
uses, but only for a purpose which is compatible with the purpose for
which the record was collected.
(a) Information on State nominating committee members shall be used
for approval of State nominating committees by the Secretary, as
required in section 603(b)(1) of the Act. This information will be
disclosed to the President, Presidential staff, Congress,
Congressional staff, and members of the public who make specific
inquiries concerning State nominating committee composition.
(b) Selection of Scholarship Finalists. Records regarding National
Science Scholar nominees are disclosed to responsible officials at the
National Science Foundation and to the President or his representative
during consultation to select finalists.
(c) Benefit Disclosure. Scholar records from this system of records
may be disclosed to civic groups, the business community, professional
associations, institutions of higher education, and others to
encourage them to provide financial support, scholarship assistance,
equipment, employment, and other forms of recognition to National
Science Scholars.
(d) Employment Disclosure. ED may disclose National Science Scholars
records to appropriate officials so that Scholars may be considered
for employment under federally financed summer employment programs, or
by federally funded research and development centers and Federal
agencies.
(e) Congressional Member Disclosure. ED must disclose records of
Scholars to Congress under section 603(b)(4) of the statute (Pub. L.
101-589). ED will send a notification to each member of Congress
listing all Scholars by State and Congressional District. In addition,
ED may also disclose individually identifiable information of a
Scholar from this system of records in response to an inquiry from a
congressional office made at the request of that individual.
(f) Disclosure to Institutions of Higher Education. ED discloses
personally identifiable information on Scholars from this system of
records to the institution of higher education at which the Scholar
will enroll.
(g) Litigation Disclosure.
(1) Disclosure to the Department of Justice. If ED determines that
disclosure of certain records to the Department of Justice is relevant
and necessary for 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. Such a disclosure may be
made in the event that one of the parties listed below is involved in
the litigation, or has an interest in such litigation:
(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 represent the employee; or
(iv) The United States, where ED determines that the litigation is
likely to affect ED or any of its components.
(2) Disclosure to a Court or Adjudicative Body, Counsel or Potential
Witness. If ED determines that the disclosure of certain records to a
court, adjudicative body, counsel or potential witness before which ED
is authorized to appear 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 court, adjudicative
body, counsel or potential witness. Such disclosure may be made in the
event that one of the parties listed below is involved in the
litigation or has an interest in the litigation:
(i) ED or any component of the Department; or
(ii) Any ED employee in his or her official capacity; or
(iii) Any employee in his or her individual capacity where ED has
agreed to represent the employee; or
(iv) The United States, where ED determines that the litigation is
likely to affect ED or any of its components.
(h) FOIA Advice Disclosure. In the event ED 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.
(i) Research Disclosure. When the appropriate official of ED
determines that an individual or an 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.
(j) Contract Disclosure. When ED contemplates that it will contract
with a private firm for the purpose of computer data entry,
collecting, analyzing, aggregating or otherwise refining records in
this system, relevant records will be disclosed to the contractor. The
contractor shall be required to maintain Privacy Act safeguards with
respect to such records.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552(a)(b)(12): In the event that a
Scholar ceases to be eligible for scholarship proceeds and the Scholar
fails to return a prorated portion of the scholarship award, ED may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number, if available, and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. ED may
disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(f). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders in locked file cabinets, on
removable personal computer diskettes, and on personal computer hard
disks.
Retrievability:
Records are indexed and retrieved by social security number or other
identification number and name of individual.
Safeguards:
Records are secured in locked file cabinets, and the office is locked
during nonworking hours. Records are also maintained on a personal
computer that is locked by key and requires password access and the
office is locked during nonworking hours. The computer diskettes, used
as a backup system for the computer record, are locked in a file
cabinet and kept in an office that is locked during nonworking hours.
Retention and disposal:
Records on Scholars are destroyed 5 years after final payment or after
completion of audit-related activities or litigation, whichever is
later.
System manager(s) and address:
Director, Division of Program Operations and Systems, Office of
Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW., room 4640, GSA Regional Office Building 3, Seventh and D
Streets, SW., Washington, DC 20200-5459.
Notification procedure:
An individual wishing to know if information about him or her is
maintained in this system of records must submit a written request to
the system manager. Requests must reasonably specify the system of
records containing the information and the particular record contents
being sought. For a complete statement of notification procedures, see
ED's Privacy Act regulations, 34 CFR 5b.5.
Record access procedures:
An individual wishing to gain access to a record in this system of
records must submit a written request to the system manager. Requests
must reasonably specify the system of records containing the
information, the particular record content being sought, and the
reason for the request. Requests for access to a record in this system
of records must meet the requirements of ED's Privacy Act regulations,
34 CFR 5b.5.
Contesting record procedure:
Individuals desiring to contest information contained in a record in
this system of records should contact the system manager. Requests
must be made either in writing or in person and must specify: (1) The
system of records from which the record is to be retrieved; (2) the
particular record the requestor is seeking to amend; (3) a description
regarding whether a deletion, an addition, or a substitution is being
sought; and (4) the reason(s) for the requested change(s). Requests
for amendments of a record must meet the requirements of ED's Privacy
Act regulations, 34 CFR 5b.7.
Record source categories:
Information contained in the system will be obtained principally from
individual applicants, nominating committee members, State
governments, references, and schools attended by the applicant.
System exempted from certain provisions of the act:
None.
18-40-0039
System name:
National Student Loan Data System.
Security classification:
None.
System location:
E-Systems, Greenville Division, PO Box 6056, Greenville, Texas 75403-
6056.
Categories of individuals covered by the system:
Borrowers who have applied for and received loans under the William D.
Ford Federal Direct Loan Program; borrowers who applied for and
received loans under the Federal Insured Student Loan (FISL) Program;
borrowers who applied for and received loans under the Federal Family
Education Loan (FFEL) Program; borrowers who applied for and received
loans under the Federal Perkins Loan Program (including National
Defense Student Loans and National Direct Student Loans); borrowers
who had a loan discharged in bankruptcy under the FISL Program and on
which the Department of Education (ED) paid a claim to the holder of
the loan; borrowers who defaulted on their loans or became disabled;
borrowers whose loans were guaranteed by a guaranty agency and who
defaulted under the FFEL Program if those loans were assigned by the
guaranty agency to ED; FFEL borrowers whose lenders have reported them
delinquent or reported their locations as unknown; FFEL borrowers
whose loans were cancelled due to borrower's total and permanent
disability, or whose loans were discharged in bankruptcy under the
FFEL Program; FFEL borrowers whose loans were discharged under certain
circumstances due to a school closing or a false loan certification;
borrowers under the Federal Perkins Loan Program whose loans have been
assigned to ED because of default; borrowers whose loans were serviced
by guaranty agencies for which ED has assumed management
responsibility; and Federal Pell and Federal Supplemental Educational
Opportunity Grants on which overpayments are collected by the
Department.
Categories of records in the system:
Contains records regarding (1) loan and educational status; (2) data
on family income; (3) name; (4) social security number; (5) address;
(6) amount of claim; (7) forbearance; (8) cancellation; (9)
disability; (10) deferment information; (11) profile information on
schools, lenders and guaranty agencies; (12) student/borrower date of
birth; (13) details regarding each loan received by a student; (14)
school(s) attended by student who has received aid to attend at least
one school; (15) loan repayment information; (16) student/borrower
anticipated school completion date; (17) an indication which loans
were obtained from a lender-of-last-resort; (18) loan refund/
cancellation information; and (19) grant overpayment date and amount.
Authority for maintenance of the system:
Higher Education Act of 1965, Title IV-A through IV-G, as amended,
(20 U.S.C. 1092b).
Purpose(s):
This system of records is maintained for the purposes of: (1)
Providing pre-screening for Title IV aid eligibility; (2) providing
default rate calculations for schools, guaranty agencies, and lenders;
(3) reporting changes in student/borrower enrollment status (Student
Status Confirmation Reporting (SSCR)); (4) preparing electronic
financial aid transcript information; (5) assisting guaranty agencies
in helping lenders collect delinquent loans (pre-claims assistance
(PCA)/supplemental PCA support); (6) providing audit and program
review planning; (7) supporting research studies and policy
development; (8) conducting budget analysis and development; (9)
tracking loan transfers from one entity to another; (10) assessing
FFEL Program administration of guaranty agencies, schools, and
lenders; (11) tracking borrowers; (12) providing information that will
support Credit Reform Act of 1992 requirements; (13) providing
information to track refunds/cancellations; and (14) collecting debts
owed to the Department under Title IV of HEA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
ED 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 purpose for which the record was collected only as
needed to achieve a program objective under the following routine
uses:
(a) Program purposes. Records may be disclosed for the following
program purposes:
(1) To verify the identity of the applicant and assist with the
determination of program eligibility and benefits, disclosures may be
made to appropriate guaranty agencies, educational and financial
institutions, and appropriate Federal agencies;
(2) To provide default rate calculations, disclosures may be made to
guaranty agencies, educational and financial institutions, and State
agencies;
(3) To assist students in locating the holders of their loan(s) (loan
transfer tracking), disclosures may be made to guaranty agencies,
educational and financial institutions, and State or Local agencies;
(4) To provide a standardized student status confirmation report for
schools to efficiently submit student enrollment status changes,
disclosures may be made to guaranty agencies, and educational and
financial institutions;
(5) To provide financial aid transcript information, disclosures may
be made to educational institutions;
(6) To assist guaranty agencies and lenders in the collection of loans
(pre-claims assistance/supplemental pre-claims assistance
notification), disclosures may be made to guaranty agencies,
educational and financial institutions, and State or Local agencies;
and
(7) To enforce the terms of a loan and assist in the collection of a
loan, disclosures may be made to guaranty agencies, educational and
financial institutions, and Federal, State, or Local agencies.
(b) 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 purpose 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.
(c) 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.
(d) 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 into 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.
(e) Disclosure to the Office of Management and Budget (OMB) for Credit
Reform Act (CRA) Support. ED may disclose individually identifiable
information to OMB as necessary to fulfill CRA requirements. (These
requirements currently include transfer of data on lender interest
benefits and special allowance payments, defaulted loan balances, and
supplemental preclaims assistance payments information.).
(f) Employee grievance, complaint or conduct disclosure. If a record
is relevant and necessary to an employee grievance, complaint, or
disciplinary action, ED may disclose the record in the course of
investigation, factfinding, or adjudication to any witness, designated
factfinder, mediator, or other person designated to resolve issues or
decide the matter.
(g) Labor organization disclosure. Where a contract between a
component of ED and a labor organization recognized under 5 U.S.C.,
Chapter 71, provides that the Department will disclose personal
records relevant and necessary to the organization's mission, records
in this system of records may be disclosed as a routine use to such an
organization.
(h) Computer matching disclosure. Any information from this system of
records, including personal information obtained from other agencies
through computer matching programs, may be disclosed to a Federal or
State agency under a computer matching agreement in connection with an
individual's application for, or participation in, any grant or loan
program administered by ED. The purposes of these disclosures may be
to determine program eligibility and benefits, enforce the condition
and terms of a loan or grant, permit the servicing and collecting of
the loan or grant, prosecute or enforce debarment, suspension, and
exclusionary actions, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate
legal action against an individual involved in program fraud or abuse.
(i) FOIA advice disclosure. In the event that ED 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.
(j) Disclosure to the Department of Justice. ED may disclose
information from this system of records as a routine use to the
Department of Justice to the extent necessary for obtaining its advice
on any matter relevant to an audit, inspection, or other inquiry
related to the Department's responsibilities under Title IV of the
Higher Education Act of 1965.
(k) Congressional member disclosure. ED may disclose information from
this system of records to a congressional office from the record of an
individual 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.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
taxpayer identification number and other information necessary to
establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the
information specified in this paragraph under 5 U.S.C. 552a(b)(12) and
the procedures contained in 31 U.S.C. 3711 (f). A consumer reporting
agency to which these disclosures may be made is defined at 15 U.S.C.
1681a(f), and 31 U.S.C. 3701 (a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disclosing of records in the system:
Storage:
The records are maintained on magnetic tape and computer disk media.
Retrievability:
Data are retrieved by matching social security number, name and date
of birth.
Safeguards:
All physical access to the sites of the contractor 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 or visitor badge. The computer system employed by the
Department of Education offers a high degree of resistance to
tampering and circumvention by use of software that requires user
access to be defined down to the individual data element. This
security system limits data access to Department of Education and
contract staff on a ``need to know'' basis, including external users
of the system (guaranty agency and school personnel) and controls
individual users' ability to access and alter records within the
system. All users of this system are given a unique user ID with a
personal identifier. The software monitors and tracks changes to any
data element. Any change to the database is recorded, together with
the identity of the individual user who made the change.
Retention and disposal:
Records of individual loans will be archived twelve months after a
loan is closed. The loan will be archived to optical disk for
economical and efficient storage. An Optical Disk Maintenance Program
will be implemented to lengthen the shelf-life of the exposure on the
optical disk. The Department will retain and dispose of NSLDS records
in accordance with the ED Comprehensive Records Disposition Schedule,
Part 10 item 16(a)(b)(c)(d)(e), which permits retention for a maximum
period of ten years after the loan is closed.
System manager(s) and address:
Director, Division of Program Systems Service, U.S. Department of
Education, Office of Postsecondary Education, 600 Independence Avenue,
SW., Washington, DC 20202-5175.
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 his or her name, date of birth, social security number,
and the name of the school or lender from which the loan or grant was
obtained. Requests for notification about an individual must meet the
requirements of the Department of Education's Privacy Act regulations
at 34 CFR 5b.5.
Record access procedures:
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 procedures.
Contesting record procedures:
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 procedures, 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.
Record source categories:
Information is obtained from guaranty agencies, schools, and the Title
IV Program Files (Privacy Act System of Records Number 18-4000-24).
However, lenders and guaranty agencies are not a source of information
for participants in the William D. Ford Federal Direct Loan Program
because the Department maintains individual records of borrowers.
System exempted from certain provisions of the act:
None.
18-40-0045
System name: Student Financial Assistance Collection Files, ED/
OPE/OSFA.
Security classification:
None.
System location:
(See the appendix to this system notice.)
Categories of individuals covered by the system:
Defaulted borrowers and individuals owing refunds and monies under
student financial assistance programs administered by the Office of
Student Financial Assistance (OSFA).
Categories of records in the system:
Name, address, social security number, postsecondary school, student
application, collection and repayment history with both lender and the
Department of Education (ED), skip tracing information, borrower's
financial ability and willingness to pay, claim for insurance
reimbursement, disclosures, forebearance and deferment documents,
promissory notes; correspondence between lender and borrower, borrower
and ED, borrower or debtor and school, ED and school, and between ED
and relatives; collector's notes, Department of Motor Vehicles
reports, Internal Revenue Service listing of last known address, and
reports of credit investigations.
Authority for maintenance of the system:
Higher Education Act of 1965, Title IV; Migration and Refugee
Assistance Act of 1962, section 2.
Purpose(s):
The system is maintained for the following purposes:
1. Documenting the amounts owed to the Department when the Department
makes payments on a guarantee or reinsurance agreement, accepts an
assignment or referral of a student loan, or determines that an
overpayment of student financial assistance has been made;
2. Establishing correct balances by posting borrower payments,
adjustments and interest accrual;
3. Maintaining a payment history for each borrower for use in credit
reports, repayment negotiations, salary offset hearings, and
collection litigation;
4. Documenting changes in a borrower's name, address or status;
5. Identifying areas of responsibility within the Department's
collection units; and
6. Acting as a source of data for statistical analysis and management
reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information may be furnished to Federal, State, or local agencies,
to private parties such as relatives, present and former employers,
business and personal associates, to guarantee agencies, to
educational and financial institutions, to credit bureaus and
collection agencies, and to agency contractors, in order to verify the
identity of the applicant, to determine program eligibility and
benefits, to enforce the conditions or terms of the loan, to permit
servicing or collecting of the loan, to counsel the borrower in
repayment efforts, to investigate possible fraud and verify compliance
with program regulations, or to locate a delinquent or defaulted
borrower. The information may also be furnished to computer
contractors for issuance of computerized collection letters; to credit
company contractors for skip tracing, in-file history information,
assets and ability to pay; to U.S. Internal Revenue Service to
determine last known address; to U.S. Postal Service to determine last
known address; General Accounting Office for possible pre-litigation
collection service; to a hearing official to conduct a salary offset
hearing under 34 CFR part 31; to U.S. Department of Justice for
possible legal action; to U.S. Federal Bureau of Investigation in
performance of investigation into possible fraud cases; to State
Departments of Motor Vehicles to determine last known address; to
State Bureaus of Vital Statistics for verification of death; to
financial institutions, including mortgage companies, for credit
checks; to educational agencies or institutions against which a
complaint has been made; to other guaranteed student loan lenders
making inquiries concerning the defaulted students; to other Federal
agencies requesting information as to the repayment history of the
defaulted account; to the General Accounting Office for discharge of
authorized functions and for routine uses contained in Departmental
Regulations at 34 CFR part 5b, appendix B, items 1, 3, 4, 5, 6, 7, 8,
9, and 11. Disclosure may be made to a Congressional Office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent the
employee, the Department may disclose records as it deems desirable or
necessary to the Department of Justice to enable that Department to
effectively represent the party, provided the disclosure is compatible
with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files, stored in file cabinets.
Retrievability:
By name. Records are available to OSFA staff for administration of
collection responsibilities, and used as feeder information in skip
tracing; to ED auditors for possible audit; to ED Counsels to resolve
legal questions; and to ED Investigators for investigation of fraud
possibilities.
Safeguards:
Records are stored in locked file cabinets or in locked rooms after
working hours with access by authorized agency personnel. Exception:
Subject disclosure requirements of the Privacy Act.
Retention and disposal:
Records are maintained five (5) years beyond the closing of the case.
Disposal by shredding.
System manager(s) and address:
See the Appendix for this system notice.
Notification procedure:
See system manager, address as indicated in the Appendix to this
notice. Inquiries should be addressed to the system manager in the
region in which the school attended or lender is located. Provide
system I.D. number and system name. Also provide the name, address and
social security number of the individual inquiring about his or her
records.
Record access procedures:
Contact system manager.
Contesting record procedures:
Contact system manager.
Record source categories:
From the original lender, student loan, grant or financial assistance
application, school attended and the financial aid recipient.
Systems exempted from certain provisions of the act:
None.
Appendix to System 18-40-0045
For loans made by schools or lenders in the following States:
Alabama, Connecticut, Delaware, Florida, Georgia, Kentucky, Maine,
Maryland, Massachusetts, Mississippi, New Hampshire, New Jersey, New
York, North Carolina, Pennsylvania, Puerto Rico, Rhode Island, South
Carolina, Tennessee, Vermont, Virginia, Virgin Islands, Washington,
DC, and West Virginia, contact Region IV at the following address:
Assistant Regional Administrator, U.S. Department of Education, Region
IV, Division of Claims and Collections, Office of Student Financial
Assistance, 101 Marietta Tower, Third Floor, Atlanta, GA 30323.
For loans made by schools or lenders in the following States:
Arkansas, Illinois, Indiana, Louisiana, Michigan, Minnesota, New
Mexico, Ohio, Oklahoma, Texas, and Wisconsin, contact Region V at the
following address: Assistant Regional Administrator, U.S. Department
of Education, Region V, Division of Claims and Collections, Office of
Student Financial Assistance, 300 South Wacker Drive, 32nd Floor,
Chicago, IL 60606.
