[Privacy Act Issuances (1999)]
[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
18-01-01 Secretary's Communication Control System.
18-01-02 Education Senior Management Biographies.
18-02-01 Even Start Performance Information Reporting System and
Experimental Design Study.
18-03-01 Debarment and Suspension Proceedings Under Executive Order
12549, the Drug-Free Workplace Act, and the Federal
Acquisition Regulations.
18-03-02 Education's Central Automated Processing System (EDCAPS).
18-03-03 Receivables Management System.
18-03-04 Files and Lists of Potential and Current Consultants, Grant
Application Reviewers, Peer Reviewers, and Site Visitors.
18-04-01 Freedom of Information Act and Privacy Act Case Files
18-04-02 Freedom of Information Act and Privacy Act Tracking System.
18-05-01 Departmental Parking Control Policy.
18-05-02 Family Educational Rights and Privacy Act (FERPA) and
Protection of Pupil Rights Amendment (PPRA) Record Systems.
18-05-03 Federal Personnel Payroll System.
18-05-04 Discrimination Complaints Records System.
18-05-05 Grievances Filed Formally Under the Administrative
Grievance Procedures.
18-05-06 Grievance Records Filed Under Procedures Established by
Labor-Management Negotiations.
18-05-07 Unfair Labor Practice Records.
18-05-08 Official Time Records of Union Officials and Bargaining
Unit Employees at the Department of Education.
18-05-09 Voluntary Leave Transfer Program.
18-05-10 General Performance Appraisal System (GPAS).
18-05-11 Training Registration and Information System (TRAINS).
18-05-12 Grievances Filed Informally through the Informal Dispute
Resolution Center (IDR).
18-06-01 Federal Advisory Committee Membership Files.
18-06-02 Telephone Directory/Locator System.
18-06-03 Presidential Scholars Files of Selected Participants.
18-06-04 Satellite Event Participant Registration System
18-07-01 Congressional Members' Biographies.
18-07-02 Congressional Grant Notification Control System.
18-08-01 Case Information System.
18-08-02 Complaint Files and Log.
18-09-01 Administrative Claims.
18-09-02 OGC-Attorney Applicant Files.
18-09-03 Employee Conduct--Government Ethics.
18-09-04 Litigation Files, Administrative Complaints, and Adverse
Personnel Actions.
18-10-01 Investigative Files of the Inspector General.
18-10-02 Investigatory Material Complied for Personnel Security and
Suitability Purposes.
18-10-03 OIG Non-Federal Auditor Referral, Suspension, and Debarment
File.
18-10-04 Hotline Complaint Files of the Inspector General.
18-11-01 Federal Student Aid Application File.
18-11-02 Recipient Financial Management System.
18-11-03 Student Financial Assistance Validation File.
18-11-05 Title IV Program Files.
18-11-06 National Student Loan Data System.
18-11-07 Student Financial Assistance Collection Files.
18-11-08 Student Account Manager
18-11-09 Postsecondary Education Participants System (PEPS).
18-11-10 Title IV Wide Area Network (Title IV WAN)
18-11-11 Office of the Student Loan Ombudsman Records
18-11-12 The Department of Education (ED) PIN (Personal
Identification Number) Registration System
18-12-01 Title IV Foreign Language and Area Studies Program.
18-12-02 Fulbright-Hays Doctoral Dissertation Research Abroad,
Fulbright-Hays Faculty Research Abroad, and Fulbright-Hays
Seminars Abroad.
18-12-03 Jacob K. Javits Fellows System.
18-12-04 Title VI International Research and Studies Program.
18-12-05 Graduate Assistance in Areas of National Need (GAANN)
Program Assessment System
18-13-01 National Center for Education Statistics Longitudinal
Studies and the School and Staffing Surveys.
18-13-02 National Center for Education Statistics Affidavits of
Nondisclosure.
18-13-03 National Center for Education Statistics' National
Assessment of Educational Progress.
18-13-04 Outcomes of Diversity in Higher Education Surveys.
18-13-05 Education Publications Center (ED PUBS)
18-14-01 Educationally Disadvantaged Students Attending Private
Schools Served Through Bypass Contracts.
18-14-02 Fellowships for Indian Students--Applications and Awards.
18-15-01 Bilingual Education Graduate Fellowship Program.
18-01-01
System name:
Secretary's Communications Control System.
Security classification:
None.
System location:
Office of the Executive Secretariat, Office of the Secretary,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 7C114,
Washington, DC 20202. See the Appendix at the end of this system
notice for additional system locations.
Categories of individuals covered by the system:
This system contains records about individuals who have contacted
the Secretary, Deputy Secretary, Senior Officers or other officials
of the Department for whom the Department controls responses.
Categories of records in the system:
This system includes the following types of records: (1) The
official correspondence files of each principal office within the
Department, and where applicable, a principal office's component
office, specifically the hard copies of official documents and
electronic images of certain incoming and outgoing documents; (2)
control information from the Secretary's, Deputy Secretary's, Senior
Officers' and other officials' correspondence that include a subject
narrative, the name of the organization drafting the response and the
type of action required from the Department; and (3) records of
responses to some telephone inquiries where officials determine that
a written response should be controlled.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
This system of records is maintained to account for the
correspondence received by the Department, including correspondence
regarding individual concerns and complaints regarding programs
administered by the Secretary.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purpose for which
the record was collected. These disclosures may be made on a case-by-
case basis or, if the Department has complied with the computer
matching requirements of the Act, under a computer matching
agreement.
(1) Government and Privacy Organization Disclosure. The
Department may disclose records to governmental entities and private
organizations as necessary to resolve complaints, provide guidance,
respond to requests for documents and information, and address
concerns regarding those entities and organizations.
(2) Congressional Disclosure. The Department may disclose records
to a member of Congress from the record of an individual in response
to an inquiry from the member made at the written request of that
individual. The member's right to the information is no greater than
the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) or (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, any component of the Department;
or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee; or
(iv) Any Department employee in his or her official capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosure. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in litigation or an administrative
proceeding in which the Department has an interest is relevant and
necessary to the litigation or proceeding, the Department may
disclose those records as a routine use to the party, counsel,
representative or witness.
Disclosures to consumer repoting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b) (12): The Department 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. 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(e). 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; those stored electronically are located on computer disks
and on backup media.
Retrievability:
Files are indexed and retrievable by subject, name of the
individual or by the document's control number that is assigned at
the time the correspondence is logged into the Department.
Safeguards:
All physical access to the Department of Education sites are
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge. During working hours, direct access to the file cabinets is
limited to authorized staff. During non-working hours, the rooms in
which the file cabinets are located are locked and only those
individuals with access to those rooms can access the hard copies of
records.
The computer systems employed by the Department of Education
offer a high degree of resistance to tampering and circumvention.
Retention and disposal:
Hard copy records are transferred to the Washington National
Records Center one year after cutoff then transferred to the National
Archives and Records Administration 10 years after cutoff. Control
records on computer are stored indefinitely. Electronic images are
retained based on regular records disposal or retention policies
identical to hard copies.
System manager(s) and address:
Executive Secretariat, Office of the Secretary, 400 Maryland
Avenue, SW., Room 7C114, Washington, DC 20202. See Appendix the end
of this system notice for additional system managers.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice. You should
indicate your name, the date of the subject documents and reasonable
description of the subject matter of the issue involved. Your request
must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
Record access procedures:
To gain access to records regarding you in this system of
records, follow the Notification Procedure described above. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice, and
reasonably identify the record and specify the information to be
contested. Your request must meet the requirements of the regulations
at 34 CFR 5b.7.
Record source categories:
Records are derived from documents addressed to or by the
Secretary, the Deputy Secretary, Senior Officials or other officials
of the Department.
System exempted from certain provisions of the act:
None.
Appendix to 18-01-01
Additional System Locations and System Managers
Director, Office of the Executive Secretariat, Office of the
Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7C114, Washington, DC 20202.
Management Analyst, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4E213, Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Staff Assistant, Office of the Deputy Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7W210, Washington,
DC 20202.
Program Management Analyst, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey
Avenue, NE., Room 602, Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3W337, Washington, DC 20202.
Operations Officer, Office of General Counsel, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6E353, Washington,
DC 20202.
Staff Assistant, Office of Intergovernmental and Interagency Affairs,
U.S. Department of Education, 400 Maryland Avenue, SW., Room
5E317, Washington, DC 20202.
Director, Congressional Affairs, Office of Legislation and
Congressional Affairs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 7E301, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Deputy Director, Office of Public Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7E231, Washington,
DC 20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room
4082, Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4090, Washington, DC 20202.
18-01-02
System name:
Education Senior Management Biographies.
Security classification:
None.
System location:
Office of the Secretary, Office of Public Affairs (OPA), U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7E200,
Washington, DC 20202.