For loans made by schools or lenders in the following States:
Alaska, Arizona, California, Colorado, Guam, Hawaii, Idaho, Iowa,
Kansas, Missouri, Montana, Nebraska, Nevada, North Dakota, Trust
Territory of the Pacific, Utah, Wake Island, Washington, and Wyoming,
contact Region IX at the following address: Assistant Regional
Administrator, U.S. Department of Education, Region IX, Division of
Claims and Collections, Office of Student Financial Assistance, 50
United Nations Plaza, Room 234, San Francisco, CA 94102.
18-40-0050
System name: Presidential Scholars Files of Selected
Participants, ED/OSERS/OGT.
Security classification: None.
System location: Room 3831, Donohoe Building, 400 6th Street SW,
Washington, DC 20202
Categories of individuals covered by the system: Selected Participants
for the Presidential Scholars Program 1964 to present.
Categories of records in the system: Name, address, biographical
information supplied by student.
Authority for maintenance of the system: Executive Order No. 11155, Sec.
4.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To Commission on
Presidential Scholars for historical archives and current data to be
used for annual selection of scholars; to authorized agency
officials and employees as well as contracting officers which change
yearly for arrangements for Presidential Scholars activities during
their visit to Washington, DC to authorized agency officials and
employees for public affairs, press releases, etc. Disclosure may be
made to a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual. In the event of litigation where one of
the parties is (a) the Department, any component of the Department,
or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the
claim, if successful, is likely to directly affect the operations of
the Department or any of its components; or (c) any Department
employee in his or her individual capacity where the Justice
Department has agreed to represent such employee, the Department may
disclose such records as it seems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with
the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are kept in file cabinets in paper files.
Retrievability: By name, State, and year of selection.
Safeguards: Used only by authorized personnel for specific purposes with
permission of individual whose name is on file.
Retention and disposal: Records are maintained indefinitely.
System manager(s) and address: Deputy Director, Office of Gifted and
Talented, Education Department, Room 3831, Donohoe Building, 400
Maryland Avenue SW, Washington, DC 20202
Notification procedure: Contact system manager. Requester should provide
name, address, system ID, and system name.
Record access procedures: Contact system manager.
Contesting record procedures: Contact system manager.
Record source categories: Individuals submit information by answering a
questionnaire. College Entrance Examination Board supplies test
scores and answers to questionnaires. Recommendations from school
principal submitted with permission of applicant. References are
submitted on approved forms.
Systems exempted from certain provisions of the act: None.
18-40-0077
System name: Records of Educationally Disadvantaged Students
Attending Private Schools Served Through Bypass Contracts, ED/
OESE/CEP.
Security classification:
None.
System location:
See the Appendix to this system notice.
Categories of individuals covered by the system:
Selected elementary and secondary school students who--
(1) Attend private schools;
(2) Reside in target areas of bypassed local educational agencies; and
(3) Participate in the program for educationally disadvantaged
students under Chapter 1 of the Education Consolidation and
Improvement Act of 1981.
Categories of records in the system:
Contains documents, identified by name and number, of students
participating in programs under Chapter 1 of the Education
Consolidation and Improvement Act, such as pre-and post-achievement
test scores, report cards, and reports from Chapter 1 teachers to
regular classroom teachers and to parents.
Authority for maintenance of the system:
Section 557(b), Chapter 1, Education Consolidation and Improvement Act
of 1981 (Pub. L. 97-35) (20 U.S.C. 3806(b)).
Purpose(s):
The purpose of the standardized test scores obtained at the beginning
of a year is to determine the eligibility of students for
participation in the Chapter 1 program. The purpose of report cards
and reports of Chapter 1 teachers to regular classroom teachers and to
parents is to report the progress students are making during the
school year. The purpose of the scores made on achievement tests given
at the end of a school year is to measure the progress students have
made during the year and to measure to degree to which the objectives
of the Chapter 1 program have been met.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Chapter 1 teachers make information contained in this system or
records available to regular classroom teachers and to the record
subjects' parents to explain to those persons the eligibility of
students and their progress in the Chapter 1 program. Supervisors of
the Chapter 1 teachers use information contained in this system of
records as a part of the monitoring process to measure progress being
made toward achieving program objectives.
The Department may disclose a record for the purposes described in the
Department's Privacy Act regulations (34 CFR part 5b, appendix B,
items (1), (3), (4), (5), (6), (8), (9), (10), and (11)).
Disclosure of information in this system of records may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual.
In the event of litigation involving one of the parties listed below
or in which one of these parties has an interest, the Department may
disclose those records that it deems relevant and necessary to the
Department of Justice to enable that Department to effectively
represent that party, if the disclosure is compatible with the purpose
for which the records were collected. The parties to which this
routine use applies are--
(a) The Department, any component of the Department, or any employee
of the Department in his or her official capacity;
(b) The United States where the Department determines that the claim,
if successful, is likely to directly affect the operations of the
Department or any of it components; and
(c) Any Department employee in his or her individual capacity where
the Department of Justice has agreed to represent such employee.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each student's records are kept in a separate file folder. All folders
are filed in locked filing cabinet in the Chapter 1 classroom. After a
student no longer participates in the program, his or her records are
transferred to the contractor's office where they are stored in locked
filing cabinets.
Retrievability:
The records are indexed by the name and identification number of
students participating in the Chapter 1 program.
Safeguards:
The records are secured in a locked filing cabinet. The key is kept by
the Chapter 1 teacher. After a student no longer participates in the
program, the records are transferred to the contractor's office where
they are stored in a locked filing cabinet. Direct access is
restricted to the Chapter 1 teacher and aide during the day-to-day
program operation. The instructional supervisor, representatives of
the contractor, and Department of Education staff have access during
monitoring visits.
Retention and disposal:
Records are maintained in the contractor's office for at least three
years after final payment on the contract. Disposal of records follows
the requirements of the Federal Records Disposal Act.
System manager(s) and address:
Director, Compensatory Education Programs, U.S. Department of
Education, 400 Maryland Avenue, SW, (Room 5102, ROB-3), Washington, DC
20202.
Notification procedure:
For information about a student in a program in a bypassed local
educational agency in a State listed in the appendix to this notice,
the student or his or her parent or guardian (authorized individual)
must notify the appropriate contractor for the State served by the
bypass contract. The appendix to this notice provides the name and
address of the appropriate contractor.
For identification, the authorized individual seeking information
should provide the name, home address, and school of the student for
whom information is being requested. The request must meet the
requirements in the Department's Privacy Act regulations at 34 CFR
5b.5.
Record access procedures:
An authorized individual must contact the appropriate contractor to
obtain bypass information about a student who is or has been in a
bypass program.
The authorized individual should provide the appropriate contractor
with information listed in the notification procedure of this notice
and reasonably specify the record contents being sought. If the
authorized individual is unable to obtain satisfaction from the
contractor, he or she may seek access through the system manager. The
request must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.5.
Contesting record procedures:
An authorized individual who wishes to contest the content of the
record of a participating Chapter 1 student should contact the
appropriate contractor for the State served by the bypass contract.
See the appendix to this notice for the name and address of the
appropriate contractor. The authorized individual should identify
himself or herself and state, in writing, which portion of the record
the individual desires changed and provide a justification and
authorization for the change. The appropriate contractor will forward
the request to the system manager. The request must meet the
requirements of 34 CFR 5b.7.
Record source categories:
The contractor obtains test score information from public and private
schools where achievement tests for program eligibility are
administered, and obtains class performance information from Chapter 1
teachers.
Systems exempted from certain provisions of the act:
None.
Appendix to System 18-40-0077
State served under the Bypass Contract:
Missouri
Contractor serving the State:
Blue Hills Homes Corporation, 1020 East 63rd Street, Kansas City, MO
64110
Sites served by the contractor:
801 Locust Street, Apt. 26, Boonville, MO 65233
Clinton Civic Center, Third and Green Streets, Clinton, MO 64501
The Body Shop, 908 Bernadette Drive, Columbia, MO 65202
1122 Cost McCarty, Jefferson City, MO 65101
Linwood YMCA, 3800 East Linwood Street, Kansas City, MO 64128
Della C. Lamb Center, 500 Woodland Street, Kansas City, MO 64124
W.E.B. Dubois Learning Center, 5501 Cleveland Street, Kansas City, MO
64130
Mid American Bank of Linn,
Linn, MO 65051
Arrow Street Office Building, 368 West Arrow Street, Marshall, MO
65340
Greenco Credit Union, 802 Breckinridge Street, Mexico, MO 65265
Sedalia Community Center, 314 South Washington Avenue, Sedalia, MO
65301
Springfield Community Center, 618 North Benton Street, Springfield, MO
65802
Tipton Rentals Center, PO Box 458, Tipton, MO 65081
University of Missouri Meeting Room, PO Box 187, Vienna, MO 65582
Rich Fountain Senior Citizens Housing Project Meeting Room, Rt. No.1,
Freeburg, MO 65035
Westphalia Tour Council Building, PO Box 85, Westphalia, MO 65085
Freeburg Fire House Building, Rt. No. 1, PO Box 27, Freeburg, MO 65035
The Florist Shop,
28 North Pacific Street, Cape Girardeau, MO 63701
The Public Library, 225 South High Street, Jackson, MO 63755
Box 65, Monroe, MO 63456
The Bine Apartment, 719 Bine Street, Poplar Bluff, MO 63901
360 A. Market Street St., Genevieve, MO 63670
Baden Center, 8230 North Broadway Street, St. Louis, MO 63147
Carr Lane Center, 1004 North Jefferson Avenue, St. Louis, 63106
Castleman Center, 2004 South 39th Street, St. Louis, 63110
Cherokee Center, 3200 South Jefferson Avenue, St. Louis, MO 63118
Dunn-Marquette Center, 4025 Minnesota Avenue, St. Louis, MO 63118
Fanning Center, 3417 Grace Avenue, St. Louis, MO 63116
Gardenville Center, 6651 Gravois Avenue, St. Louis, MO 63116
Kennard Center, 5031 Potomac Street, St. Louis, MO 63139
Lafayette Center, 2353 Park Avenue, St. Louis, MO 63104
Lowell Center, 1409 Linton Avenue, St. Louis, MO 63107
Natural Bridge Center, 6814 Natural Bridge Road, St. Louis, MO 63121
Wilmington Center, 5914 Leona Avenue, St. Louis, MO 63130
Candy Center, 4206 Kennerly Avenue, St. Louis, MO 63113
12th and Park Center, 1410 South 12th Street, St. Louis, MO 63104
Windsor Center, 4092 Robert Avenue, St. Louis, MO 63116
Wahl Center, 1515 North Kingshighway Boulevard, St. Louis, MO 63113
Records are also located in mobile units at various public sites in
local school districts. Access to these records can be obtained by
writing to the contractor:
Blue Hills Homes Corporation, 1020 East 63rd Street, Kansas City, MO
64110
Appendix to System 18-40-0077
State served under the Bypass Contract:
Virginia
Contractor serving the State:
NonPublic Educational Services, Inc., 4733 Bethesda Avenue, Suite 725,
Bethesda, MD 20814
Sites served by the contractor:
Buckingham Village, Apt. 4, 221 N. Thomas Street, Arlington, VA 22203
St. Gabriel's Day Care Center, 4319 Sano Street, Alexandria, VA 22312
Education Center, 3301 Glen Carolyn Road, Falls Church, VA 22041
Little House, Spring & Broad Street, Falls Church, VA 22041
Hartwood House, 2903 Popkins Lane, Alexandria, VA 22306
McGurk House, 2425 Tate Spring Road, Lynchburg, VA 23505
Grace Street Apartment, 2506 East Grace Street, Richmond, VA 23223
Brick Learning Center, 3100 A Grove Avenue, Richmond, VA 23221
Carmel Center Nursery, 52 Harpersville Road, Newport News, VA 23601
Southside Day Nursery, 1420 McDough Street, Richmond, VA 23224
Lewis Ginter Recreation Association, 3421 Hawthorn Avenue, Richmond,
VA 23222
Bartleby's, 412 Libbie Avenue, Richmond, VA 23226
Knights of Columbia, 211 West Government Avenue, Norfolk, VA 23503
St. Gregory's Credit Union, 5347 Virginia Beach Boulevard, Virginia
Beach, VA 23461
Salvation Army, 2306 Airline Boulevard, Portsmouth, VA 23701
Boy Scout Building, 3341 Tidewater Drive, Norfolk, VA 23509
Artic Crescent, Apt. 3A, 317 15th Street, Virginia Beach, VA 23451
St. Mary's Infant Home, 317 Chapel Street, Norfolk, VA 23504
Thunderbird Bowling Lanes, 1577 Laskin Road, Virginia Beach, VA 23454
3407 Colly Avenue, Norfolk, VA 23508
Scout Building, 7813 Holprin Drive, Norfolk, VA 23518
18-40-0078
System name: Fellowships for Indian Students--Applications and
Awards, ED/OESE/OIE.
Security classification: None.
System location: Office of Indian Education, Room 2177, FOB No. 6, 400
Maryland Avenue SW, Washington, DC 20202.
Categories of individuals covered by the system: American Indians who
are citizens of the United States or residents of the United States
for other than a temporary purpose, who have been accepted by
institutions of higher education in a program leading to an
undergraduate or graduate degree in the fields of Business
Administration, Engineering and Natural Resources or related fields,
and graduate degree in the fields of education, law and medicine or
related fields, and who have applied to ED's Office of Indian
Education for a fellowship.
Categories of records in the system: Name, address, phone number, date
and place of birth, tribal affiliation, tribal roll number, social
security number, sex, marital status, citizenship, names of
dependents, educational background, employment background,
educational transcripts, references, income information, admission
test scores.
Authority for maintenance of the system: Indian Education Act of 1972,
as amended, Pub. L. 92-318, Part B, section 423.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information may be released
to members of the National Advisory Council on Indian Education. For
routine uses contained in the Departmental Regulations (34 CFR part
5b, appendix B, items 1 through 9); for Field Readers for the
purpose of determining eligibility and recommending awardees;
selected data for developing brochures describing the Fellows and
their career goals for public information purposes; and to
Congressional officers in response to inquiries from those offices
made at the request of individuals on whom records are kept. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy, filed in locked
standard file cabinets.
Retrievability: Records are accessed by individual names only by ED
authorized staff and Field Readers for the purposes of determining
eligibility; selecting Fellows: Establishing allowances for
stipends, dependents, tuition, and other expenses; determining
continued eligibility; and developing profile information regarding
recipients of fellowships for program evaluation, planning,
reporting and publicity purposes.
Retention and disposal: Records on fellowship holders are sent to the
Federal Records Center six months after final payment. They are
destroyed by the Federal Records Center three years after final
payment. Records on alternates are maintained for one year. They are
then sent to the Federal Records Center where they are destroyed one
year later. Application forms from applicants not selected as
Fellows or alternates are returned to the applicant. Other records
on these applicants, containing information on the selection
procedure, are maintained for one year and then sent to the Federal
Records Center where they are destroyed three years later.
System manager(s) and address: Deputy Assistant Secretary, Office of
Indian Education, ATTN: Education Program Specialist for
Fellowships, Room 2177, FOB No. 6, 400 Maryland Avenue SW,
Washington, DC 20202.
Notification procedure: Contact Education Program Specialist for
Fellowships.
Record access procedures: Contact Education Program Specialist for
Fellowships.
Contesting record procedures: Contact Education Program Specialist for
Fellowships.
Record source categories: Information is submitted by the individual
applicant on approved forms. References are submitted on approved
forms.
Systems exempted from certain provisions of the act: None.
18-40-0079
System name: Potential and Actual Consultant, Field Reader, and
Site Visitor Files, Indexes, and Lists, ED.
Security classification: None.
System location: See appendix I of this system (18-40-0079).
Categories of individuals covered by the system: Actual and prospective
consultants, field readers, or site visitors used by the Department
of Education to evaluate grant proposals, performance of grantees or
contractors.
Categories of records in the system: Names of consultant, field reader,
and site visitor addresses, position, institutional affiliation (if
any), curriculum vitae (where necessary), social security number for
reimbursement purposes, reimbursement information, areas of
individual expertise, tracking of assignments and appraisal of
effort.
Authority for maintenance of the system: (20 U.S.C. 1221e-3).
Information is provided by persons interested in participating on a
voluntary basis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To general public, on
request, list of names and business addresses of potential and/or
actual consultants, field readers, or site visitors. For uses as
stated in 34 CFR part 5b, appendix B, items 1, 3, 4, 5, 6, 7, 8, and
9. Disclosure may be made to a Congressional office from the record
of an individual in response to an inquiry from the Congressional
office made at the request of that individual. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders in file cabinets or card files with pertinent
data, and (in limited locations) computer data based tapes and
disks.
Retrievability: By name, expertise, or social security number of
potential or actual consultant, reader, or site visitor. Records are
used to ensure that a fair, equal, and qualified group of
consultants, readers, or site visitors is selected to review
proposals or evaluate performances.
Safeguards: Direct access is restricted to persons designated by systems
managers to be responsible for maintenance of file or selection of
panels of consultants, readers, or site visitors. Automated
locations are protected by requiring a password as well as a key
lock on the terminal.
Retention and disposal: Destroy after five years (Item 25 OE Records
Control Schedule).
System manager(s) and address: See Appendix I.
Notification procedure: Contact system manager of pertinent
organizational component(s). Provide name and approximate date of
previous correspondence. Additional verifying data (such as
birthdate, home address) may be requested.
Record access procedures: Contact system manager as above.
Contesting record procedures: Contact system manager as above.
Record source categories: Information forwarded voluntarily by
individuals interested in serving as consultants, readers, or site
visitors, obtained by contacting individuals with specific expertise
in the pertinent discipline of each system manager.
Systems exempted from certain provisions of the act: None.
Appendix I
Director, Office of Gifted and Talented, Room 3831, Donohoe, 400
Maryland Avenue SW, Washington, DC 20202
Progam Manager, Learning Disabilities Program, Room 3127, Donohoe, 400
Maryland Avenue SW, Washington, DC 20202
Director, Division of Local Educational Agency Assistance, Room 2167,
FOB No. 6, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of Training and Facilities, Room 3066, ROB No. 3,
400 Maryland Avenue, SW, Washington, DC 20202
Director, Community College Unit, Room 3044, ROB No. 3, 400 Maryland
Avenue, SW, Washington, DC 20202
Director, Division of Program Operations, Room 2007, FOB No. 6, 400
Maryland Avenue, SW, Washington, DC 20202
Director, Division of Technical Assistance, Room 2031, FOB No. 6, 400
Maryland Avenue, SW, Washington, DC 20202
Program Manager, Handicapped Research Program, Room 3165, Donohoe, 400
Maryland Avenue, SW, Washington, DC 20202
Administrative Officer, Bureau of Education for the Handicapped, Room
4030, Donohoe, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of Special Projects and Programs, Room 2161, FOB
No. 6, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of International Education, Room 3907, ROB No. 3,
400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of Institutional Development, Room 3052, ROB No. 3,
400 Maryland Avenue, SW, Washington, DC 20202
Director, Office of Environmental Education, Room 1100, Donohoe
Building, 400 6th Street SW, Washington, DC 20202
Deputy Assistant Secretary, Equal Educational Opportunity Programs,
Room 2001, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of Education Replication, Room 3616, ROB No. 3, 400
Maryland Avenue, SW, Washington, DC 20202
Chief, Library Research and Demonstration Branch, Room 3124, ROB No.