Categories of individuals covered by the system:
This system contains information on Department of Education
(Department)senior management officials, including the Secretary,
Deputy Secretary, Under Secretary, General Counsel, and Assistant
Secretaries.
Categories of records in the system:
This system consists of a short biography and a standard portrait
photograph, both of which the senior Department official may elect to
provide. The biography includes the official's name, title, office,
and a brief overview of the duties performed at the Department.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
The information contained in this system is made available to the
public and staff of the Department who have an interest in seeing the
photographs or reading the background information on senior
Department officials.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department (Department) may disclose information contained in
a record in this system of records under the routine uses listed in
this system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) General Interest Disclosure. The records in this system may
be released to the public who have an interest in the background or
photographs or both of Department senior officials.
(2) Media Disclosure. The Department may disclose records in this
system for use by the news media and education organizations when
preparing articles, interviews or presentations at meetings with
senior Department officials.
Disclosure to consumer reporting agencies:
Not applicable to this system notice.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The biographies and photographs are available in electronic
format on the Department's Internet website (http://www.ed.gov). Hard
copies of the biographies and photographs are kept in file cabinets
in OPA and in the individual offices of the respective Department
senior officials.
Retrievability:
The biographies and photographs are indexed by the officials'
last names in alphabetical order. The general public is encouraged to
access this information via the Department's website (http://
www.ed.gov). Hard copies are retrieved by the last name of the senior
Department official.
Safeguards:
No safeguards are in place since the Department senior management
officials agree to the release of this information to the general
public.
Retention and disposal:
Paper copies of biographical information of senior level
officials are transferred to the National Archives and Records
Administration for permanent preservation at the end of each calendar
year. Electronic copies of biographical information are periodically
updated as circumstances warrant due to promotions, reassignments,
resignations and death.
System manager(s) and address:
Deputy Director, Office of Public Affairs (OPA), U.S. Department
of Education, 400 Maryland Avenue, SW., 7E200, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
title and office at the time your biographical information was
submitted. Requests for notification about an individual must meet
the requirements of the regulations at 34 CFR 5b.5.
Record access procedures:
If you wish to gain access to a record in this system, contact
the system manager and provide the information described above in the
Notification Procedure.
Contesting record procedures:
If you wish to contest the content of a record, contact the
system manager. Any requests to amend a record must meet the
regulations at 34 CFR 5b.7.
Record source categories:
Information in this system is obtained from the Offices of the
Secretary, the Deputy Secretary, the Under Secretary, the General
Counsel and the Assistant Secretaries.
System exempted from certain provisions of the act:
None.
18-02-01
System name:
Even Start Performance Information Reporting System and
Experimental Design Study.
Security classification:
None.
System location:
Division of the Planning and Evaluation Service, Office of
Elementary and Secondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
Fu Associates, Ltd., 2300 Clarendon Boulevard, Suite 1400,
Arlington, VA 22201.
Categories of individuals covered by the system:
This system contains records on the families and individuals
(parents and children) who are participants in the study.
Categories of records in the system:
This system consists of the names and addresses of the program
participants as well as their responses to interview questions.
Authority for maintenance of the system:
20 U.S.C. 6369.
Purpose(s):
The information in this system is used for the following
purposes: (1) To fulfill the requirement in the Even Start
legislation for evaluation of the effectiveness of the Even Start
program; (2) To respond to the requirements of the Government
Performance and Results Act (GPRA) to report out annually on
indicators of program performance; (3) To meet the evaluation
requirements of the Education Department's General Administrative
Regulations (EDGAR) which stipulate that all grantees conduct annual
evaluations; (4) To provide performance data useful to local, State,
and Federal administrators, legislators, and policy-makers for
program improvement and policy development; (5) To improve on
performance indicators that can be used to review the program's
implementation and impact; (6) To add to the knowledge base on the
effects of family literacy programs by investigating the
relationships between program processes and outcomes; (7) To provide
evaluation data that can serve as a base on which additional
evaluation studies that might be funded separately could build; and
(8) To provide an analysis of changes over time in areas such as the
types of families served by Even Start, the nature of Even Start
projects, and the estimated gains made by adults and children while
in the program.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(2) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(3) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(4) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(5) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(6) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
Disclosure to consumer reporting agencies:
Not applicable to this system notice.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Department maintained records on CD-ROM and the contractor
maintains data for this system on computers and in hard copy.
Retrievability:
Records in this system are indexed by a number assigned to each
individual which is cross referenced by the individual's name on a
separate list.