3, 400 Maryland Avenue, SW, Washington, DC 20202
Executive Officer, Bureau of Occupational and Adult Ed, Room 5636, ROB
No. 3, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Women's Program Staff, Room 1100, Donohoe Building, 400
Maryland Avenue, SW, Washington, DC 20202
Privacy Coordinator, PO Box 8370, Boston, MA 02114
Privacy Coordinator, Room 406, 26 Federal Plaza, New York, NY 10007
Privacy Coordinator, 3535 Market Street, Room 16200, Philadelphia, PA
19104
Privacy Coordinator, 32nd Floor, 300 South Wacker Drive, Chicago, IL
60606
Privacy Coordinator, Room 360, FOB, 601 East 12th Street, Kansas City,
MO 64106
Privacy Coordinator, 50 Fulton Street, San Francisco, CA 94102
Chif, Library Education and Postsecondary Resources Branch, Room 3622,
ROB No. 3, 400 Maryland Avenue, SW, Washington, DC 20202
Chief, Educational Broadcasting Facilities Branch, Room 3122-A, ROB
No. 3, 400 Maryland Avenue, SW, Washington, DC 20202
Director, Division of Educational Technology, Room 3116, ROB No. 3,
400 Maryland Avenue, SW, Washington, DC 20202
Program Manager, Metric Education Program Staff, Room 3700, Donohoe
Building, 400 Maryland Avenue, SW, Washington, DC 20202
Deputy Director, Office of Career Education, Room 3100, ROB No. 3, 7th
and D Streets, SW, Washington, DC 20202
Executive Officer, Bureau of Higher and Continuing Education, Room
4072, ROB No. 3, 400 Maryland Avenue, SW, Washington, DC 20202
Privacy Coordinator, Room 513, 50 Seventh Street, NE, Atlanta, GA
30323
Privacy Coordinator, 1114 Commerce Street, Dallas, TX 75202
Privacy Coordinator, Room 3444A, FOB, 1961 Stout Street, Denver, CO
80202
Privacy Coordinator, Room 515, Arcade Plaza Building, 1321 Second
Avenue, Seattle, WA 98101
Director, Arts and Humanities, Room 3728, Donohoe Bldg., 400 6th
Street SW, Washington, DC 20202
Acting Director, Law Related, Room 1630, Donohoe Bldg., 400 6th Street
SW, Washington, DC 20202
Director, Basic Skills Program, Room 1167, Donohoe Bldg., 400 6th
Street SW, Washington, DC 20202
Director, Womens Educational Equity Act Program, Room 1100, Donohoe
Bldg., 400 6th Street SW, Washington, DC 20202
Director, Ethnic Heritage Studies Program, Room 3928, Donohoe Bldg.,
400 6th Street SW, Washington, DC 20202
Director, Metric Education Program, Room 835, Riviere Bldg., 1832 M
Street NW, Washington, DC 20036
Director, Consumer Education Program, Room 807, Riviere Bldg., 1832 M
Street NW, Washington, DC 20036
18-40-0080
System name: Training and Development Awards for Vocational
Education Personnel--Applications and Awards, ED/OVAE.
Security classification: None.
System location: ROB No. 3, Room 5636, 7th and D Streets SW, Washington,
DC 20202
Categories of individuals covered by the system: Persons who wish to
participate in Federal vocational education fellowship programs and
who voluntarily submit personal information.
Categories of records in the system: Name, address, phone number, date
of birth, sex, educational background, employment background,
educational transcript, references, test scores, minority group
membership, State board recommendations, communication skills; for
Leadership Development Awards, special leadership qualifications,
management skills, leadership potential; for Teacher Certification
Awards, certification requirements, certification status, human
relation skills, and vocational skills.
Authority for maintenance of the system: Vocational Education Act of
1963, Title I, Part B. Subpart 2, Section 172, as amended by the
Education Amendments of 1976, Pub. L. 94-482, Title II.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For routine uses contained
in 34 CFR part 5b, appendix B, items 1 through 9; for Field Readers
for the purposes of determining eligibility and recommending
awardees; selected data for developing brochures describing the
Fellows and their career goals for public information purposes; and
to Congressional offices in response to inquiries from those offices
made at the request of individuals on whom records are kept. A copy
of the application is forwarded for review purposes to the
institution of higher education to which the awardee is assigned and
to the State Board of the State in which the applicant resides. In
the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to affect directly the operations of the Department or any of
its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent the employee, the Department may disclose the records as
it deems desirable or necessary to the Department of Justice to
enable that Department to effectively represent the party, provided
the disclosure is compatible with the purpose for which the records
were collected.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in hard-copy, filed in locked
standard file cabinets.
Retrievability: Records are accessed by individual names only by
authorized ED staff and Field Readers for the purposes of:
Determining eligibility; selecting Fellows; establishing allowances
for stipends, dependents, tuition, and other expenses; determining
continued eligibility; and the developing profile information
regarding recipients of fellowships for program evaluation,
planning, reporting and publicity purposes.
Safeguards: Direct access is restricted to authorized ED staff.
Retention and disposal: Records on fellowship holders are sent to the
Federal Records Center six months after final payment. They are
destroyed by the Federal Records Center three years after final
payment. Records on alternates are maintained for two years for
Teacher Certification Awards and three years for Leadership
Development Awards. They are then sent to the Federal Records Center
where they are destroyed one year later. Application forms from
applicants not selected as Fellows or alternates are returned to the
applicant. Other records on these applications, containing
information on the selection procedures, are maintained for one year
and then destroyed.
System manager(s) and address: Chief, Personnel Development Branch,
Office of Vocational and Adult Education, ROB-3, Room 5636, 400
Maryland Avenue SW, Washington, DC 20202.
Notification procedure: An individual should provide his or her name to
the system manager in order to verify whether his or her application
is in the system.
Record access procedures: An individual who is interested in seeing his
or her application should contact the system manager, and be
prepared to verify his or her identify to the system manager.
Contesting record procedures: An individual who wishes to contest the
contents of an application file in his or her system should contact
the system manager, identify the portion of the application to be
changed, and provide written justification and authorization for the
change.
Record source categories: Information is submitted by the individual
applicant on approved forms. References are attached to
applications.
Systems exempted from certain provisions of the act: None.
18-40-0081
System name: Women Administrators in Vocational Education, ED/
OVAE.
Security classification: None.
System location: The National Center for Research in Vocational
Education, The Ohio State University, 1960 Kenny Road, Columbus,
Ohio 43210.
Categories of individuals covered by the system: Women administrators of
vocational education programs who voluntarily submit personal
information to be published in a Directory of Women Administrators
in Vocational Education. A panel of six vocational education
administrators representing two State educational agencies, two
local educational agencies, universities/colleges, and junior/
community colleges/technical institutes will choose which
individuals to invite to submit information for publication in the
directory.
Categories of records in the system: Name, job title; employing
organization; size of budget administered; number of vocational
programs, students, and teachers supervised; school district
serving; percentage of time devoted to administering a vocational-
technical education program; number of years in present position;
highest level of education; specialized training in administration;
area of expertise; experience in policymaking and decisionmaking;
and membership in professional administration associations. All
information in this system will become public information.
Authority for maintenance of the system: Section 171(a)(1) and (2) of
the Vocational Education Act of 1963 as amended by section 202(a) of
Pub. L. 94-482. Information is provided voluntarily. Failure to
provide the information would result in the individual not being
included in the directory.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: As all information in this
system will be public, and not subject to disclosure accounting (34
CFR 5b.9(c)), there are no routine use disclosures.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The directory will be printed and distributed to the Department
of Education, members of the Directory Selection Criteria Panel,
ERIC, and staff of the National Center for Research in Vocational
Education. The directory will also be made available to the
vocational education community and other interested persons on a
cost-recovery basis through the National Center for Research in
Vocational Education Publication Department. Survey forms will be
stored in standard file cabinets and on magnetic tape.
Retrievability: ED, its contractor, and other users retrieve information
by name of an individual. The users will utilize information to
identify and contact respondents whose skills and experience might
qualify them for job opportunities, or to participate in meetings on
vocational education.
Safeguards: Only authorized contractor employees, or employees of ED,
will have access to individual data in the system. The contractor
will maintain information in accordance with NBS and departmental
ADP security standards. This limited access will serve to protect
the integrity of individual data in the system.
Retention and disposal: ED will maintain hard copy until the information
is obsolete. ED will maintain magnetic tapes until the contractor
updates the directory. Then, the tapes are destroyed.
System manager(s) and address: Project Director for Director of Women
Administrators, Research Branch, Office of Vocational and Adult
Education, Room 5018, ROB No. 3, 7th and D Streets, SW, Washington,
DC 20202.
Notification procedure: In order to determine whether a record exists in
the system of records under her name an individual should either
consult the directory or contact the system manager at the above
address, and provide her name.
Record access procedures: An individual interested in seeing her record
should contact the system manager, provide her name, and reasonably
specify the record contents being sought.
Contesting record procedures: An individual who wishes to contest the
content of a record in the system should contact the system manager,
identify herself, and state, in writing, which portion of the record
should be changed. The individual should also provide a
justification and authorization for the change.
Record source categories: Individuals will provide necessary information
directly to the Department of Education and its contractor on a
voluntary basis.
Systems exempted from certain provisions of the act: None.
18-42-0001
System name: National Center for Education Statistics
Longitudinal Studies and the School and Staffing Surveys, OERI/
NCES.
Security classification:
None.
System location:
See Appendix.
Categories of individuals covered by the system:
Data exist within the National Center for Education Statistics
Longitudinal Studies for the following groups:
1972 high school seniors who participated in the National Longitudinal
Study of the High School Class of 1972.
Approximately 26,820 1980 high school seniors and sophomores from
1,015 U.S. high schools who participated in the High School and Beyond
Survey.
Approximately 26,000 1988 eighth grade students in 1,050 U.S. schools
who particpated in the National Education Longitudinal Study of 1988.
Approximately 60,000 1990 students enrolled in U.S. postsecondary
institutions who will participate in the National Postsecondary
Student Aid Study, the Baccalaureate and Beyond Study, or the
Beginning Postsecondary Students Longitudinal Study.
Approximately 78,000 1987-88 teachers and administrators, who
participated in the School and Staffing Surveys of NCES. Some of these
surveys contain identifiable data regarding schools and agencies.
However, these entities are not individuals subject to the Privacy
Act.
Categories of records in the system:
Records contain responses to survey instruments. In addition to
background and demographic data, the survey instruments include sets
of items concerning educational experiences, employment experiences,
finances, aspirations, plans and goals, family formation variables,
and attitudes. Cognitive test scores, financial aid records, and high
school and college transcripts are appended to the records as well.
The records for schools and local education agencies contain
information on numbers and characteristics of teaching staff,
administrators, financial and demographic data, and data related to
student performance.
The records related to teachers and administrators contain, in
addition to the above, information on training and experience, salary
history, and attitudes and opinions on educational and operational
questions.
Authority for maintenance of the system:
20 U.S.C. 1221e-1
Purpose(s):
All of the longitudinal and school and staffing studies sponsored by
the National Center for Education Statistics are designed to describe
the critical influences, contexts, and transitions of students in
elementary, secondary, and postsecondary education and into employment
and adult experience. This information is necessary to meet the
statutory mandate of the National Center for Education Statistics to
describe the condition of education.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Under the authority of the Commissioner of Education Statistics, the
National Center for Education Statistics will disclose individually
identifiable information to individuals who:
1. Take the oath and sign an affidavit of nondisclosure required under
section 406(d)(4) of the General Education Provisions Act (GEPA) (20
U.S.C. 1221e-1(d)(4)), and
2. Work for a contractor, grantee, or party to a cooperative agreement
or other entity that has an agreement with the Commissioner to do
research for NCES, or
3. Work under a research contract, grant, or cooperative agreement
with a Federal, State, or local agency that requires the use of
individually identifiable information, and the research is compatible
with the purpose for which NCES collected the data, or
4. Work under an agreement in writing, to:
a. Use the information for statistical purposes only,
b. Maintain the data in accordance with applicable Federal laws,
c. Prohibit redisclosure in identifiable form, and
d. Permit NCES' periodic inspection to determine adherence to the
contract or agreement.
The Commissioner of NCES may disclose a record to an individual who
has met the requirements above only for the statistical purposes for
which the record was supplied, as follows:
(1) Contract Disclosure. When the National Center for Education
Statistics intends to contract with a private firm for the purpose of
collating, analyzing, aggregating, maintaining, appending, or
otherwise refining records in this system, the Commissioner of
Education Statistics may release relevant records to the contractor.
The contractor will be required to maintain safeguards under the
Privacy Act of 1974 and under section 406(d)(4) of CEPA (20 U.S.C.
1221e-1(d)(4)) with respect to such records.
(2) Research Disclosure. Where the Commissioner of Education
Statistics determines that an individual or organization is qualified
to carry out specific research, the Commissioner may disclose
information from these systems of records to that researcher solely
for the purpose of carrying out that research. The researcher shall be
required to maintain Privacy Act of 1974 and 20 U.S.C. 1221e-1(d)(4)
safeguards with respect to such records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The research files will be stored on computer tapes and diskettes. The
location files will be kept on computer tapes.
Retrievability:
The records will be retrievable by title of survey and name of person.
Safeguards:
The research files and location files are not directly mergeable in
the form maintained and stored. The identification codes on each file
are different. They can be related by use of an encryption algorithm
known to only a few authorized staff. Copies of the computer tapes and
discs containing the location files are stored with three levels of
password protection. Hence, immediate access to the location files is
possible only by authorized staff.
When in active use for editing, tabulation and analysis, files of
information and identifiers will not be kept together unless necessary
for processing the data. The files will be accessed only through
approved identification of the user and the use of passwords.
Passwords will be changed at the conclusion of each period of use and
returned to storage. Tapes, discs and questionnaries will be kept in
locked files in locked rooms.
Retention and disposal:
The records will be kept for five years after the final survey
administration, including the base year survey and any following
surveys and then transferred to the Federal Records Center, where,
after 15 years, they will be destroyed.
System manager(s) and address:
Commissioner, National Center for Education Statistics, U.S.
Department of Education, 555 New Jersey Avenue, NW., Room 400,
Washington, DC 20208-5574.
Notification procedure:
Contact system manager. Requests from an individual for notification
about whether the system of records contains information about that
individual must meet the requirements in the Department's Privacy Act
regulations at 34 CFR 5b. 5.
Record access procedures:
Contact system manager. Requests by an individual for access to his/
her record must meet the requirements in the Department's Privacy Act
regulations at 34 CFR 5b.5.
Contesting record procedures:
Contact system manager. Request to amend a record must meet the
requirements of 34 CFR 5b.7.
Record source categories:
Information in the records includes responses to survey instruments.
Systems exempted from certain provisions of the act:
None.
Appendix: System locations
National Center for Education Statistics, U.S. Department of
Education, 555 New Jersey Avenue, NW. Rm. 400, Washington, DC 20298-
5574.
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, PO Box 12194, Research Triangle Park,
North Carolina 27709.
National Opinon Research Center, 1155 E. 60th Street, Chicago,
Illinois 60637-2799.
Educational Testing Service, 1825 Eye Street, NW., Suite 475,
Washington, DC 20006.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley,
California 94704.
Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.
18-42-0002
System name: National Center for Education Statistics Affidavits
of Nondisclosure.
Security classification:
None.
System location:
See Appendix.
Categories of individuals covered by the system:
Employees of the National Center for Education Statistics (NCES) or
other persons who assist NCES in the performance of its work, who have
access to any record, response form, completed survey or aggregation
thereof from which information about individual students, teachers,
administrators, or other individual persons may be revealed, and who
have signed a pledge not to disclose such information, are covered by
this system of records.
Other persons who may assist NCES include employees of companies,
profit or nonprofit organizations, State agencies, local agencies or
instrumentalities having a contract, task order, interagency
agreement, or some other formal agreement with NCES and who have
access to individually identifiable information.
Categories of records in the system:
The following information is included in the system: The affidavit of
nondisclosure, including name, place of work (company, agency, etc.),
signature, and date signed. Also included in the system is the name of
the project or survey in which the company, etc. employing the
individual was involved.
Authority for maintenance of the system:
Section 406(d)(4) of the General Education Provisions Act, as added by
title III, part A, section 3001, of Pub. L. 100-297, April 28, 1988
(20 U.S.C. 1221e-1(d)(4)).
Purpose(s):
The purpose of this system of records is to maintain information
necessary for internal control and monitoring of those having access
to individually identifiable information and to provide evidence in
disciplinary actions or prosecution of individuals who disclose
individually identifiable information protected from disclosure under
section 406(d)(4) of the General Education Provisions Act, as amended.
This system of records is also necessary to ensure that individuals
utilized by the Commissioner of NCES protect individually identifiable
data of NCES.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Contractor Disclosure. A record may be disclosed from this system
of records to employees of entities having a contract or other
agreement with the Commissioner to assist in the collection of data on
behalf of NCES to ensure that those entities maintain an accurate file
of individuals who have access to individually identifiable
information in performance of their duties under the contract or other
agreement.
(2) Enforcement Disclosure. In the event that a system of records
maintained by this agency to carry out its functions indicates a
violation or potential violation of law, whether civil, criminal,
particular program statute, or executive order, or by regulation, rule
or order issued pursuant thereto, the relevant records in the system
of records may be referred, as a routine use, to the appropriate
agency, whether foreign, Federal, State, 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.
(3) Subpoena Disclosure. Where Federal agencies having the power to
subpoena other Federal agencies' records, such as the Internal Revenue
Service or the Civil Rights Commission, issue a subpoena to the
Department for records in this system of records, the Department will
make such records available.
(4) Litigation Disclosure.
(a) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice 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 the Department of Justice.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in the
litigation:
(i) The Department, or any component of the Department;
(ii) Any employee of the Department in his or her official capacity;
(iii) Any Department employee in his or her individual capacity where
the Justice Department has agreed to represent the employee; or
(iv) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to a Court or Adjudicative Body. If the Department
determines that disclosure of certain records to a court or
adjudicative body before which this Department is authorized to appear
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 the court or adjudicative
body. Such disclosure may be made in the event that one of the parties
listed below is a party to the litigation, or has an interest in such
litigation:
(i) The Department or any component thereof;
(ii) Any employee of the Department in his or her official capacity;
(iii) Any employee of the Department in his or her individual capacity
where the agency has agreed to represent the employee; or
(iv) The United States, where the Department determines that
litigation is likely to affect the Department or any of its
components.
(5) Employee Conduct Disclosure. If a record maintained by the
Department of Education is relevant to an employee discipline or
competence determination proceeding of another agency of the Federal
government, the Department of Education may disclose the record in the
course of the proceeding.
(6) 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.
(7) Contract Disclosure. When the Department contemplates that it will
contract with a private firm for the purpose of collating, analyzing,
aggregating or otherwise refining records in this system, relevant
records will be disclosed to such a contractor. The contractor shall
be required to maintain Privacy Act safeguards with respect to such
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information will be kept in file folders and on computer diskettes or
computer tapes.
Retrievability:
The records will be retrievable by name, date, and place of work (i.e.
agency, company, etc.).
Safeguards:
The records will be kept in locked files. The computer tapes and
diskettes will be accessible by authorized personnel through
identification number and password.
Retention and disposal:
Each affidavit will be kept for 5 years after the individual access to
NCES confidential data has ceased and then will be transferred to the
Federal Records Center, where it can remain up to 15 years before it
is destroyed.
System manager(s) and address:
Administrative Officer, National Center for Education Statistics, U.S.
Department of Education, Washington, DC 20208, Telephone (202) 357-
6839
Notification procedure:
Contact the system manager and provide your name, place of work (i.e.
company, agency, etc.), and the dates of employment in order to obtain
access to your record. Requests must meet the requirements in the
Department's Privacy Act regulations at 34 CFR 5b.5.
Record access procedures:
Contact the system manager and provide your name, place of work (i.e.
company, agency, etc.), and the dates of employment in order to
ascertain whether or not the system contains your record. Requests
must meet the requirements in the Department's Privacy Act regulations
at 34 CFR 5b.5.
Contesting record procedures:
Contact system manager to contest the contents of your records in this
system. Requests to amend a record must meet the requirements of 34
CFR 5b.7.
Record source categories:
Information in the records comes from individuals who have signed the
affidavits of nondisclosure.
Systems exempted from certain provisions of the act:
None.
Appendix: System Locations
National Center for Education Statistics, U.S. Department of
Education, Washington, DC 20208-5574.
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, PO Box 12194, Research Triangle Park,
North Carolina 27709.
National Opinion Research Center, 1155 E. 60th Street, Chicago,
Illinois 60637-2799.
Educational Testing Service, 1825 Eye Street, NW, Suite 475,
Washington, DC 20006.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley,
California 94704.
Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.
18-42-0003
System name: National Center for Education Statistics' National
Assessment of Educational Progress.
Security classification:
None.
System location:
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850
Educational Testing Service, Rosedale Road, Princeton, New Jersey
08541
National Computer Systems, 2510 N. Dodge Street, Iowa City, Iowa
52245
Categories of individuals covered by the system:
(1) Individuals who leave school early as early graduates or drop-outs
(out-of-school 17-year-olds) are covered during a six month data
verification period; (2) young adults are covered during a six month
data verification period; and (3) individual schools are covered under
section 406(i)(4)(B)(i) of the General Education Provisions Act (GEPA)
(20 U.S.C. 1221e-1(i)(4)(B)(i)).
Categories of records in the system:
Records contain responses to assessment and survey instruments. The
contents of these instruments are of two types: (1) Cognitive test
items to assess the educational achievement of students and young
adults in various subject areas taught in school; and (2) questions
about student demographic and background variables as well as the
characteristics of teachers and schools.
Authority for maintenance of the system:
20 U.S.C. 1221e-1.
Purpose(s):
The purpose of the National Assessment of Educational Progress (NAEP),
funded by the Department of Education, is to provide information on
the educational achievement of young Americans over time.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(a) During a six-month verification period, individually identifiable
information about individuals who leave school early or are young
adults is subject to the Privacy Act, and may be disclosed under
routine uses that are consistent with the Commissioner's authority
under section 406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4)). The routine
uses that apply to this period permit disclosures to individuals who:
(1) Take the oath and sign an affidavit of nondisclosure required
under section 406(d)(4) of the General Education Provisions Act (GEPA)
(20 U.S.C. 1221e-1(d)(4)), and
(2) Work for a contractor, grantee, or party to a cooperative
agreement or other entity that has an agreement with the Commissioner
to conduct research for National Center for Education Statistics
(NCES), or
(3) Work under a research contract, grant, or cooperative agreement
with a Federal, State, or local agency that requires the use of
individually identifiable information, and the research is compatible
with the purpose for which NCES collected the data, or
(4) Work under an agreement in writing to:
i. Use the information for statistical purposes only,
ii. Maintain the data in accordance with applicable Federal laws,
iii. Prohibit redisclosure in identifiable form, and
iv. Permit NCES' periodic inspection to determine adherence to the
contract or agreement.
(b) Regarding the records of individual schools, which, under 20
U.S.C. 1221e-1(i)(4)(B)(i), must be treated as individuals subject to
the Privacy Act, NCES may make routine use disclosures, consistent
with the statistical purposes for which a record was supplied, as
follows:
(1) Contract disclosure. When NCES intends to contract with a private
firm for the purpose of collating, analyzing, aggregating,
maintaining, appending, or otherwise refining records in this system,
the Commissioner of Education Statistics may release relevant records
to the contractor. The contractor will be required to maintain
safeguards under the Privacy Act of 1974 with respect to such records.
(2) Research disclosure. Where the Commissioner of Education
Statistics determines that an individual or organization is qualified
to carry out specific research, the Commissioner may disclose
information from this system of records to that researcher solely for
the purpose of carrying out that research. The researcher shall
maintain the Privacy Act of 1974 safeguards with respect to such
records.
(3) Litigation disclosure--(i) Disclosure to the Department of
Justice. If the Department determines that disclosure of certain
records to the Department of Justice 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 the Department of Justice. Such a disclosure may be made in the
event that one of the parties listed below is involved in the
litigation, or has an interest in such litigation:
(A) The Department, or any component to the Department;
(B) Any employee of the Department in his or her official capacity.
(C) Any employee of the Department in his or her individual capacity
where the Justice Department has agreed to represent the employee; or
(D) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(ii) Disclosure to a court or adjudicative body. If the Department
determines that disclosure of certain records to a court or
adjudicative body before which the Department is authorized to appear
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 the court or adjudicative
body. Such disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in such
litigation:
(A) The Department, or any component of the Department;
(B) Any employee of the Department in his or her official capacity;
(C) Any employee of the Department in his or her individual capacity
where the Justice Department has agreed to represent the employee; or
(D) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(4) 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.
(5) Congressional member disclosure. Disclosure may be made to a
congressional office from the record of an individual in response to
an inquiry from the congressional office made at the request of that
individual.
Policies and practices for retrieving, accessing, retaining, and
disposing of records in the system:
Retrievability:
Records are retrievable by assessment year, subject area, age/grade at
the school or individual respondent level.
Safeguards:
Access to the restricted-use data files and completed test booklets
and forms is severely limited to key contractor and NCES staff. User
access to the restricted-use data files has three levels of data
access protection. Access to the files is restricted to authorized
NAEP staff who have a valid need for immediate access to NAEP data.
This access is controlled and monitored by the use of secure ``log-
on'' identification and password protection schemes. Access to
individual restricted-use data files is controlled by an access
control facility that restricts users to only those files that are
necessary and approved for their perusal.
In addition, the restricted-use data files are backed-up to an off-
site secure location that will protect NAEP data in the event of a
computer center disaster. This off-site storage is in a secure vault
that is physically protected from unauthorized entry. The open-ended
responses are stored in a secure warehouse with access limited to NAEP
project staff.
Retention and disposal:
The NAEP restricted-use data files are stored in a secure computer
facility. The security mechanism includes physical security, data
security, and disaster recovery capability. The computer facility is
housed within a fire-resistant masonry and steel door structure.
Physical access to the facility is electronically controlled through
magnetically imprinted identification badges and is limited to
authorized staff who have functional responsibilities within the
secured areas.
Open-ended responses are kept indefinitely. However, data that could
be used to identify individuals are destroyed six months after
collection.
System manager(s) and address:
Associate Commissioner, Educational Assessment Division, National
Center for Education Statistics, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW.,
Room 308C, Washington, DC 20208-5653.
Notification procedure:
If an individual wishes to determine whether a record exists for him
or her in this system of records, the individual should provide the
system manager his or her name, date of birth, and social security
number. Requests for notification about whether this system contains
information about an individual must meet the requirements of the
Department's Privacy Act regulations, 34 CFR 5b.5.
Record access procedure:
If an individual wishes to gain access to a record in this system of
records, he or she should contact the system manager and provide
information as described in the notification procedure. Request for
access to a record should reasonably specify the particular record
content being sought. Requests for access to a record in this system
of records must meet the requirements of the Department's Privacy Act
regulations, 34 CFR 5b.5.
Contesting record procedures:
Individuals desiring to contest information contained in a record in
this system of records should contact the system manager. Requests may
be made either in writing or in person, and should specify: (1) The
system of records from which the record is to be retrieved; (2) the
particular record the requestor is seeking to amend; (3) whether a
deletion, an addition, or a substitution is being sought; and (4) the
reason(s) for the requested change(s). Requestors should include in
their requests any appropriate documentation supporting the requested
change(s). For a complete statement of the procedures required for
contesting a record, see the Department's Privacy Act regulations, 34
CFR 5b.7.
Record source categories:
Data are collected directly from subject individuals and individual
schools.
Systems exempted from certain provisions of the act:
None.
18-42-0016
System name: Northwest Regional Educational Laboratory,
Experienced Based Career Education Record System, ED/NIE.
Security classification: None.
System location: 333 Oak Street, Portland, Oregon 97204.
Categories of individuals covered by the system: Students, parents,
employers, adopters, potential adopters involved with the EBCE
program.
Categories of records in the system: System includes information on
aptitude, achievement, student background, family background,
attitudinal, interest, opinion, descriptive data on employer
businesses, descriptive data on school districts, activity records.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For transfer to cooperating
school districts and to program participants (individually
identifiable information for themselves only). To contractors for
services and analysis of records by authorized personnel. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Retrievability: Records can be retrieved by name (hard copy files) or
assigned ID number (computer files) and are for monitoring progress
of project-product development and for research, development,
evaluation, and analysis of educational materials, projects,
programs, including study of medium and long-term program effects.
Safeguards: Access is limited to authorized personnel; locked file
cabinets and building security are procedures used. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Not yet determined how long records will be kept
in individually identifiable format.
System manager(s) and address: Assistant Director, Home, Work, and
Community, T and L, National Institute of Education, Washington, DC
20208.
Notification procedure: Written inquiries must be made to the system
manager, address in preceding paragraph, and must include inquirer's
name, address, dates of previous correspondence, the assigned system
I.D. number and system name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
regulations (34 CFR 5b.5(a)(2)) 45 FR 30808, May 9, 1980.
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7), 45 FR 30810, May 9, 1980.)
Record source categories: Students, parents, school district, employers,
adopters and potential adopters of EBCE program.
Systems exempted from certain provisions of the act: None.
18-42-0019
System name: Far West Laboratory Experienced Based Career
Education Records System, ED/OERI/NIE.
Security classification: None.
System location: 1855 Folsom Street, San Francisco, California 94103.
Categories of individuals covered by the system: Students, parents,
employers, potential adopters, adopters.
Categories of records in the system: Aptitude, achievement, student
background, family background, attitudinal, interest, opinion,
descriptive data on employer businesses, descriptive data on school
districts, activity records.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For transfer to cooperating
school districts and to program participants (individually
identifiable information for themselves only). To contractors for
services and analysis of records by authorized personnel. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records are kept in standard file containers (hard copy), and
on punch cards and magnetic tape.
Retrievability: Records can be retrieved by name (hard copy file) or
assigned ID number (computer files) and are for monitoring progress
of project/product development and for research, development,
evaluation and analysis of educational materials, projects,
programs, including study of medium and long term program effects.
Safeguards: Access limited to authorized personnel; records kept in
locked cabinets and buildings with controlled access 24 hours a day.
Exception: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Not yet determined how long records will be kept
in individually identifiable format.
System manager(s) and address: Assistant Director, Home, Work, and
Community, T and L, National Institute of Education, Washington, DC
20208.
Notification procedure: Written inquiries must be made to the system
manager, address in preceding paragraph, and must include inquirer's
name, address, dates of previous correspondence, the assigned system
I.D. number, and system name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30808; May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedure, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7) 45 FR 30810, May 9, 1980).
Record source categories: Students, parents, school districts,
employers, adopters and potential adopters of EBCE Program.
Systems exempted from certain provisions of the act: None.
18-42-0056
System name: National Institute of Education, Sources and
Effects of Teacher Expectations, ED/OERI/NIE.
Security classification: None.
System location: 1200 19th Street, NW, Washington, DC 20208.
Categories of individuals covered by the system: Seven first grade
teachers and their 196 students in the Washington, DC area.
Categories of records in the system: Cross sectional and longitudinal
records on teachers' expectations, background, behaviors, and
students' interactions, grades, SES, parental involvement. For use
in determing the effects of teachers expectations on student
achievement gains.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To contractors for services
and analysis of the records to authorized personnel. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The data are stored on magnetic tape which is stored in a
locked filing cabinet.
Retrievability: The data are indexed by teachers', students' and
principals' names. Identifiers are coded, and kept separate in a
locked file from the master tapes. The data are used by members of
the program staff to identify effective teacher behaviors. They are
collected for statistical purposes only, and not for the
determination of any individual's benefits or entitlements.
Safeguards: Tapes are coded and kept in locked room. Access is to
authorized personnel only. Exception: Subject to disclosure
requirements of the Privacy Act.
Retention and disposal: NIE will maintain the list of names until June
1981, at which time NIE will archive the data without personally
identifiable information, and will destroy the list of names.
System manager(s) and address: Associate Director, Teaching and
Learning, Room 819, 1200 19th Street, NW, Washington, DC 20208.
Notification procedure: Written inquiries must be made to the system
manager at the address in the preceding paragraph and must include
the inquirer's name and address, dates of previous correspondence,
and the system ID number and name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30808, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7) 45 FR 30810, May 9, 1980).
Record source categories: Interviews, questionnaires of participants in
the sample, and observations during testing. All data were furnished
voluntarily.
Systems exempted from certain provisions of the act: None.
18-42-0065
System name: NIE Outside Experts, ED/NIE.
Security classification: None.
System location: Room 722, Brown Building, 1200 19th Street, NW,
Washington, DC 20208.
Categories of individuals covered by the system: Individuals who have
been used as outside experts.
Categories of records in the system: Name, department or title,
institution, address, institutional category, academic discipline,
type of work, year of birth, academic degrees and experience of
individuals who have been used as outside experts, together with
task(s) performed.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: The data are used to prepare
periodic lists of outside experts and the tasks they have performed
and aggregate figures on categories of persons used. These lists and
figures are used internally to monitor and improve NIE efforts to
involve men and women covering a wide variety of institutions,
disciplines, type of work, ethnic background, geographical location,
and ages, in development and evaluation of its programs. In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: The records are maintained in computer disk files, with
printouts as appropriate.
Retrievability: These lists and figures may be released as a matter of
public interest; lists of names that may be made public do not
indicate sex or ethnicity of individuals.
Safeguards: Code number keys protect access to sensitive data.
Exception: Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Retained indefinitely.
System manager(s) and address: Deputy Director for Management, Room 722,
Brown Building, 1200 19th Street, NW, Washington, DC 20208.
Notification procedure: System manager; for general inquiries, name,
system name and I.D. number and date of previous correspondence is
applicable. Address is in preceding paragraph.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30809, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7) 45 FR 30810, May 9, 1980).
Record source categories: Data compiled from published biographies or
curriculum vitae provided voluntarily or as a condition for
obtaining a contract or temporary personnel appointment. Sex and
ethnicity are included when known.
Systems exempted from certain provisions of the act: None.
18-42-0078
System name: Travel--Official Travel of NIE Personnel, ED/NIE.
Security classification: None.
System location: National Institute of Education, Room 711 M, 1832 M
Street, NW, Washington, DC 20208.
Categories of individuals covered by the system: NIE Personnel.
Categories of records in the system: Names of personnel on official
travel, including points of travel, purpose and expenses.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: General Accounting Office,
in the event of litigation where one of the parties is (a) the
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States
where the Department determines that the claim, if successful, is
likely to directly affect the operations of the Department or any of
its components; or (c) any Department employee in his or her
individual capacity where the Justice Department has agreed to
represent such employee, the Department may disclose such records as
it deems desirable or necessary to the Department of Justice to
enable that Department to effectively represent such party, provided
such disclosure is compatible with the purpose for which the records
were collected. Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Data are stored in cabinet files.
Retrievability: Data are indexed by name. Records are available to NIE
Personnel.
Safeguards: Data are for use by authorized personnel only. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: Travel materials are maintained for 3 years or
until auditing.
System manager(s) and address: Chief, Financial and Data Management
Division, Room 711 M, 1832 M Street, NW, Washington, DC 20208.
Notification procedure: Written inquiries must be made to the system
manager at the address above and must include the inquirer's name
and address, the system ID number and name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30808, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7) 45 FR 30810, May 9, 1980).
Record source categories: Materials obtained during course of travel
pertaining to authorization of travel, expenses incurred, and other
fiscal data.
Systems exempted from certain provisions of the act: None.
18-42-0079
System name: NIE Controlled Correspondence, ED/OERI/NIE.
Security classification: None.
System location: Room 722, 1200 19th Street, NW, Washington, DC 20208.
Categories of individuals covered by the system: Members of the general
public, members of Congress, members of the educational community
and others who correspond on a variety of matters with the
Institute.
Categories of records in the system: Correspondence on a variety of
matters including general inquiries, Congressional inquiries on
behalf of constituents, unsolicited proposals, requests for program
information, requests for staff assistance, inquiries on employment
opportunities, and other matters.
Authority for maintenance of the system: Section 405(e)(1) of the
General Education Provisions Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For uses in the Departmental
Regulations (34 CFR part 5b, appendix B, items 1 through 9). In the
event of litigation where one of the parties is (a) the Department,
any component of the Department, or any employee of the Department
in his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Data are stored in cardex form and in folders in file cabinets.
Retrievability: Indexed by name, by State, and by subject matter. Data
are utilized by authorized staff within the Institute in the
performance of their duties.
Safeguards: Access is limited to authorized personnel. Exception:
Subject to disclosure requirements of the Privacy Act.
Retention and disposal: All files are retained for two years and then
boxed and forwarded to the Federal Records Center.
System manager(s) and address: Executive Secretariat, Room 722, Brown
Building, 1200 19th Street, NW, Washington, DC 20208.
Notification procedure: Written inquiries must be made to the system
manager, and must include inquirer's name, address, dates of
previous correspondence, the system name, and I.D. number.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30810, May 9, 1980).
Record source categories: Data are obtained from correspondence
addressed to the Institute from a variety of sources including the
general public, prospective contractors, members of Congress, and
others.
Systems exempted from certain provisions of the act: None.
18-42-0082
System name: National Council on Educational Research Mailing
Lists, ED/OERI/NIE.
Security classification: None.
System location: Room 729, Brown Building, 1200 19th Street, NW,
Washington, DC 20208.
Categories of individuals covered by the system: Members of various
governmental agencies and the public.
Categories of records in the system: Names and addresses of individuals
receiving: Minutes of Council meetings, resolutions adopted by the
Council, lists of names and addresses of Council members (current),
annual report of the Council, miscellaneous materials available for
dissemination.