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
offers a high degree of resistance to tampering and circumvention.
This security system limits data access to Department and contract
staff on a ``need-to-know'' basis, and controls individual users'
ability to access and alter records within the system. All users of
this system of records are given a unique user ID with personal
identifiers. All interactions by individual users with the system are
recorded.
Retention and disposal:
Records are maintained and disposed of in accordance with the
Department of Education's Records Disposition Schedules (ED/RDS).
System manager(s) and address:
Director, Division of the Planning and Evaluation Service, Office
of the Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC
20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Responses from program participants.
System exempted from certain provisions of the act:
None.
18-03-01
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: Contracts & Purchasing
Office, Office of the Chief Financial Officer, U.S. Department of
Education, Seventh and D Streets, SW., Room 3600, ROB-3, Washington,
DC 20202-4249.
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, 330 C Street, SW., Room 4022,
Switzer Building, 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: Administrative Actions and Appeals
Division, Institutional Participation and Oversight Service, Office
of Student Financial Assistance Programs, U.S. Department of
Education, Seventh & D Streets, SW., Room 3082, ROB-3, Washington, DC
20202-5267.
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; secs. 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 (Department) 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 the Department.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system
of records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected.
These disclosures may be made on a case-by-case basis or, if the
Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) Litigation Disclosure. In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department 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) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of Department 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 Department in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where Department determines that the
litigation is likely to affect the Department or any of its
components.
(2) Disclosure to the Department of Justice. If the Department
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, the Department may disclose those
records as a routine use to the Department of Justice.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, individual or entity
designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation
and is compatible with the purposes for which the records were
collected, the Department may disclose those records as a routine use
to the adjudicative body, individual or entity.
(4) Opposing counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the
counsel, representative or witness.
(5) 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.
(6) Disclosure to the Public. The Department provides information
to persons inquiring about individuals who have been debarred or
suspended by the Department as necessary to enforce debarment and
suspension actions.
(7) 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.
(8) 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.
(9) Contract disclosure. If the Department contracts with an
entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records as a routine use to those
employees. Before entering such a contract, the Department shall
require the contractor to maintain Privacy Act safeguards as required
under 5 U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. Where 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. The researcher shall be
required to maintain Privacy Act safeguards with respect to such
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
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 the Department of Education Records
Disposition Schedules (ED/RDS).
System manager(s) and address:
Director, Grants Policy & Oversight Staff, Contracts & Purchasing
Office, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3652, ROB-3, Washington, DC
20202-0498.
Assistant Inspector General for Planning, Analysis, and
Management Services, Office of Inspector General, U.S. Department of
Education, Maryland Avenue, SW., Room 4022, Mary E. Switzer Building,
Washington, DC 20202-1510.
Director, Administrative Actions and Appeals Division,
Institutional Participation and Oversight Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3082, ROB-3, Washington, DC 20202-5267.
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 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
regulations at 34 CFR 5b.5. Consistent with 5 U.S.C. 552a(e)(5), the
Department 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 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.
18-03-02
System name:
Education's Central Automated Processing System (EDCAPS).
Security classification:
None.
System lcoation:
Recipient System (RS), Payment Management Service & Reporting
Unit, Financial Payments & Cash Management Operations, Office of the
Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4W202, Washington, DC 20202.
Financial Management Software System (FMSS), General Ledger
Systems Group, Financial Reporting and Systems Operations, Office of
the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW., Room 4W202, Washington, DC 20202.
Contracts and Purchasing Support System, Support Services Group,
Contracts and Purchasing Operations, Office of the Chief Financial
Officer, U.S. Department of Education, Seventh & D Streets, SW., Room
3616, ROB-3, Washington, DC 20202-4651. Contracts and Purchasing
Support System (CPSS) National Finance Center, Department of
Agriculture, New Orleans, Louisiana.
Grants Administration and Payments System (GAPS) Grants and
Contract Management System (GCMS) and the Payment Management System
(PMS). The grant application portion of GAPS will be managed by the
Grants Policy & Oversight Staff, Office of the Chief Financial
Officer, GSA Regional Office Building 3, Seventh & D Streets, SW,
Room 3652, Washington, DC 20202-4651. The GAPS payment process will
be managed by Payment Management Service & Reporting Unit, Financial
Payments & Cash Management Operations, Office of the Chief Financial
Officer, Washington, DC 20202.
Categories of individuals covered by the system:
Categories of individuals include 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 EDCAPS 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:
Records in this system contain the individual's name, address,
Social Security number, 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 EDCAPS 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. EDCAPS consists
of four subsystems, as follows:
RS (Recipient System)
RS serves as the recipient database for EDCAPS land the central
repository of recipients having a relationship with the Department
(e.g., receiving grantees.) It maintains core information about a
recipient and tracks reference data to support information on
recipients (e.g., countries, states, and congressional districts).
FMSS (Financial Management Software System)
The purpose of FMSS is to serve as the official general ledger
for the Department. It also performs all funds control checks for all
EDCAPS obligations, either by the GAPS or by a contractor of the
Department. FMSS maintains detailed information about obligations
paid to the contractor and maintains general ledger level balance
information for obligations paid directly by the Department through
GAPS.
GAPS (Grants Administration and Payment System)
The purpose of GAPS is to administer the grants award processing
from planning through closeout including disbursing funds to grants
recipients for certain Department programs. Summary payment data are
returned to FMSS for processing. GAPS maintains a record of grant
awards by the Department, including management information collected
during the award process. Payment information is retrievable in GAPS
by Taxpayer Identification Number (TIN). The TIN for an individual is
the social security number. The name, mailing address and other
characteristic data related to federal grants or institutional loans
are also maintained.
CPSS (Contract and Purchasing Support System)
The purpose of CPSS is to administer the contracts award process
from planning to closeout. CPSS shares information with FMSS. CPSS
maintains a record of contact 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 (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching agreement.
(a) 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 such litigation:
(i) The Department or any component of the Department; or
(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 of Justice has agreed to represent the
employee; or
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employer; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(2) Other litigation disclosures. If the Department determine
that disclosure of certain records to a court, adjudicative body
before which the Department is authorized to appear, individual or
entity designated by the Department 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, the Department 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) The Department or any component of the Department; or
(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.
(b) FOIA advice of 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 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. The Department may disclose information
from this system of records as a routine use to the private firm or
contractor with which the Department 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 contract or
private firm shall be required to maintain Privacy Act safeguards
with respect to such information.
(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 or 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) Congressional member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department
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.
The Department 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:
The Registry System is managed by the Payment Management Service
& Reporting Unit, Financial Payments & Cash Management Operations,
Office of the Chief Financial Officer, U.S. Department of Education,
Washington, DC 20202.
The Financial Management Software System is managed by the
General Ledger Systems Group, Financial Reporting and Systems
Operations, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202.
The Contracts and Purchasing Support System is managed by the
Support Services Group, Contracts and Purchasing Operations, Office
of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3616, ROB-3, Washington, DC 20202-4651.
The grant application portion of the Grants Administration and
Payments System will be managed by the Grants Policy & Oversight
Staff, Office of the Chief Financial Officer, U.S. Department of
Education, Room 3652, ROB-3, Washington, DC 20202-4651. The GAPS
payment process will be managed by Payment Management Service &
Reporting Unit, Financial Payments & Cash Management Operations,
Office of the Chief Financial Officer, U.S. Department of Education,
400 Maryland Avenue, SW., Room 3332, Washington, DC 20202.
Notification procedure:
If an individual wishes to determine whether a record pertaining
to him 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 request must meet the requirements in the
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 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 or
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 regulations at 34 CFR 5b.7.
Record source categories:
Information in this system will be obtained from applicants
applying for a Department contract, grant, or loan at the time of
application. Information will also be obtained from Department
program offices, employees, consultants, and others performing
personnel services for the Department.
System exempted from certain provisions of the act:
None.
18-03-03
System name:
Receivables Management System.
Security classification:
None.
System location:
Office of the Chief Financial Officer, Financial Improvement and
Receivables Group, U.S. Department of Education, 400 Maryland Avenue,
SW., Washington, DC 20202-4330.
Office of the Chief Information Officer, U.S. Department of
Education, Seventh and D Streets, SW., Washington, DC 20202.
Nationwide Credit, Inc., Credit Claims and Collection, 2253
Northwest Parkway, Marietta, GA 30067.
Payco American Corporation, 180 N. Executive Drive, Brookfield,
WI 53005-6011.
CSC Credit Services, Inc., 7909 Parkwood Circle, Suite 200,
Houston, TX 77036-6565.