Authority for maintenance of the system: Section 405(b) of the General
Education Provisions Act (20 U.S.C. 1221e(b)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Dissemination of information
resulting from the meetings of the National Council on Educational
Research. In the event of litigation where one of the parties is (a)
the Department, any component of the Department, or any employee of
the Department in his or her official capacity; (b) the United
States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the
Department or any of its components; or (c) any Department employee
in his or her individual capacity where the Justice Department has
agreed to represent such employee, the Department may disclose such
records as it deems desirable or necessary to the Department of
Justice to enable that Department to effectively represent such
party, provided such disclosure is compatible with the purpose for
which the records were collected. Disclosure may be made to a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Correspondence files and the mailing lists are maintained in
file folders in unlocked area.
Retrievability: Records are filed by name of correspondent and are used
by authorized staff to disseminate information on Council
activities.
Safeguards: Access to mailing lists available only to authorized
personnel. Exception: Subject to disclosure requirements of the
Privacy Act.
Retention and disposal: Records maintained as long as mailing lists are
active.
System manager(s) and address: Chief, National Council on Educational
Research Staff, Room 729, Brown Building, 1200 19th Street, NW,
Washington, DC 20208.
Notification procedure: Written inquiries must be made to the system
manager, address in preceding paragraph, and must include inquirer's
name, address, dates of previous correspondence, the assigned system
I.D. number and system name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30808, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures, and reasonably identify the
record and specify the information to be contested. (These
procedures are in accordance with Department Regulations (34 CFR
5b.7), 45 FR 30810, May 9, 1980).
Record source categories: From the correspondents themselves.
Systems exempted from certain provisions of the act: None.
18-42-0083
System name: National Council on Educational Research Current
and Past Information on Members of the Council and Consultants,
ED/OERI/NIE.
Security classification: None.
System location: Room 729, Brown Building, 1200 19th Street, NW,
Washington, DC 20208.
Categories of individuals covered by the system: Current and past
members of the National Council on Educational Research and
Consultants.
Categories of records in the system: Current and past records of the
Council pertaining to: Personnel matters (personal records,
biographical data, etc.), lists of names and addresses of members,
records on Council nominees, Council fiscal records.
Authority for maintenance of the system: Section 405(b) of the General
Education Provisions Act (20 U.S.C. 1221e(b)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To contractors for services
and analysis of the records by authorized personnel. In the event of
litigation where one of the parties is (a) the Department, any
component of the Department, or any employee of the Department in
his or her official capacity; (b) the United States where the
Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Records maintained in file folders and kept in locked file
cabinets.
Retrievability: Records are indexed by name--some by date. Records
available only to authorized personnel on a ``need-to-know'' basis
(working files and reference, estimating future budget needs,
current names and addresses of Council members provided to
individuals upon request).
Safeguards: File cabinets are locked during nonworking hours. Access is
limited to authorized personnel. Exception: Subject to disclosure
requirements of the Privacy Act.
Retention and disposal: Records are maintained indefinitely.
System manager(s) and address: Chief, National Council on Educational
Research Staff, Room 729, Brown Building, 1200 19th Street, NW,
Washington, DC 20208.
Notification procedure: Written inquiries must be made to the system
manager, address in preceding paragraph, and must include inquirer's
name, address, dates of previous correspondence, the assigned system
I.D. number and system name.
Record access procedures: Same as notification procedures. Requesters
should also reasonably specify the record contents being sought.
(These access procedures are in accordance with Department
Regulations (34 CFR 5b.5(a)(2)), 45 FR 30808, May 9, 1980).
Contesting record procedures: Contact the official at the address
specified under notification procedures above, and reasonably
identify the record and specify the information to be contested.
(These procedures are in accordance with Department Regulations (34
CFR 5b.7), 45 FR 30810, May 9, 1980).
Record source categories: Information from Council members and other
areas of the agency.
Systems exempted from certain provisions of the act: None.
PRIVACY ACT RULES
EDUCATION DEPARTMENT
EDUCATION DEPARTMENT
34 CFR PART 5b--PRIVACY ACT REGULATIONS
Sec.
5b.1 Definitions.
5b.2 Purpose and scope.
5b.3 Policy.
5b.4 Maintenance of records.
5b.5 Notification of or access to records.
5b.7 Procedures for correction or amendment of records.
5b.8 Appeals of refusals to correct or amend records.
5b.9 Disclosure of records.
5b.10 Parents and guardians.
5b.11 Exempt systems.
5b.12 Contractors.
5b.13 Fees.
Appendix A--Employee Standards of Conduct
Appendix B--Routine Uses Applicable to More Than One System of Records
Maintained by ED
Authority: 5 U.S.C. 301, 5 U.S.C. 552a.
Source: 45 FR 30808, May 9, 1980, unless otherwise noted.
Sec. 5b.1 Definitions.
As used in this part:
(a) ``Access'' means availability of a record to a subject individual.
(b) ``Agency'' means the Department of Education.
(c) ``Department'' means the Department of Education.
(d) ``Disclosure'' means the availability or release of a record to
anyone other than the subject individual.
(e) ``Individual'' means a living person who is a citizen of the
United States or an alien lawfully admitted for permanent residence. It
does not include persons such as sole proprietorships, partnerships, or
corporations. A business firm which is identified by the name of one or
more persons is not an individual within the meaning of this part.
(f) ``Maintain'' means to maintain, collect, use, or disseminate when
used in connection with the term ``record''; and, to have control over
or responsibility for a system of records when used in connection with
the term ``system of records.''
(g) ``Notification'' means communication to an individual whether he
is a subject individual.
(h) ``Record'' means any item, collection, or grouping of information
about an individual that is maintained by the Department, including but
not limited to the individual's education, financial transactions,
medical history, and criminal or employment history and that contains
his name, or an identifying number, symbol, or other identifying
particular assigned to the individual, such as a finger or voice print
or a photograph. When used in this part, record means only a record
which is in a system of records.
(i) ``Responsible Department official'' means that officer who is
listed in a notice of a system of records as the system manager for a
given system of records or another individual listed in the notice of a
system of records to whom requests may be made, or the designee of
either such officer or individual.
(j) ``Routine use'' means the disclosure of a record outside the
Department, without the consent of the subject individual, for a purpose
which is compatible with the purpose for which the record was collected.
It includes disclosures required to be made by statute other than the
Freedom of Information Act, 5 U.S.C. 552. It does not include
disclosures which are permitted to be made without the consent of the
subject individual which are not compatible with the purpose for which
it was collected such as disclosures to the Bureau of the Census, the
General Accounting Office, or to Congress.
(k) ``Secretary'' means the Secretary of Education.
(l) ``Statistical record'' means a record maintained for statistical
research or reporting purposes only and not maintained to make
determinations about a particular subject individual.
(m) ``Subject individual'' means that individual to whom a record
pertains.
(n) ``System of records'' means any group of records under the control
of the Department from which a record is retrieved by personal
identifier such as the name of the individual, number, symbol or other
unique retriever assigned to the individual. Single records or groups of
records which are not retrieved by a personal identifier are not part of
a system of records. Papers maintained by individual employees of the
Department which are prepared, maintained, or discarded at the
discretion of the employee and which are not subject to the Federal
Records Act, 44 U.S.C. 2901, are not part of a system of records;
Provided, That such personal papers are not used by the employee or the
Department to determine any rights, benefits, or privileges of
individuals.
[45 FR 30808, May 9, 1980; 45 FR 37426, June 3, 1980]
Sec. 5b.2 Purpose and scope.
(a) This part implements section 3 of the Privacy Act of 1974, 5
U.S.C. 552a (hereinafter referred to as the Act), by establishing agency
policies and procedures for the maintenance of records. This part also
establishes agency policies and procedures under which a subject
individual may be given notification of or access to a record pertaining
to him and policies and procedures under which a subject individual may
have his record corrected or amended if he believes that his record is
not accurate, timely, complete, or relevant or necessary to accomplish a
Department function.
(b) All components of the Department are governed by the provisions of
this part. Also governed by the provisions of this part are advisory
committees and councils within the meaning of the Federal Advisory
Committee Act which provide advice to (1) any official or component of
the Department or (2) the President and for which the Department has
been delegated responsibility for providing services.
(c) Employees of the Department governed by this part include all
regular and special government employees of the Department; experts and
consultants whose temporary (not in excess of 1 year) or intermittent
services have been procured by the Department by contract pursuant to
section 3109 of title 5, United States Code; volunteers where acceptance
of their services are authorized by law; those individuals performing
gratuitous services as permitted under conditions prescribed by the
Office of Personnel Management; and, participants in work-study or
training programs.
(d) This part does not:
(1) Make available to a subject individual records which are not
retrieved by that individual's name or other personal identifier.
(2) Make available to the general public records which are retrieved
by a subject individual's name or other personal identifier or make
available to the general public records which would otherwise not be
available to the general public under the Freedom of Information Act, 5
U.S.C. 552, and part 5 of this title.
(3) Govern the maintenance or disclosure of, notification of or access
to, records in the possession of the Department which are subject to
regulations of another agency, such as personnel records subject to the
regulations of the Office of Personnel Management.
(4) Apply to grantees, including State and local governments or
subdivisions thereof, administering federally funded programs.
(5) Make available records compiled by the Department in reasonable
anticipation of court litigation or formal administrative proceedings.
The availability of such records to the general public or to any subject
individual or party to such litigation or proceedings shall be governed
by applicable constitutional principles, rules of discovery, and
applicable regulations of the Department.
Sec. 5b.3 Policy.
It is the policy of the Department to protect the privacy of
individuals to the fullest extent possible while nonetheless permitting
the exchange of records required to fulfill the administrative and
program responsibilities of the Department, and responsibilities of the
Department for disclosing records which the general public is entitled
to have under the Freedom of Information Act, 5 U.S.C. 552, and part 5
of this title.
Sec. 5b.4 Maintenance of records.
(a) No record will be maintained by the Department unless:
(1) It is relevant and necessary to accomplish a Department function
required to be accomplished by statute or Executive Order;
(2) It is acquired to the greatest extent practicable from the subject
individual when maintenance of the record may result in a determination
about the subject individual's rights, benefits or privileges under
Federal programs;
(3) The individual providing the record is informed of the authority
for providing the record (including whether the providing of the record
is mandatory or voluntary, the principal purpose for maintaining the
record, the routine uses for the record, what effect his refusal to
provide the record may have on him), and if the record is not required
by statute or Executive Order to be provided by the individual, he
agrees to provide the record.
(b) No record will be maintained by the Department which describes how
an individual exercises rights guaranteed by the First Amendment unless
expressly authorized (1) by statute, or (2) by the subject individual,
or (3) unless pertinent to and within the scope of an authorized law
enforcement activity.
Sec. 5b.5 Notification of or access to records.
(a) Times, places, and manner of requesting notification of or access
to a record. (1) Any individual may request notification of a record. He
may at the same time request access to any record pertaining to him. An
individual may be accompanied by another individual of his choice when
he requests access to a record in person; Provided, That he
affirmatively authorizes the presence of such other individual during
any discussion of a record to which access is requested.
(2) An individual making a request for notification of or access to a
record shall address his request to the responsible Department official
and shall verify his identity when required in accordance with paragraph
(b)(2) of this section. At the time the request is made, the individual
shall specify which systems of records he wishes to have searched and
the records to which he wishes to have access. He may also request that
copies be made of all or any such records. An individual shall also
provide the responsible Department official with sufficient particulars
to enable such official to distinguish between records on subject
individuals with the same name. The necessary particulars are set forth
in the notices of systems of records.
(3) An individual who makes a request in person may leave with any
responsible Department official a request for notification of or access
to a record under the control of another responsible Department
official; Provided, That the request is addressed in writing to the
appropriate responsible Department official.
(b) Verification of identity--(1) When required. Unless an individual,
who is making a request for notification of or access to a record in
person, is personally known to the responsible Department official, he
shall be required to verify his identity in accordance with paragraph
(b)(2) of this section if:
(i) He makes a request for notification of a record and the
responsible Department official determines that the mere disclosure of
the existence of the record would be a clearly unwarranted invasion of
privacy if disclosed to someone other than the subject individual; or,
(ii) He makes a request for access to a record which is not required
to be disclosed to the general public under the Freedom of Information
Act, 5 U.S.C. 552, and part 5 of this title.
(2) Manner of verifying identity. (i) An individual who makes a
request in person shall provide to the responsible Department official
at least one piece of tangible identification such as a driver's
license, passport, alien or voter registration card, or union card to
verify his identity. If an individual does not have identification
papers to verify his identity, he shall certify in writing that he is
the individual who he claims to be and that he understands that the
knowing and willful request for or acquisition of a record pertaining to
an individual under false pretenses is a criminal offense under the Act
subject to a $5,000 fine.
(ii) Except as provided in paragraph (b)(2)(v) of this section, an
individual who does not make a request in person shall submit a
notarized request to the responsible Department official to verify his
identity or shall certify in his request that he is the individual who
he claims to be and that he understands that the knowing and willful
request for or acquisition of a record pertaining to an individual under
false pretenses is a criminal offense under the Act subject to a $5,000
fine.
(iii) An individual who makes a request on behalf of a minor or legal
incompetent as authorized under Sec. 5b.10 of this part shall verify his
relationship to the minor or legal incompetent, in addition to verifying
his own identity, by providing a copy of the minor's birth certificate,
a court order, or other competent evidence of guardianship to the
responsible Department official; except that, an individual is not
required to verify his relationship to the minor or legal incompetent
when he is not required to verify his own identity or when evidence of
his relationship to the minor or legal incompetent has been previously
given to the responsible Department official.
(iv) An individual shall further verify his identity if he is
requesting notification of or access to sensitive records. Any further
verification shall parallel the record to which notification or access
is being sought. Such further verification may include such particulars
as the individual's years of attendance at a particular educational
institution, rank attained in the uniformed services, date or place of
birth, names of parents, or an occupation.
(v) An individual who makes a request by telephone shall verify his
identity by providing to the responsible Department official identifying
particulars which parallel the record to which notification or access is
being sought. If the responsible Department official determines that the
particulars provided by telephone are insufficient, the requester will
be required to submit the request in writing or in person. Telephone
requests will not be accepted where an individual is requesting
notification of or access to sensitive records.
(c) Granting notification of or access to a record. (1) Subject to the
provisions governing exempt systems in Sec. 5b.11 of this part, a
responsible Department official, who receives a request for notification
of or access to a record and, if required, verification of an
individual's identity, will review the request and grant notification or
access to a record, if the individual requesting access to the record is
the subject individual.
(2) If the responsible Department official determines that there will
be a delay in responding to a request because of the number of requests
being processed, a breakdown of equipment, shortage of personnel,
storage of records in other locations, etc., he will so inform the
individual and indicate when notification or access will be granted.
(3) Prior to granting notification of or access to a record, the
responsible Department official may at his discretion require an
individual making a request in person to reduce his request to writing
if the individual has not already done so at the time the request is
made.
Sec. 5b.7 Procedures for correction or amendment of records.
(a) Any subject individual may request that his record be corrected or
amended if he believes that the record is not accurate, timely,
complete, or relevant or necessary to accomplish a Department function.
A subject individual making a request to amend or correct his record
shall address his request to the responsible Department official in
writing; except that, the request need not be in writing if the subject
individual makes his request in person and the responsible Department
official corrects or amends the record at that time. The subject
individual shall specify in each request:
(1) The system of records from which the record is retrieved;
(2) The particular record which he is seeking to correct or amend;
(3) Whether he is seeking an addition to or a deletion or substitution
of the record; and,
(4) His reasons for requesting correction or amendment of the record.
(b) A request for correction or amendment of a record will be
acknowledged within 10 working days of its receipt unless the request
can be processed and the subject individual informed of the responsible
Department official's decision on the request within that 10 day period.
(c) If the responsible Department official agrees that the record is
not accurate, timely, or complete based on a preponderance of the
evidence, the record will be corrected or amended. The record will be
deleted without regard to its accuracy, if the record is not relevant or
necessary to accomplish the Department function for which the record was
provided or is maintained. In either case, the subject individual will
be informed in writing of the correction, amendment, or deletion and, if
accounting was made of prior disclosures of the record, all previous
recipients of the record will be informed of the corrective action
taken.
(d) If the responsible Department official does not agree that the
record should be corrected or amended, the subject individual will be
informed in writing of the refusal to correct or amend the record. He
will also be informed that he may appeal the refusal to correct or amend
his record Sec. 5b.8 of this part.
(e) Requests to correct or amend a record governed by the regulation
of another government agency, e.g., Office of Personnel Management,
Federal Bureau of Investigation, will be forwarded to such government
agency for processing and the subject individual will be informed in
writing of the referral.
Sec. 5b.8 Appeals of refusals to correct or amend records.
(a) Processing the appeal. (1) A subject individual who disagrees with
a refusal to correct or amend his record may appeal the refusal in
writing. All appeals shall be made to the Secretary.
(2) An appeal will be completed within 30 working days from its
receipt by the appeal authority; except that, the appeal authority may
for good cause extend this period for an additional 30 days. Should the
appeal period be extended, the subject individual appealing the refusal
to correct or amend the record will be informed in writing of the
extension and the circumstances of the delay. The subject individual's
request to amend or correct the record, the responsible Department
official's refusal to correct or amend, and any other pertinent material
relating to the appeal will be reviewed. No hearing will be held.
(3) If the appeal authority agrees that the record subject to the
appeal should be corrected or amended, the record will be amended and
the subject individual will be informed in writing of the correction or
amendment. Where an accounting was made of prior disclosures of the
record, all previous recipients of the record will be informed of the
corrective action taken.
(4) If the appeal is denied, the subject individual will be informed
in writing:
(i) Of the denial and the reasons for the denial;
(ii) That he has a right to seek judicial review of the denial; and,
(iii) That he may submit to the responsible Department official a
concise statement of disagreement to be associated with the disputed
record and disclosed whenever the record is disclosed.
(b) Notation and disclosure of disputed records. Whenever a subject
individual submits a statement of disagreement to the responsible
Department official in accordance with paragraph (a)(4)(iii) of this
section, the record will be noted to indicate that it is disputed. In
any subsequent disclosure, a copy of the subject individual's statement
of disagreement, will be disclosed with the record. If the responsible
Department official deems it appropriate, a concise statement of the
appeal authority's reasons for denying the subject individual's appeal
may also be disclosed with the record. While the subject individual will
have access to this statement of reasons, such statement will not be
subject to correction or amendment. Where an accounting was made of
prior disclosures of the record, all previous recipients of the record
will be provided a copy of the subject individual's statement of
disagreement, as well as the statement, if any, of the appeal
authority's reasons for denying the subject individual's appeal.
Sec. 5b.9 Disclosure of records.
(a) Consent to disclosure by a subject individual. (1) Except as
provided in paragraph (b) of this section authorizing disclosures of
records without consent, no disclosure of a record will be made without
the consent of the subject individual. In each case the consent, whether
obtained from the subject individual at the request of the Department or
whether provided to the Department by the subject individual on his own
initiative, shall be in writing. The consent shall specify the
individual, organizational unit or class of individuals or
organizational units to whom the record may be disclosed, which record
may be disclosed and, where applicable, during which time frame the
record may be disclosed (e.g., during the school year, while the subject
individual is out of the country, whenever the subject individual is
receiving specific services). A blanket consent to disclose all of a
subject individual's records to unspecified individuals or
organizational units will not be honored. The subject individual's
identity and, where applicable (e.g., where a subject individual gives
consent to disclosure of a record to a specific individual), the
identity of the individual to whom the record is to be disclosed shall
be verified.