Categories of individuals covered by the system:
Individuals covered by the system include: Persons billed by the
Department of Education (Department) for materials and services such
as Freedom of Information Act requests and computer tapes of
statistical data, persons ordered by a court of law to pay
restitutions to the Department, individuals who received grants under
the Bilingual Education Fellowship Program and who have not provided
evidence to the Department of fulfilling their work requirements as
described in the Bilingual Education Fellowship Program Contract,
individuals who have received funds through the Rehabilitation
Services Administration (RSA) Scholarship program and who have not
provided evidence of fulfilling their obligations under that program,
current and former Department employees who received overpayments on
travel allowances or who received salary overpayments and the
overpayments have not been waived by the Department, individuals who
were overpaid or inappropriately paid under grant programs
administered by the Department other than Title IV of the Higher
Education Act of 1965, as amended (HEA) and claims against
individuals, including orders by a court or other authority to make
restitution for the misuse of Federal funds in connection with any
program administered by the Department.
Categories of records in the system:
Documents maintained in the system include: activity logs, copies
of checks, contracts, court orders, letters of notice, promissory
notes, telephone logs, and related correspondence.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966; Debt Collection Act of
1982; and the Debt Collection Improvement Act of 1996.
Purpose(s):
The Receivables Management System is a database system that is
kept for servicing general consumer debts owed to the Department and
issuing reports of operations and the status of accounts to the U.S.
Department of Treasury (Treasury) and the Office of Management and
Budget. The receivables are generated from bills to individuals for
materials and services from the Department, claims arising from
court-ordered restitutions for any program administered by the
Department, loans and overpayments to individuals under programs
other than the student financial assistance programs authorized under
Title IV of the Higher Education Act of 1965, as amended.
Records will be used by debt servicing staff to bill debtors to
the Department and collect the debts.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. Disclosures under the following
routine uses may be made on a case-by-case basis or, in appropriate
circumstances under computer matching agreements authorized under the
Privacy Act of 1974 (5 U.S.C. 552a). Records may be disclosed for the
following debt servicing program purposes:
(a) Program purposes: (1) To verify the identity and location of
the debtor, disclosures may be made to credit agencies and Federal
agencies. (2) To enforce the terms of a loan or where disclosure is
required by Federal law, disclosure may be made to credit agencies,
educational and financial institutions, and Federal, State, or local
agencies.
(b) Debt servicing. Records under routine use may be disclosed to
the United States Department of the Treasury and privately contracted
collection companies for debt servicing.
(c) Litigation disclosure. (1) In the event that one of the
parties listed below is involved in litigation, or has an interest in
litigation, the Department 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) The Department, or any component of the Department;
(ii) Any Department employee in his or her official capacity;
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice (DOJ) has agreed to provide
or arrange for representation for the employee;
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(2) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation and is compatible with the purpose for which the records
were collected, the Department may disclose those records as a
routine use to the DOJ.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation
and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use
to the adjudicative body, individual or entity.
(4) Opposing counsel, representatives and witnesses. If the
Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the
counsel, representative or witness.
(5) 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 this violation or charged with enforcing
or implementing the statute, or executive order or rule, regulation,
or order issued pursuant thereto.
(6) Contract disclosure. If the Department contracts with an
entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records as a routine use to those
employees. Before entering into a contract, the Department shall
require the contractor to maintain Privacy Act safeguards as required
under 5 U.S.C. 552a(m) with respect to the records in the system.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose
individually identifiable information to OMB as necessary to fulfill
CRA requirements.
(8) Employee grievance, complaint or conduct disclosure. Records
may be disclosed if a record maintained in this system of records is
relevant to present or former employee grievance, complaint,
discipline or competence determination proceedings of another agency
of the Federal Government. In this case, the Department may disclose
the record as a routine use in the course of the proceedings if the
disclosure is compatible with the purposes for this system of
records.
(9) Labor organization disclosure. Records under this routine use
may be disclosed whenever a contract between a component of the
Department and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(10) Research disclosure. Records under this routine use may be
disclosed whenever an appropriate official of the Department
determines that an individual or organization is qualified to carry
out specific research related to functions or purposes of this system
of records. The official may disclose records from this system of
records to that researcher solely for the purpose of carrying out
that research related to the functions or purposes of this system of
records. The researcher is required to maintain Privacy Act
safeguards with respect to these records.
(11) Freedom of Information Act (FOIA) Advice Disclosure. Records
under this routine use may be disclosed to the DOJ and the OMB in the
event that the Department deems it desirable or necessary in
determining whether particular records are required to be disclosed
under the FOIA.