(2) A parent or guardian of any minor is not authorized to give
consent to a disclosure of the minor's medical record.
(b) Disclosures without the consent of the subject individual. The
disclosures listed in this paragraph may be made without the consent of
the subject individual. Such disclosures are:
(1) To those officers and employees of the Department who have a need
for the record in the performance of their duties. The responsible
Department official may upon request of any officer or employee, or on
his own initiative, determine what constitutes legitimate need.
(2) Required to be disclosed under the Freedom of Information Act, 5
U.S.C. 552, and Part 5 of this title.
(3) For a routine use as defined in paragraph (j) of Sec. 5b.1.
Routine uses will be listed in any notice of a system of records.
Routine uses published in Appendix B are applicable to more than one
system of records. Where applicable, notices of systems of records may
contain references to the routine uses listed in appendix B. Appendix B
will be published with any compendium of notices of systems of records.
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 U.S.C.
(5) To a recipient who has provided the agency with advance written
assurance that the record will be used solely as a statistical research
or reporting record; Provided, That, the record is transferred in a form
that does not identify the subject individ- ual.
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value.
(7) To another government agency or to an instrumentality of any
governmental jurisdiction within or under the control of the United
States for a civil or criminal law enforcement activity if the activity
is authorized by law, and if the head of such government agency or
instrumentality has submitted a written request to the Department
specifying the record desired and the law enforcement activity for which
the record is sought.
(8) To an individual pursuant to a showing of compelling circumstances
affecting the health or safety of any individual if a notice of the
disclosure is transmitted to the last known address of the subject
individual.
(9) To either House of Congress, or to the extent of matter within its
jurisdiction, any committee or subcommittee thereof, any joint committee
of Congress or subcommittee of any such joint committee.
(10) To the Comptroller General, or any of the Comptroller General's
authorized representatives, in the course of the performance of the
duties of the General Accounting Office.
(11) Pursuant to the order of a court of competent jurisdiction.
(c) Accounting of disclosures. (1) An accounting of all disclosures of
a record will be made and maintained by the Department for 5 years or
for the life of the record, whichever is longer; except that, such an
accounting will not be made:
(i) For disclosures under paragraphs (b)(1) and (2) of this section;
and,
(ii) For disclosures made with the written consent of the subject
individual.
(2) The accounting will include:
(i) The date, nature, and purpose of each disclosure; and
(ii) The name and address of the person or entity to whom the
disclosure is made.
(3) Any subject individual may request access to an accounting of
disclosures of a record. The subject individual shall make a request for
access to an accounting in accordance with the procedures in Sec. 5b.5
of this part. A subject individual will be granted access to an
accounting of the disclosures of a record in accordance with the
procedures of this part which govern access to the related record.
Access to an accounting of a disclosure of a record made under paragraph
(b)(7) of this section may be granted at the discretion of the
responsible Department official.
Sec. 5b.10 Parents and guardians.
For the purpose of this part, a parent or guardian of any minor or the
legal guardian or any individual who has been declared incompetent due
to physical or mental incapacity or age by a court of competent
jurisdiction is authorized to act on behalf of an individual or a
subject individual. Except as provided in paragraph (b)(2) of Sec. 5b.5
of this part governing procedures for verifying an individual's
identity, an individual authorized to act on behalf of a minor or legal
incompetent will be viewed as if he were the individual or subject
individual.
Sec. 5b.11 Exempt systems.
(a) General policy. The Act permits an agency to exempt certain types
of systems of records from some of the Act's requirements. It is the
policy of the Department to exercise authority to exempt systems of
records only in compelling cases.
(b) Specific systems of records exempted under (j)(2). The Department
exempts the Investigative Files of the Inspector General ED/OIG (18-10-
0001) systems of records from the following provisions of 5 U.S.C.552a
and this part:
(1) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(a)(1) and (c)(3) of this part,
regarding access to an accounting of disclosures of a record.
(2) 5 U.S.C. 552a(c)(4) and Sec. Sec. 5b.7(c), and 5b.8 of this
part, regarding notification to outside parties and agencies of
correction or notation of dispute made in accordance with 5 U.S.C.
552a(d).
(3) 5 U.S.C. 552a(d)(1) through (4) and (f) and Sec. Sec. 5b.5(a)(1)
and (c), 5b.7, and 5b.8 of this part, regarding notification or access
to records and correction or amendment of records.
(4) 5 U.S.C. 552(e)(1) and Sec. 5b.4(a)(1) of this part, regarding
maintaining only relevant and necessary information.
(6) 5 U.S.C. 552a(e)(3) and Sec. 5b.4(a)(3) of this part, regarding
notice to individuals asked to provide information to the Department.
(7) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
(8) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite
accuracy, relevance, timeliness, and completeness.
(9) 5 U.S.C. 552a(e)(8), regarding service of notice on subject
individual if a record is made available under compulsory legal process
if that process becomes a matter of public record.
(10) 5 U.S.C. 552a(g), regarding civil remedies for violation of the
Privacy Act.
(c)Specific systems of records exempted under (k)(2). (1) The
Department exempts the Investigative Files of the Inspector General ED/
OIG (18-10-0001) from the following provisions of 5 U.S.C. 552a and this
part to the extent that the system of records consists of investigatory
material compiled for law enforcement purposes:
(i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding
access to an accounting of disclosures of records.
(ii) 5 U.S.C. 552a(d)(1) through (4) and (f) and Sec. Sec.
5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification
of and access to records and correction or amendment of records.
(iii) 5 U.S.C. 552a(e)(1) and Sec. 5b.4(a)(1) of this part,
regarding the requirement to maintain only relevant and necessary
information.
(iv) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
(2) The Department exempts the Complaint Files and Log, Office for
Civil Complaint Files and Log, Office for Civil Rights (18-08-0002) from
the following provisions of 5 U.S.C. 552a and this part:
(i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding
access to an accounting of disclosures of records.
(ii) 5 U.S.C. 552a(d)(1) through (4) and (f) and Sec. Sec.
5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification
of and access to records and correction or amendment of records.
(iii) 5 U.S.C. 552a(e)(4)(G) and (H), regarding inclusion of
information in the system notice about procedures for notification,
access, and correction of records.
(d) Specific systems of records exempted under (k)(5). (1) The
Department exempts the Investigatory Material Compiled for Personnel
Security and Suitability Purposes (18-10-0002) system of records from
the following provisions of 5 U.S.C. 552a and this part:
(i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding
access to an accounting of disclosures of records.
(ii) 5 U.S.C. 552a(d)(1) through (4) and (f) and Sec. Sec.
5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification
of and access to records and correction or amendment of records.
(iii) 5 U.S.C. 552a(e)(4)(G) and (H), regarding inclusion of
information in the system notice about procedures for notification,
access, and correction of records.
(2) The Department exempts the Suitability for Employment Records (18-
11-0020) from the following provisions of 5 U.S.C. 552a and this part:
(i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding
access to an accounting of disclosures of records.
(ii) 5 U.S.C. 552a(d)(1) through (4) and (f) and Sec. Sec.
5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification
of and access to records and correction or amendment of records.
(iii) 5 U.S.C. 552a(e)(4)(G) and (H), regarding inclusion of
information in the system notice about procedures for notification,
access, and correction of records.
(e)Basis for exemptions taken under (j)(2), (k)(2), and (k)(5). The
reason the Department took each exemption described in this section is
stated in the preamble for the final rulemaking document under which the
exemption was promulgated. These final rulemaking documents were
published in the Federal Register and may be obtained from the
Department of Education by mailing a request to the following address:
U.S. Department of Education, Privacy Act Officer, Information
Management Branch, Washington, DC 20202--4753.
(f) Notification of or access to records in exempt systems of
records.(1) If a system of records is exempt under this section, an
individual may nontheless request notification of or access to a record
in that system. An individual shall make requests for notification of or
access to a record in an exempt system or records in accordance with the
procedures of Sec. 5b.5 of this part.
(2) An individual will be granted notification of or access to a
record in an exempt system but only to the extent that notification or
access would not reveal the identity of a source who furnished the
record to the Department under an express promise, that his identity
would be held in confidence if--
(i) The record is in a system of records or that portion of a system
of records that is exempt under subsection (k)(2), but not under
subsection (j)(2), of the Act and the individual has been, as a result
of the maintenance of the record, denied a right, privilege, or benefit
to which he or she would otherwise be eligible; or
(ii) The record is in a system of records that is exempt under
subsection (k)(5) of the Act.
(3) If an individual is not granted notification of or access to a
record in a system of records exempt under subsection (k)(2) but not
under subsection (j)(2) and (k)(5) of the Act in accordance with this
paragraph, he or she will be informed that the identity of a
confidential source would be revealed if notification of or access to
the record were granted to the individual.
(g) Discretionary actions by the responsible Department
official.Unless disclosure of a record to the general public is
otherwise prohibited by law, the responsible Department official may, in
his or her discretion, grant notification of or access to a record in a
system of records that is exempt under this section. Discretionary
notification of or access to a record in accordance with this paragraph
will not be a precedent for discretionary notification of or access to a
similar or related record and will not obligate the responsible
Department official to exercise his or her discretion to granty
notification of or access to any other record in a system of records
that is exempt under this section.
[58 FR 44425, Aug. 20, 1993]
Sec. 5b.12 Contractors.
(a) All contracts entered into on or after September 27, 1975 which
require a contractor to maintain or on behalf of the Department to
maintain, a system of records to accomplish a Department function must
contain a provision requiring the contractor to comply with the Act and
this part.
(b) All unexpired contracts entered into prior to September 27, 1975
which require the contractor to maintain or on behalf of the Department
to maintain, a system of records to accomplish a Department function
will be amended as soon as practicable to include a provision requiring
the contractor to comply with the Act and this part. All such contracts
must be so amended by July 1, 1976 unless for good cause the appeal
authority identified in Sec. 5b.8 of this part authorizes the
continuation of the contract without amendment beyond that date.
(c) A contractor and any employee of such contractor shall be
considered employees of the Department only for the purposes of the
criminal penalties of the Act, 5 U.S.C. 552a(i), and the employee
standards of conduct listed in Appendix A of this part where the
contract contains a provision requiring the contractor to comply with
the Act and this part.
(d) This section does not apply to systems of records maintained by a
contractor as a result of his management discretion, e.g., the
contractor's personnel records.
Sec. 5b.13 Fees.
(a) Policy. Where applicable, fees for copying records will be charged
in accordance with the schedule set forth in this section. Fees may only
be charged where an individual requests that a copy be made of the
record to which he is granted access. No fee may be charged for making a
search of the system of records whether the search is manual,
mechanical, or electronic. Where a copy of the record must be made in
order to provide access to the record (e.g., computer printout where no
screen reading is available), the copy will be made available to the
individual without cost.
(b) Fee schedule. The fee schedule for the Department is as follows:
(1) Copying of records susceptible to photocopying--$.10 per page.
(2) Copying records not susceptible to photocopying (e.g., punch cards
or magnetic tapes)--at actual cost to be determined on a case-by-case
basis.
(3) No charge will be made if the total amount of copying does not
exceed $25.
Appendix A--Employee Standards of Conduct
(a) General. All employees are required to be aware of their
responsibilities under the Privacy Act of 1974, 5 U.S.C. 552a.
Regulations implementing the Act are set forth in 34 CFR part 5b.
Instruction on the requirements of the Act and regulation shall be
provided to all new employees of the Department. In addition,
supervisors shall be responsible for assuring that employees who are
working with systems of records or who undertake new duties which
require the use of systems of records are informed of their
responsibilities. Supervisors shall also be responsible for assuring
that all employees who work with such systems of records are
periodically reminded of the requirements of the Act and are advised of
any new provisions or interpretations of the Act.
(b) Penalties. (1) All employees must guard against improper
disclosure of records which are governed by the Act. Because of the
serious consequences of improper invasions of personal privacy,
employees may be subject to disciplinary action and criminal prosecution
for knowing and willful violations of the Act and regulation. In
addition, employees may also be subject to disciplinary action for
unknowing or unwillful violations, where the employee had notice of the
provisions of the Act and regulations and failed to inform himself
sufficiently or to conduct himself in accordance with the requirements
to avoid violations.
(2) The Department may be subjected to civil liability for the
following actions undertaken by its employees:
(a) Making a determination under the Act and Sec. Sec. 5b.7 and 5b.8
of the regulation not to amend an individual's record in accordance with
his request, or failing to make such review in conformity with those
provisions;
(b) Refusing to comply with an individual's request for notification
of or access to a record pertaining to him;
(c) Failing to maintain any record pertaining to any individual with
such accuracy, relevance, timeliness, and completeness as is necessary
to assure fairness in any determination relating to the qualifications,
character, rights, or opportunities of, or benefits to the individual
that may be made on the basis of such a record, and consequently a
determination is made which is adverse to the individual; or
(d) Failing to comply with any other provision of the Act or any rule
promulgated thereunder, in such a way as to have an adverse effect on an
individual.
(3) An employee may be personally subject to criminal liability as set
forth below and in 5 U.S.C. 552a (i):
(a) Any officer or employee of an agency, who by virtue of his
employment or official position, has possession of, or access to, agency
records which contain individually identifiable information the
disclosure of which is prohibited by the Act or by rules or regulations
established thereunder, and who, knowing that disclosure of the specific
material is so prohibited, willfully discloses the material in any
manner to any person or agency not entitled to receive it, shall be
guilty of a misdemeanor and fined not more than $5,000.
(b) Any officer or employee of any agency who willfully maintains a
system of records without meeting the notice requirements [of the Act]
shall be guilty of a misdemeanor and fined not more than $5,000.
(c) Rules Governing Employees Not Working With Systems of Records.
Employees whose duties do not involve working with systems of records
will not generally disclose to any one, without specific authorization
from their supervisors, records pertaining to employees or other
individuals which by reason of their official duties are available to
them. Notwithstanding the above, the following records concerning
Federal employees are a matter of public record and no further
authorization is necessary for disclosure:
(1) Name and title of individual.
(2) Grade classification or equivalent and annual rate of salary.
(3) Position description.
(4) Location of duty station, including room number and telephone
number.
In addition, employees shall disclose records which are listed in the
Department's Freedom of Information Regulation as being available to the
public. Requests for other records will be referred to the responsible
Department official. This does not preclude employees from discussing
matters which are known to them personally, and without resort to a
record, to official investigators of Federal agencies for official
purposes such as suitability checks, Equal Employment Opportunity
investigations, adverse action proceedings, grievance proceedings, etc.
(d) Rules governing employees whose duties require use or reference to
systems of records. Employees whose official duties require that they
refer to, maintain, service, or otherwise deal with systems of records
(hereinafter referred to as ``Systems Employees'') are governed by the
general provisions. In addition, extra precautions are required and
systems employees are held to higher standards of conduct.
(1) Systems Employees shall:
(a) Be informed with respect to their responsibilities under the Act;
(b) Be alert to possible misuses of the system and report to their
supervisors any potential or actual use of the system which they believe
is not in compliance with the Act and regulation;
(c) Make a disclosure of records within the Department only to an
employee who has a legitimate need to know the record in the course of
his official duties;
(d) Maintain records as accurately as practicable.
(e) Consult with a supervisor prior to taking any action where they
are in doubt whether such action is in conformance with the Act and
regulation.
(2) Systems Employees shall not:
(a) Disclose in any form records from a system of records except (1)
with the consent or at the request of the subject individual; or (2)
where its disclosure is permitted under Sec. 5b.9 of the regulation.
(b) Permit unauthorized individuals to be present in controlled areas.
Any unauthorized individuals observed in controlled areas shall be
reported to a supervisor or to the guard force.
(c) Knowingly or willfully take action which might subject the
Department to civil liability.
(d) Make any arrangements for the design development, or operation of
any system of records without making reasonable effort to provide that
the system can be maintained in accordance with the Act and regulation.
(e) Contracting officers. In addition to any applicable provisions set
forth above, those employees whose official duties involve entering into
contracts on behalf of the Department shall also be governed by the
following provisions:
(1) Contracts for design, or development of systems and equipment. No
contract for the design or development of a system of records, or for
equipment to store, service or maintain a system of records shall be
entered into unless the contracting officer has made reasonable effort
to ensure that the product to be purchased is capable of being used
without violation of the Act or regulation. Special attention shall be
given to provision of physical safeguards.
(2) Contracts for the operation of systems and equipment. No contract
for the design or development of a system of whom he feels appropriate,
of all proposed contracts providing for the operation of systems of
records shall be made prior to execution of the contracts to determine
whether operation of the system of records is for the purpose of
accomplishing a Department function. If a determination is made that the
operation of the system is to accomplish a Department function, the
contracting officer shall be responsible for including in the contract
appropriate provisions to apply the provisions of the Act and regulation
to the system, including prohibitions against improper release by the
contractor, his employees, agents, or subcontractors.
(3) Other service contracts. Contracting officers entering into
general service contracts shall be responsible for determining the
appropriateness of including provisions in the contract to prevent
potential misuse (inadvertent or otherwise) by employees, agents, or
subcontractors of the contractor.
(f) Rules Governing Responsible Department Officials. In addition to
the requirements for Systems Employees, responsible Department officials
shall:
(1) Respond to all requests for notification of or access, disclosure,
or amendment of records in a timely fashion in accordance with the Act
and regulation;
(2) Make any amendment of records accurately and in a timely fashion;
(3) Inform all persons whom the accounting records show have received
copies of the record prior to the amendments of the correction; and
(4) Associate any statement of disagreement with the disputed record,
and
(a) Transmit a copy of the statement to all persons whom the
accounting records show have received a copy of the disputed record, and
(b) Transmit that statement with any future disclosure.
Appendix B--Routine Uses Applicable to More Than One System of Records
Maintained by DE
(1) In the event that a system of records maintained by this agency to
carry out its functions indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant records
in the system of records may be referred, as a routine use, to the
appropriate agency, whether federal, or foreign, charged with the
responsibility of investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto.
(2) Referrals may be made of assignments of research investigators and
project monitors to specific research projects to the Smithsonian
Institution to contribute to the Smithsonian Science Information
Exchange, Inc.
(3) 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.
(4) A record from this system of records may be disclosed as a
``routine use'' to a federal, state or local agency maintaining civil,
criminal or other relevant enforcement records or other pertinent
records, such as current licenses, if necessary to obtain a record
relevant to an agency decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant or other benefit.
A record from this system of records may be disclosed to a federal
agency, in response to its request, in connection with the hiring or
retention of an employee, 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 by the requesting
agency, to the extent that the record is relevant and necessary to the
requesting agency's decision on the matter.
(5) In the event that a system of records maintained by this agency to
carry out its function indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant records
in the system of records may be referred, as a routine use, to the
appropriate agency, whether state or local charged with the
responsibility of investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto.
(6) Where federal agencies having the power to subpoena other federal
agencies' records, such as the Internal Revenue Service or the Civil
Rights Commission, issue a subpoena to the Department for records in
this system of records, the Department will make such records available.
(7) Where a contract between a component of the Department and a labor
organization recognized under E.O. 11491 provides that the agency will
disclose personal records relevant to the organization's mission,
records in this system of records may be disclosed to such organization.