(12) Disclosure to the Department of Justice. Records may be
disclosed under this routine use to the DOJ from this system of
records as a routine use to the extent necessary for obtaining DOJ
advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(13) Congressional member disclosure. The Department may disclose
information from this system of records to a member of Congress from
the record of an individual in response to an inquiry from the member
made at the written request of that individual. The Members' 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 under this system will be kept on paper files in metal
file cabinets and in data files in computers. They are stored in desk
top and mainframe computers with records backed up on magnetic media.
Retrievability:
The data will be retrieved by name, loan or case number, or
Social Security number.
Safeguards:
All physical access to the sites of the Department of Education
and the contractors where this system of records is maintained, are
controlled and monitored by security personnel who check each
individual entering the building for an employee's or visitor's
badge.
The computer system employed by the Department offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department 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 are given a unique user ID. All interactions by
individual users with the system are recorded.
At contractor sites, access to all automated data processing
facilities are restricted by photo identification, sign-in and out
logs, CYPHER locks, or ID card readers. Smoke and fire detection
devices are installed and maintained operational on all facilities
including tape and disk library areas. Physical security of the
building involves restricted access as well as 24-hour security guard
at the ground-floor entrance to the building. Access to building is
obtained through the use of key entry doors. The system permits entry
to an individual only with an access code.
Retention and disposal:
Records are disposed of in accordance with the National Archives
and Records Administration's General Records Schedule (GRS) 6, items
1a, 10b, and 10c; and GRS 7.
System manager(s) and address:
Director, Financial Improvement and Post-Audit Operations, Office
of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW., Room 4C135, Washington, DC 20202.
Notification procedure:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual should
provide the system manager his or her name, Social Security number,
case or loan number, or other debt identifying number. Requests for
notification about an individual must meet the requirements in the
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 described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in the
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 item(s) to be changed, and provide a written justification
for the change. Requests to amend a record must meet the requirements
of the regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from Department program offices, debtors,
court orders, and probation officers.
Exemptions claimed for the system:
None.
18-03-04
System name:
Files and Lists of Potential and Current Consultants, Grant
Application Reviewers Peer Reviewers, and Site Visitors.
Security classification:
None.
System location:
See the Appendix attached to this system notice.
Categories of individuals covered by the system:
Individuals who have been or may be used by the Department as
consultants, field readers, grant application reviewers, peer
reviewers or site visitors, to review and evaluate various program
activities.
Categories of records in the system:
Name, address, telephone number, title, institutional or agency
affiliation, resume, social security number or other individual
identifier, compensation and/or reimbursement information (if any),
and area(s) of individual expertise of each individual serving as a
consultant, field reader, grant application reviewer or site visitor.
Records of past performance of individuals covered by this notice.
Disability (if special arrangement need to be made).
Authority for maintenance of the system:
20 U.S.C. 1221e-3(a)(1), (b), 1232, and 3474.
Purpose(s):
The Department uses the information in this system of records to
determine qualification and fitness of individuals the Department may
use to review and evaluate documents, programs, and projects of the
Department of Education, its grantees and contractors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
requirements of the Privacy Act, under a computer matching agreement.
(1) Congressional member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(2) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
The Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, The Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If The Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Employment, benefit, and contracting disclosure.
(5) For decisions by the Department. 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.
(6) For decisions 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, 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.
(7) 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 in the course of the
proceeding.
(8) Labor organization disclosure. Where a contract between a
component of the Department and a labor organization recognized under
Chapter 71, U.S.C. Title V 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 an organization.
(9) 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.
(10) 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.
(11) Research disclosure. The Department may, if the disclosure
of a record is compatible with the purpose for which the record was
collected, disclose a record from this system of records as a routine
use to individuals and organizations deemed qualified by the
Secretary to carry out specific research solely for the purpose of
carrying out such research.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file cabinets or card files and (in
limited locations) computer tapes and disks.
Retrievability:
By name, title, area(s) of individual expertise, dates served,
institutional or agency affiliation, or social security number of
potential, current or past consultant, field reader, grant
application reviewer, or site visitor.
Safeguards:
Direct access is restricted to persons designated by system
managers to be responsible for maintenance of file(s) or decisions
regarding selection of consultants, field readers, grant application
reviewers, or site visitors. Automated locations are protected by
requiring a password as well as ID users' code.
Retention and disposal:
Records regarding an individual are destroyed 5 years after the
last time the Department makes use of the individual's services.
System manager(s) and address:
Executive Office, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room
4E213, Washington, DC 20202. See the Appendix to this system notice
for additional system managers.
Notification procedure:
Contact system manager of pertinent organizational component(s)
and provide identification information required under 34 CFR 5b.5.