(8) Where the appropriate official of the Department, pursuant to the
Department's Freedom of Information Regulation determines that it is in
the public interest to disclose a record which is otherwise exempt from
mandatory disclosure, disclosure may be made from this system of
records.
(9) The Department contemplates that it will contract with a private
firm for the purpose of collating, analyzing, aggregating or otherwise
refining records in this system. Relevant records will be disclosed to
such a contractor. The contractor shall be required to maintain Privacy
Act safeguards with respect to such records.
(10) To individuals and organizations, deemed qualified by the
Secretary to carry out specific research solely for the purpose of
carrying out such research.
(11) Disclosures in the course of employee discipline or competence
determination proceedings.
[45 FR 30808, May 9, 1980; 45 FR 37426, June 3, 1980]
34 CFR PART 99--FAMILY EDUCATIONAL RIGHTS AND PRIVACY
Subpart A--General
Sec.
99.1 To which educational agencies or institutions do these regulations
apply?
99.2 What is the purpose of these regulations?
99.3 What definitions apply to these regulations?
99.4 What are the rights of parents?
99.5 What are the rights of eligible students?
99.6 What information must an educational agency's or institution's
policy contain?
99.7 What must an educational agency or institution include in its
annual notification?
99.8 What provisions apply to records of a law enforcement unit?
Subpart B--What are the Rights of Inspection and Review of Education
Records?
99.10 What rights exist for a parent or eligible student to inspect and
review education records?
99.11 May an educational agency or institution charge a fee for copies
of education records?
99.12 What limitations exist on the right to inspect and review
records?
Subpart C--What are the Procedures for Amending Education Records?
99.20 How can a parent or eligible student request amendment of the
student's education records?
99.21 Under what conditions does a parent or eligible student have the
right to a hearing?
99.22 What minimum requirements exist for the conduct of a hearing?
Subpart D--May an Educational Agency or Institution Disclose Personally
Identifiable Information from Education Records?
99.30 Under what conditions must an educational agency or institution
obtain prior consent to disclose information?
99.31 Under what conditions is prior consent not required to disclose
information?
99.32 What recordkeeping requirements exist concerning requests and
disclosures?
99.33 What limitations apply to the redisclosure of information?
99.34 What conditions apply to disclosure of information to other
educational agencies or institutions?
99.35 What conditions apply to disclosure of information for Federal or
State program purposes?
99.36 What conditions apply to disclosure of information in health and
safety emergencies?
99.37 What conditions apply to disclosing directory information?
Subpart E--What are the Enforcement Procedures?
99.60 What functions has the Secretary delegated to the Office and to
the Education Appeal Board?
99.61 What responsibility does an educational agency or institution
have concerning conflict with State or local laws?
99.62 What information must an educational agency or institution submit
to the Office?
99.63 Where are complaints filed?
99.64 What is the complaint procedure?
99.65 What is the content of the notice of complaint issued by the
Office?
99.66 What are the responsibilities of the Office in the enforcement
process?
99.67 How does the Secretary enforce decisions?
Authority: Sec. 438, Pub. L. 90-247, Title IV, as amended, 88 Stat.
571-574 (20 U.S.C. 1232g), unless otherwise noted.
Source: 53 FR 11943, Apr. 11, 1988. Corrected at 53 FR 19368, May 27,
1988.
Subpart A--General
Sec. 99.1 To which educational agencies or institutions do these
regulations apply?
(a) This part applies to an educational agency or institution to which
funds have been made available under any program administered by the
Secretary of Education that--
(1)(i) Was transferred to the Department under the Department of
Education Organization Act (DEOA); and
(ii) Was administered by the Commissioner of Education on the day
before the effective date of the DEOA; or
(2) Was enacted after the effective date of the DEOA, unless the law
enacting the new Federal program has the effect of making section 438 of
the General Education Provisions Act inapplicable.
(Authority: 20 U.S.C. 1230, 1232g, 3487, 3507)
(b) The following chart lists the funded programs to which this Part
99 does not apply as of April 11, 1988:
------------------------------------------------------------------------
Authorizing Implementing
Name of program statute regulations
------------------------------------------------------------------------
1. High School Equivalency Section 418A of Part 206.
Program and College Assistance the Higher
Migrant Program. Education Act of
1965 as amended
by the Education
Amendments of
1980 (Pub. L. 96-
374) 20 U.S.C.
1070d-2).
2. Programs administered by the The Rehabilitation Parts 350-359,
Commissioner of the Act of 1973, as 361, 365, 366,
Rehabilitation Services amended. (29 369-371, 373-375,
Administration, and the U.S.C. 700, et 378, 379, 385-
Director of the National seq.). 390, and 395.
Institute on Disability and
Rehabilitation Research.
3. Transition program for Immigration and Part 538.
refugee children. Nationality Act,
as amended by the
Refugee Act of
1980, Pub. L. 96-
212 (8 U.S.C.
1522(d)).
4. College Housing.............. Title IV of the Part 614.
Housing Act of
1950, as amended
(12 U.S.C. 1749,
et seq.).
5. The following programs Section 405 of the Parts 700, 706-
administered by the Assistant General Education 708.
Secretary for Educational Provisions Act
Research and Improvement: (20 U.S.C.
Educational Research Grant 1221e), and
Program. Regional Educational section 406 of
Laboratories Research and the General
Development Centers. All other Education
research or statistical Provisions Act
activities funded under Section (20 U.S.C. 1221-
405 or 406 of the General 1).
Education Provisions Act..
------------------------------------------------------------------------
Note: The Secretary, as appropriate, updates the information in this
chart and informs the public.
(c) This part does not apply to an educational agency or institution
solely because students attending that agency or institution receive
non-monetary benefits under a program referenced in paragraph (a) of
this section, if no funds under that program are made available to the
agency or institution.
(d) The Secretary considers funds to be made available to an
educational agency or institution of funds under one or more of the
programs referenced in paragraph (a) of this section--
(1) Are provided to the agency or institution by grant, cooperative
agreement, contract, subgrant, or subcontract; or
(2) Are provided to students attending the agency or institution and
the funds may be paid to the agency or institution by those students for
educational purposes, such as under the Pell Grant Program and the
Guaranteed Student Loan Program (Titles IV-A-1 and IV-B, respectively,
of the Higher Education Act of 1965, as amended).
(e) If an educational agency or institution receives funds under one
or more of the programs covered by this section, the regulations in this
part apply to the recipient as a whole, including each of its components
(such as a department within a university).
(Authority: 20 U.S.C. 1232g)
Sec. 99.2 What is the purpose of these regulations?
The purpose of this part is to set out requirements for the protection
of privacy of parents and students under section 438 of the General
Education Provisions Act, as amended.
(Authority: 20 U.S.C. 1232g)
(Note: 34 CFR 300.560-300.576 contain requirements regarding
confidentiality of information relating to handicapped children who
receive benefits under the Education of the Handicapped Act.)
Sec. 99.3 What definitions apply to these regulations?
The following definitions apply to this part:
Act means the Family Educational Rights and Privacy Act of 1974, as
amended, enacted as section 438 of the General Education Provisions Act.
(Authority: 20 U.S.C. 1232g)
Attendance includes, but is not limited to--
(a) Attendance in person or by correspondence; and
(b) The period during which a person is working under a work-study
program.
(Authority: 20 U.S.C. 1232g)
Directory information means information contained in an education
record of a student which would not generally be considered harmful or
an invasion of privacy if disclosed. It includes, but is not limited to
the student's name, address, telephone listing, date and place of birth,
major field of study, participation in officially recognized activities
and sports, weight and height of members of athletic teams, dates of
attendance, degrees and awards received, and the most recent previous
educational agency or institution attended.
(Authority: 20 U.S.C. 1232g(a)(5)(A))
Disciplinary action or proceeding means the investigation,
adjudication, or imposition of sanctions by an educational agency or
institution with respect to an infraction or violation of the internal
rules of conduct applicable to students of the agency or institution.
Disclosure means to permit access to or the release, transfer, or
other communication of education records, or the personally
indentifiable information contained in those records, to any party, by
any means, including oral, written, or electronic means.
(Authority: 20 U.S.C. 1232g(b)(1))
Educational agency or institution means any public or private agency
or institution to which this part applies under Sec. 99.1(a).
(Authority: 20 U.S.C. 1232g(a)(3))
Education records (a) The term means those records that are--
(1) Directly related to a student; and
(2) Maintained by an educational agency or institution or by a party
acting for the agency or institution.
(b) The term does not include--
(1) Records of instructional, supervisory, and administrative
personnel and educational personnel ancillary to those persons that are
kept in the sole possession of the maker of the record, and are not
accessible or revealed to any other person except a temporary substitute
for the maker of the record;
(2) Records of a law enforcement unit of an educational agency or
institution, subject to the provisions of Sec. 99.8.
(i) Maintained separately from education records;
(ii) Maintained solely for law enforcement purposes; and
(iii) Disclosed only to law enforcement officials of the same
jurisdiction;
(3)(i) Records relating to an individual who is employed by an
educational agency or institution, that--
(A) Are made and maintained in the normal course of business;
(B) Relate exclusively to the individual in that individual's capacity
as an employee; and
(C) Are not available for use for any other purpose.
(ii) Records relating to an individual in attendance at the agency or
institution who is employed as a result of his or her status as a
student are education records and not excepted under paragraph (b)(3)(i)
of this definition.
(4) Records on a student who is 18 years of age or older, or is
attending an institution of postsecondary education, that are--
(i) Made or maintained by a physician, psychiatrist, psychologist, or
other recognized professional or paraprofessional acting in his or her
professional capacity or assisting in a paraprofessional capacity;
(ii) Made, maintained, or used only in connection with treatment of
the student; and
(iii) Disclosed only to individuals providing the treatment. For the
purpose of this definition, ``treatment'' does not include remedial
educational activities or activities that are part of the program of
instruction at the agency or institution; and
(5) Records that only contain information about an individual after he
or she is no longer a student at that agency or institution.
(Authority: 20 U.S.C. 1232g(a)(4))
Eligible student means a student who has reached 18 years of age or is
attending an institution of postsecondary education.
(Authority: 20 U.S.C. 1232g(d))
Institution of postsecondary education means an institution that
provides education to students beyond the secondary school level;
``secondary school level'' means the educational level (not beyond grade
12) at which secondary education is provided as determined under State
law.
(Authority: 20 U.S.C. 1232g(d))
Parent means a parent of a student and includes a natural parent, a
guardian, or an individual acting as a parent in the absence of a parent
or a guardian.
(Authority: 20 U.S.C. 1232g)
Party means an individual, agency, institution, or organization.
(Authority: 20 U.S.C. 1232g(b)(4)(A))
Personally identifiable information includes, but is not limited to--
(a) The student's name;
(b) The name of the student's parent or other family member;
(c) The address of the student or student's family;
(d) A personal identifier, such as the student's social security
number or student number;
(e) A list of personal characteristics that would make the student's
identity easily traceable; or
(f) Other information that would make the student's identity easily
traceable.
(Authority: 20 U.S.C. 1232g)
Record means any information recorded in any way, including, but not
limited to, handwriting, print, tape, film, microfilm, and microfiche.
(Authority: 20 U.S.C. 1232g)
Secretary means the Secretary of the U.S. Department of Education or
an official or employee of the Department of Education acting for the
Secretary under a delegation of authority.
(Authority: 20 U.S.C. 1232g)
Student, except as otherwise specifically provided in this part, means
any individual who is or has been in attendance at an educational agency
or institution and regarding whom the agency or institution maintains
education records.
(Authority: 20 U.S.C. 1232g(a)(6))
Source: 53 FR 11943, Apr. 11, 1988. Corrected at 53 FR 19368, May 27,
1988, and amended at 60 FR 3469, Jan. 17, 1995]r
Sec. 99.4 What are the rights of parents?
An educational agency or institution shall give full rights under the
Act to either parent, unless the agency or institution has been provided
with evidence that there is a court order, State statute, or legally
binding document relating to such matters as divorce, separation, or
custody that specifically revokes these rights.
(Authority: 20 U.S.C. 1232g)
Sec. 99.5 What are the rights of students?
(a) When a student becomes an eligible student, the rights accorded
to, and consent required of, parents under this part transfer from the
parents to the student.
(b) The Act and this part do not prevent educational agencies or
institutions from giving students rights in addition to those given to
parents.
(c) If an individual is or has been in attendance at one component of
an educational agency or institution, that attendance does not give the
individual rights as a student in other components of the agency or
institution to which the individual has applied for admission, but has
never been in attendance.
(Authority: 20 U.S.C. 1232g(d))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3188, Jan. 7, 1993]
Sec. 99.6 What information must an educational agency's or
institution's policy contain?
(a) Each educational agency or institution shall adopt a policy
regarding how the agency or institution meets the requirements of the
Act and of this part. The policy must include--
(1) How the agency or institution informs parents and students of
their rights, in accord with Sec. 99.7;
(2) How a parent or eligible student may inspect and review education
records under Sec. 99.10, including at least--
(i) The procedure the parent or eligible student must follow to
inspect and review the records;
(ii) With an understanding that it may not deny access to education
records, a description of the circumstances in which the agency or
institution believes it has a legitimate cause to deny a request for a
copy of those records;
(iii) A schedule of fees (if any) to be charged for copies; and
(iv) A list of the types and locations of education records maintained
by the agency or institution, and the titles and addresses of the
officials responsible for the records;
(3) A statement that personally identifiable information will not be
released from an education record without the prior written consent of
the parent or eligible student, except under one or more of the
conditions described in Sec. 99.31;
(4) A statement indicating whether the educational agency or
institution has a policy of disclosing personally identifiable
information under Sec. 99.31(a)(1), and , if so, a specification of the
criteria for determining which parties are school officials and what the
agency or institution considers to be a legitimate educational interest;
(5) A statement that a record of disclosures will be maintained as
required by Sec. 99.32, and that a parent or eligible student may
inspect and review that record;
(6) A specification of the types of personally identifiable
information the agency or institution has designated as directory
information under Sec. 99.37; and
(7) A statement that the agency or institution permits a parent or
eligible student to request correction of the student's education
records under Sec. 99.20, to obtain a hearing under Sec. 99.21(a), and
to add a statement to the record under Sec. 99.21(b)(2).
(b) The educational agency or institution shall state the policy in
writing and make a copy of it available on request to a parent or
eligible student.
(Authority: 20 U.S.C. 1232g(e) and (f))
(Approved by the Office of Management and Budget under control number
1880-0508)
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3188, Jan. 7, 1993]
1Sec. 99.7 What must an educational agency or institution include
in its annual notification?
(a) Each educational agency or institution shall annually notify
parents of students currently in attendance, and eligible students
currently in attendance, at the agency or institution of their rights
under the Act and this part. The notice must include a statement that
the parent or eligible student has a right to--
(1) Inspect and review the student's education records;
(2) Request the amendment of the student's education records to ensure
that they are not inaccurate, misleading, or otherwise in violation of
the student's privacy or other rights;
(3) Consent to disclosures of personally identifiable information
contained in the student's education records, except to the extent that
the Act and the regulations in this part authorize disclosure without
consent;
(4) File with the U.S. Department of Education a complaint under
Sec. 99.64 concerning alleged failures by the agency or institution to
comply with the requirements of the act and this part; and
(5) Obtain a copy of the policy adopted under Sec. 99.6.
(b) The notice provided under paragraph (a) of this section must also
indicate the places where copies of the policy adopted under Sec. 99.6
are located.
(c) An educational agency or institution may provide this notice by
any means that are reasonably likely to inform the parents and eligible
students of their rights.
(d) An agency or institution of elementary or secondary education
shall effectively notify parents of students who have a primary or home
language other than English.
(Authority: 20 U.S.C. 1232g(e))
(Approved by the Office of Management and Budget under control number
1880-0508)
1Sec. 99.8 What provisions apply to records of a law enforcement
unit?
(a)(1) Law enforcement unit means any individual, office, department,
division, or other components of an educational agency or institutions,
such as a unit of commissioned police officers or non-commissioned
security guards, that is officially authorized or designated by that
agency or institution to--
(i) Enforce any local, State, or Federal law or refer to appropriate
authorities a matter for enforcement of any local, State, or Federal law
against any individual or organization other than the agency or
institution itself; or
(ii) Maintain the physical security and safety of the agency or
institution.
(2) A component of an educational agency or institution does not lose
its status as a law enforcement unit if it also performs other, non-law
enforcement functions for the agency or institution, including
investigation of incidents or conduct that constitutes or leads to a
disciplinary action or proceedings against the student.
(b)(1) Records of a law enforcement unit means those records, files,
documents, and other materials that are--
(i) Created by a law enforcement unit;
(ii) Created for a law enforcement purposes; and
(2) Records of a law enforcement unit does not mean--
(i) Records created by law enforcement unit for a law enforcement
purpose that are maintained by a component of the educational agency or
institution other than the law enforcement unit; ore
(ii) Records created and maintained by a law enforcement unit
exclusively for a non-law enforcement purpose, such as a disciplinary
action or proceeding conducted by the educational agency or institution.
(c)(1) Nothing in the Act prohibits an educational agency or
institution from contacting its law enforcement unit, orally or in
writing, for the purpose of asking that unit to investigate a possible
violation of, or to enforce, any local, State, or Federal law.
(2) Education records, and personally identifiable information
contained in education records, do not lose their status as education
records and remain subject to the Act, including the disclosure
provision of Sec. 99.30, while in the possession of the law enforcement
unit.
(d) The Act neither requires nor prohibits the disclosure by an
educational agency or institution of its law enforcement unit records.
[60 FR 3469, Jan. 17, 1995]
Subpart B--What are the Rights of Inspection and Review of Education
Records?
Sec. 99.10 What rights exist for a parent or eligible student to
inspect and review education records?
(a) Except as limited under Sec. 99.12, each educational agency or
institution shall permit a parent or eligible student to inspect and
review the education records of the student.
(b) The educational agency or institution shall comply with a request
for access to records within a reasonable period of time, but in no case
more than 45 days after it has received the request.
(c) The educational agency or institution shall respond to reasonable
requests for explanations and interpretations of the records.
(d) The educational agency or institution shall give the parent or
eligible student a copy of the records if failure to do so would
effectively prevent the parent or student from exercising the right to
inspect and review the records.
(e) The educational agency or institution shall not destroy any
education records if there is an outstanding request to inspect and
review the records under this section.
(f) While an education agency or institution is not required to give
an eligible student access to treatment records under paragraph (b)(4)
of the definition of ``Education records'' in Sec. 99.3, the student may
have those records reviewed by a physician or other appropriate
professional of the student's choice.
(Authority: 20 U.S.C. 1232g(a)(1)(A))
Sec. 99.11 May an educational agency or institution charge a fee
for copies of education records?
(a) Unless the imposition of a fee effectively prevents a parent or
eligible student from exercising the right to inspect and review the
student's education records, an educational agency or institution may
charge a fee for a copy of an education record which is made for the
parent or eligible student.
(b) An educational agency or institution may not charge a fee to
search for or to retrieve the education records of a student.
(Authority: 20 U.S.C. 1232g(a)(1))
Sec. 99.12 What limitations exist on the right to inspect and
review records?
(a) If the education records of a student contain information on more
than one student, the parent or eligible student may inspect, review, or
be informed of only the specific information about that student.
(b) A postsecondary institution does not have to permit a student to
inspect and review education records that are--
(1) Financial records, including any information those records
contain, of his or her parents;
(2) Confidential letters and confidential statements of recommendation
placed in the education records of the student before January 1, 1975,
as long as the statements are used only for the purposes for which they
were specifically intended; and
(3) Confidential letters and confidential statements of recommendation
placed in the student's education records after January 1, 1975, if--
(i) The student has waived his or her right to inspect and review
those letters and statements; and
(ii) Those letters and statements are related to the student's--
(A) Admission to an educational institution;
(B) Application for employment; or
(C) Receipt of an honor or honorary recognition.
(c)(1) A waiver under paragraph (b)(3)(i) of this section is valid
only if--
(i) The educational agency or institution does not require the waiver
as a condition for admission to or receipt of a service or benefit from
the agency or institution; and
(ii) The waiver is made in writing and signed by the student,
regardless of age.
(2) If a student has waived his or her rights under paragraph
(b)(3)(i) of this section, the educational institution shall--
(i) Give the student, on request, the names of the individuals who
provided the letters and statements of recommendation; and
(ii) Use the letters and statements of recommendation only for the
purpose for which they were intended.
(3)(i) A waiver under paragraph (b)(3)(i) of this section may be
revoked with respect to any actions occurring after the revocation.
(ii) A revocation under paragraph (c)(3)(i) of this section must be in
writing.
(Authority: 20 U.S.C. 1232g(a)(1) (A) and (B))
Subpart C--What are the Procedures for Amending Education Records?
Sec. 99.20 How can a parent or eligible student request amendment of
the student's education records?
(a) If a parent or eligible student believes the education records
relating to the student contain information that is inaccurate,
misleading, or in violation of the student's rights of privacy or other
rights, he or she may ask the educational agency or institution to amend
the record.
(b) The educational agency or institution shall decide whether to
amend the record as requested within a reasonable time after the agency
or institution receives the request.
(c) if the educational agency or institution decides not to amend the
record as requested, it shall inform the parent or eligible student of
its decision and of his or her right to a hearing under Sec. 99.21.
(Authority: 20 U.S.C. 1232g(a)(2))
Sec. 99.21 Under what conditions does a parent or eligible student
have the right to a hearing?
(a) An educational agency or institution shall give a parent or
eligible student, on request, an opportunity for a hearing to challenge
the content of the student's education records on the grounds that the
information contained in the education records is inaccurate,
misleading, or in violation of the privacy or other rights of the
student.
(b)(1) If, as a result of the hearing, the educational agency or
institution decides that the information is inaccurate, misleading, or
otherwise in violation of the privacy or other rights of the student, it
shall--
(i) Amend the record accordingly; and
(ii) Inform the parent or eligible student of the amendment in
writing.
(2) If, as a result of the hearing, the educational agency or
institution decides that the information in the education record is not
inaccurate, misleading, or otherwise in violation of the privacy or
other rights of the student, it shall inform the parent or eligible
student of the right to place a statement in the record commenting on
the contested information in the record or stating why he or she
disagrees with the decision of the agency or institution, or both.
(c) If an educational agency or institution places a statement in the
education records of a student under paragraph (b)(2) of this section,
the agency or institution shall--
(1) Maintain the statement with the contested part of the record for
as long as the record is maintained; and
(2) Disclose the statement whenever it discloses the portion of the
record to which the statement relates.
(Authority: 20 U.S.C. 1232g(a)(2))
Sec. 99.22 What minimum requirements exist for the conduct of a
hearing?
The hearing required by Sec. 99.21 must meet, at a minimum, the
following requirements:
(a) The educational agency or institution shall hold the hearing
within a reasonable time after it has received the request for the
hearing from the parent or eligible student.
(b) The educational agency or institution shall give the parent or
eligible student notice of the date, time, and place, reasonably in
advance of the hearing.
(c) The hearing may be conducted by any individual, including an
official of the educational agency or institution, who does not have a
direct interest in the outcome of the hearing.
(d) The educational agency or institution shall give the parent or
eligible student a full and fair opportunity to present evidence
relevant to the issues raised under Sec. 99.21. The parent or eligible
student may, at their own expense, be assisted or represented by one or
more individuals of his or her own choice, including an attorney.
(e) The educational agency or institution shall make its decision in
writing within a reasonable period of time after the hearing.
(f) The decision must be based solely on the evidence presented at the
hearing, and must include a summary of the evidence and the reasons for
the decision.
(Authority: 20 U.S.C. 1232g(a)(2))
Subpart D--May an Educational Agency or Institution Disclose
Personally Identifiable Information From Education Records?
Sec. 99.30 Under what conditions is prior consent required to
disclose information?
(a) The parent or eligible student shall provide a signed and dated
written consent before an educational agency or institution discloses
personally identifiable information from the student's education
records, except as provided by Sec. 99.31.
(b) The written consent must--
(1) Specify the records that may be disclosed;
(2) State the purpose of the disclosure; and
(3) Identify the party or class of parties to whom the disclosure may
be made.
(c) When a disclosure is made under paragraph (a) of this section--
(1) If a parent or eligible student so requests, the educational
agency or institution shall provide him or her with a copy of the
records disclosed; and
(2) If the parent of a student who is not an eligible student so
requests, the agency or institution shall provided the student with a
copy of the records disclosed.
(Authority: 20 U.S.C. 1232g (b)(1) and (b)(2)(A))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]
Sec. 99.31 Under what conditions is prior consent not required to
disclose information?
(a) An educational agency or institution may disclose personally
identifiable information from an education record of a student without
the consent required by Sec. 99.30 if the disclosure meets one or more
of the following conditions:
(1) The disclosure is to other school officials, including teachers,
within the agency or institution whom the agency or institution has
determined to have legitimate educational interests.
(2) The disclosure is, subject to the requirements of Sec. 99.34, to
officials of another school, school system, or institution of
postsecondary education where the student seeks or intends to enroll.
(3) The disclosure is, subject to the requirements of Sec. 99.35, to
authorize representatives of--
(i) The Comptroller General of the United States;
(ii) The Secretary; or
(iii) State and local educational authorities.
(4)(i) The disclosure is in connection with financial aid for which
the student has applied or which the student has received, if the
information is necessary for such purposes as to--
(A) Determine eligibility for the aid;
(B) Determine the amount of the aid;
(C) Determine the conditions for the aid; or
(D) Enforce the terms and conditions of the aid.
(ii) As used in paragraph (a)(4)(i) of this section, ``financial aid''
means a payment of funds provided to an individual (or a payment in kind
of tangible or intangible property to the individual) that is
conditioned on the individual's attendance at an educational agency or
institution.
(Authority: 20 U.S.C. 1232g(b)(1)(D))
(5)(i) The disclosure is to State and local officials or authorities,
if a State statute adopted before November 19, 1974, specifically
requires disclosures to those officials and authorities.
(ii) Paragraph (a)(5)(i) of this section does not prevent a State from
further limiting the number of type or State or local officials to whom
disclosures may be made under that paragraph.
(6)(i) The disclosure is to organizations conducting studies for, or
on behalf of, educational agencies or institutions to--
(A) Develop, validate, or administer predictive tests;
(B) Administer student aid programs; or
(C) Improve instruction.
(ii) The agency or institution may disclose information under
paragraph (a)(6)(i) of this section only if--
(A) The study is conducted in a manner that does not permit personal
identification of parents and students by individuals other than
representatives of the organization; and
(B) The information is destroyed when no longer needed for the
purposes for which the study was conducted.
(iii) For the purposes of paragraph (a)(6) of this section, the term
``organization'' includes, but is not limited to, Federal, State, and
local agencies, and independent organizations.
(7) The disclosure is to accrediting organizations to carry out their
accrediting functions.
(8) The disclosure is to parents of a dependent student, as defined in
section 152 of the Internal Revenue Code of 1954.
(9)(i) The disclosure is to comply with a judicial order or lawfully
issued subpoena.
(ii) The educational agency or institution may disclose information
under paragraph (a)(9)(i) of this section only if the agency or
institution makes a reasonable effort to notify the parent or eligible
student of the order or subpoena in advance of compliance.
(10) The disclosure is in connection with a health or safety
emergency, under the conditions described in Sec. 99.36.
(11) The disclosure is information the educational agency or
institution has designated as ``directory information'', under the
conditions described in Sec. 99.37.
(12) The disclosure is to the parent of a student who is not an
eligible student or to the student.
The disclosure is to an alleged victim of any crime of violence, as
that term is defined in section 16 of title 18, United States Code, of
the results of any disciplinary proceeding conducted by an institution
of postsecondary educationa gainst the alleged perpetrator of that crim
with respect to that crime.
(b) This section does not forbid an educational agency or institution
to disclose, nor does it require an educational agency or institution to
disclose, personally identifiable information from the education records
of a student to any parties under paragraphs (a) (1) through (11) and
(13) of this section.
(Authority: 20 U.S.C. 1232g (a)(5)(A), (b)(1) and (b)(2)(B)and (b)(6))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]
Sec. 99.32 What recordkeeping requirements exist concerning requests
and disclosures?
(a)(1) An educational agency or institution shall maintain a record of
each request for access to and each disclosure of personally
identifiable information from the education records of each student.
(2) The agency or institution shall maintain the record with the
education records of the student as long as the records are maintained.
(3) For each request or disclosure the record must include--
(i) The parties who have requested or received personally identifiable
information from the education records; and
(ii) The legitimate interests the parties had in requesting or
obtaining the information.
(b) If an educational agency or institution discloses personally
identifiable information from an education record with the understanding
authorized under Sec. 99.33(b), the record of the disclosure required
under this section must include--
(1) The names of the additional parties to which the receiving party
may disclose the information on behalf of the educational agency or
institution; and
(2) The legitimate interests under Sec. 99.31 which each of the
additional parties has in requesting or obtaining the information.
(c) The following parties may inspect the record relating to each
student:
(1) The parent or eligible student.
(2) The school official or his or her assistants who are responsible
for the custody of the records.
(3) Those parties authorized in Sec. 99.31(a) (1) and (3) for the
purposes of auditing the recordkeeping procedures of the educational
agency or institution.
(d) Paragarph (a) of this section does not apply if the request was
from, or the disclosure was to--
(1) The parent or eligible student;
(2) A school official under Sec. 99.31(a)(1);
(3) A party with written consent from the parent or eligible student;
or
(4) A party seeking directory information.
(Authority: 20 U.S.C. 1232g(b)(4)(A))
(Approved by the Office of Management and Budget under control number
1880-0508)
Sec. 99.33 What limitations apply to the redisclosure of
information?
(a)(1) An educational agency or institution may disclose personally
identifiable information from an education record only on the condition
that the party to whom the information is disclosed will not disclose
the information to any other party without the prior consent of the
parent or eligible student.
(2) The officers, employees, and agents of a party that receives
information under paragraph (a)(1) of this section may use the
information, but only for the purposes for which the disclosure was
made.
(b) Paragraph (a) of this section does not prevent an educational
agency or institution from disclosing personally identifiable
information with the understanding that the party receiving the
information may make further disclosures of the information on behalf of
the educational agency or institution if--
(1) The disclosures meet the requirements of Sec. 99.31; and
(2) The educational agency or institution has complied with the
requirements of Sec. 99.32(b).
(c) Paragraph (a) of this section does not apply to disclosures of
directory information under Sec. 99.31(a)(11) or to disclosures to a
parent or student under Sec. 99.31(a)(12).
(d) Except for disclosures under Sec. 99.31(a) (11) and (12), an
educational agency or institution shall inform a party to whom
disclosure is made of the requirements of this section.
(Authority: 20 U.S.C. 1232g(b)(4)(B))
Sec. 99.34 What conditions apply to disclosure of information to
other educational agencies or institutions?
(a) An educational agency or institution that discloses an education
record under Sec. 99.31(a)(2) shall--
(1) Make a reasonable attempt to notify the parent or eligible student
at the last known address of the parent or eligible student, unless--
(i) The disclosure is initiated by the parent or eligible student; or
(ii) The policy of the agency or institution under Sec. 99.6 includes
a notice that the agency or institution forwards education records to
other agencies or institutions that have requested the records and in
which the student seeks or intends to enroll;
(2) Give the parent or eligible student, upon request, a copy of the
record that was disclosed; and
(3) Give the parent or eligible student, upon request, an opportunity
for a hearing under Subpart C of this part.
(b) An educational agency or institution may disclose an education
record of a student in attendance to another educational agency or
institution if--
(1) The student is enrolled in or receives services from the other
agency or institution; and
(2) The disclosure meets the requirements of paragraph (a) of this
section.
(Authority: 20 U.S.C. 1232g(b)(1)(B))
Sec. 99.35 What conditions apply to disclosure of information for
Federal or State program purposes?
(a) The officials listed in Sec. 99.31(a)(3) may have access to
education records in connection with an audit or evaluation of Federal
or State supported education programs, or for the enforcement of or
compliance with Federal legal requirements which relate to those
programs.
(b) Information that is collected under paragraph (a) of this section
must--
(1) Be protected in a manner that does not permit personal
identification of individuals by anyone except the officials referred to
in paragraph (a) of this section; and
(2) Be destroyed when no longer needed for the purposes listed in
paragraph (a) of this section.
(c) Paragraph (b) of this section does not apply if--
(1) The parent or eligible student has given written consent for the
disclosure under Sec. 99.30; or
(2) The collection of personally identifiable information is
specifically authorized by Federal law.
(Authority: 20 U.S.C. 1232g(b)(3))
Sec. 99.36 What conditions apply to disclosure of information in
health and safety emergencies?
(a) An educational agency or institution may disclose personally
identifiable information from an education record to appropriate parties
in connection with an emergency if knowledge of the information is
necessary to protect the health or safety of the student or other
individuals.
(b) Paragraph (a) of this section shall be strictly construed.
(Authority: 20 U.S.C. 1232g(b)(1)(I))
Sec. 99.37 What conditions apply to disclosing directory
information?
(a) An educational agency or institution may disclose directory
information if it has given public notice to parents of students in
attendance and eligible students in attendance at the agency or
institution of--
(1) The types of personally identifiable information that the agency
or institution has designated as directory information;
(2) A parent's or eligible student's right to refuse to let the agency
or institution designate any or all of those types of information about
the student as directory information; and
(3) The period of time within which a parent or eligible student has
to notify the agency or institution in writing that he or she does not
want any or all of those types of information about the student
designated as directory information.
(b) An educational agency or institution may disclose directory
information about former students without meeting the conditions in
paragraph (a) of this section.
(Authority: 20 U.S.C. 1232g(a)(5) (A) and (B))
Subpart E--What are the Enforcement Procedures?
Sec. 99.60 What functions has the Secretary delegated to the Office
and to the Administrative Law Judges?
(a) For the purposes of this subpart, ``Office'' means the Family
Policy Compliance Office, U.S. Department of Education.
(b) The Secretary designates the Office to--
(1) Investigate, process, and review complaints and violations under
the Act and this part; and
(2) Provide technical assistance to ensure compliance with the Act and
this part.
(c) The Secretary designates the Office of Administrative Law Judges
to act as the Review Board required under the Act to enforce the Act
with respect to all applicable programs. The term ``applicable program''
is defined in section 400 of the General Education Provision Act.
(Authority: 20 U.S.C. 1232g (f) and (g), 1234)
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]
Sec. 99.61 What responsibility does an educational agency or
institution have concerning conflict with State or local laws?
If an educational agency or institution determines that it cannot
comply with the Act or this part due to a conflict with State or local
law, it shall notify the Office within 45 days, giving the text and
citation of the conflicting law.
(Authority: 20 U.S.C. 1232g(f))
Sec. 99.62 What information must an educational agency or
institution submit to the Office?
The Office may require an educational agency or institution to submit
reports containing information necessary to resolve complaints under the
Act and the regulations in this part.
(Authority: 20 U.S.C. 1232g (f) and (g))
Sec. 99.63 Where are complaints filed?
A person may file a written complaint with the Office regarding an
alleged violation under the Act and this part. The Office's address is:
Family Policy Compliance Office, U.S. Department of Education,
Washington, DC 20202-4605.
(Authority: 20 U.S.C. 1232g(g))
[58 FR 3189, Jan. 7, 1993]
Sec. 99.64 What is the complaint procedure?
(a) A complaint filed under Sec. 99.63 must contain specific
allegations of fact giving reasonable cause to believe that a violation
of the Act or this part has occurred.
(b) The Office investigates each timely complaint to determine whether
the educational agency or institution has failed to comply with the
provisions of the Act or this part.
(c) A timely complaint is defined as an allegation of a violation of
the Act that is submitted to the Office within 180 days of the date of
the alleged violation or of the date the the complainant knew or
reasonably should have known of the alleged violation.
(d) The Office extends the time limit in this section if the
complainant's shows that he or she was prevented by circumstances beyond
the complainant's control from submitting the matter within the time
limit, or for other reasons considered sufficient by the Office.
(Authority: 20 U.S.C. 1232g(f))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]
Sec. 99.65 What is the content of the notice of complaint issued by
the Office?
(a)The Office notifies the complainant and the educational agency or
institution in writing if it initiates an investigation of a complaint
under Sec. 99.64(b). The notice to the educational or institution--
(1) Includes the substance of the alleged violation; and
(2) Asks the agency or institution to submit a written response to the
complaint.
(b) The Office notifies the complainant if it does not initiate an
investigation of a complaint because the complaint fails to meet the
requirements of Sec. 99.64,
(Authority: 20 U.S.C. 1232g(g))
[58 FR 3189, Jan. 7, 1994]
Sec. 99.66 What are the responsibilities of the Office in the
enforcement process?
(a) The Office reviews the complaint and response and may permit the
parties to submit further written or oral arguments or information.
(b) Following its investigation, the Office provides to the
complainant and the educational agency or institution written notice of
its findings and the basis for its findings.
(c) If the Office finds that the educational agency or institution has
not complied with the Act or this part, the notice under paragraph (b)
of this section--
(1) Includes a statement of the specific steps that the agency or
institution must take to comply; and
(2) Provides a reasonable period of time, given all of the
circumstances of the case, during which the educational agency or
institution may comply voluntarily.
(Authority: 20 U.S.C. 1232g(f))
Sec. 99.67 How does the Secretary enforce decisions?
(a) If the eductional agency or institution does not comply during the
period of time set under Sec. 99.66(c), the Secretary may, in accordance
with part E of the General Education Provisions Act--
(1) Withhold further payments under any applicable program;
(2) Issue a complaint to compel compliance through a cease-and-desist
order; or
(3) Terminate eligibility to receive funding under any applicable
program.
(b) If, after an investigation under Sec. 99.66, the Secretary finds
that an educational agency or institution has complied voluntarily with
the Act or this part, the Secretary provides the complainant and the
agency or institution written notice of the decision and the basis for
the decision.
(Note: 34 CFR Part 78 contains the regulations of the Education Appeal
Board.)
(Authority: 20 U.S.C. 1232g(g))
[53 FR 11943, Apr. 11, 1988; 53 FR 19368, May 27, 1988, as amended at 58
FR 3189, Jan. 7, 1993]