Record access procedures:
Same as notification procedure above.
Record source categories:
Information provided voluntarily by individuals interested in
serving as consultants, field readers, grant application reviewers,
or site visitors.
Systems exempted from certain provisions of the act:
None.
Appendix to 18-03-04
Additional System Managers and System Locations
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3W337, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room
4082, Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4090, Washington, DC 20202.
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202-
5247.
Director, Office of Indian Education, Office of Elementary and
Secondary Education, 400 Maryland Avenue, SW., Room 4300,
Portal Building, Washington, DC 20202-6335.
18-04-01
System name:
Freedom of Information Act and Privacy Act Case Files.
Security classification:
None.
System location:
Information Management Group, Office of the Chief Information
Officer, U.S. Department of Education, Seventh and D Streets, Room
5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end
of this notice for additional system locations.
Categories of individuals covered by the system:
This system contains records and related correspondence on
individuals who have submitted requests for information under the
provisions of the Freedom of Information Act (FOIA) (5 U.S.C. 552) or
the Privacy Act (5 U.S.C. 552a), as well as individuals whose records
have been the subject of a FOIA or Privacy Act request.
Categories of records in the system:
This system contains correspondence and other documents related
to requests made by individuals pursuant to the Freedom of
Information Act and the Privacy Act.
Authority for maintenance of the system:
The Freedom of Information Act, 5 U.S.C. 552, as amended; The
Privacy Act of 1974, 5 U.S.C. 552a, as amended.
Purpose(s):
These records are maintained to process individuals' requests
made under the provisions of the Freedom of Information Act and the
Privacy Act. The records are also used by the Department of Education
(the Department) to prepare its reports to OMB and Congress as
required by the Freedom of Information Act and the Privacy Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system
of records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected.
These disclosures may be made on a case-by-case basis or, if the
Department has complied with the computer matching requirements of
the Privacy Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(7) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(8) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
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 hard copy and in word processing
software.
Retrievability:
Records are retrieved by the name of the individual.
Safeguards:
Records are stored in locked metal filing cabinets or in a
secured room, with access limited to personnel whose duties require
access. All physical access to the Department's sites, 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 an employee or visitor badge.
Retention and disposal:
Records relating to the agency's implementation of the FOIA and
the Privacy Act are disposed of in accordance with the General
Records Schedule (GRS) 14 issued by the National Archives and Records
Administration.
System manager(s) and address:
Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland
Avenue, SW., Washington, DC 20202-4651. Privacy Act Officer, Room
5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. See
the Appendix at the end of this notice for additional system
managers.
Notification procedure:
If you wish to inquire whether a record exists regarding you in
this system, you should contact the appropriate system manager at the
appropriate office or region where the original FOIA or Privacy Act
requests were sent, or from where the response was received. You must
provide your name, date of the request, name of organization, and
subject matter. Your request must meet the requirements of the
Department's Privacy Act regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to request access to your records, you should contact
the appropriate system manager at the appropriate office or region
where the original FOIA or Privacy Act requests were sent, or from
where the response was received. You must comply with the
Department's Privacy Act regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to request an amendment to your records, you should
contact the appropriate system manager at the appropriate office or
region where the original FOIA or Privacy Act requests were sent, or
from where the response was received. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.7.
Record source categories:
Information in this system of records is obtained from the
individual to whom the information applies, officials of the
Department, and official Department documents.
System exempted from certain provisions of the act:
The Department has claimed exemptions for several of its other
systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4),
(5),(6), and (7). During the course of processing a Freedom of
Information Act or Privacy Act request, exempt materials from those
other systems may be included in the Freedom of Information Act and
Privacy Act Case Files; these materials maintain their exempt status.
Appendix to 18-04-01
Additional System Locations
Office of the Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7C122, Washington, DC 20202.
Office of the Deputy Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7W310, Washington, DC 20202.
Office of the Under Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 6W300, Washington, DC 20202.
Office of Postsecondary Education, U.S. Department of Education,
Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.
Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW, room 4E223, Washington, DC 20202.
Office of Educational Research and Improvement, 555 New Jersey
Avenue, NW, room 602E, Capitol Place, Washington, DC 20208.
Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 330 C Street, SW, Room 3613, Switzer
Building, Washington, DC 20202.
Office of Vocational and Adult Education, U.S. Department of
Education, 330 C Street, SW, room 4064, Switzer Building, Washington,
DC 20202.
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, room 6C142, Washington, DC 20202.
Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW, room 2W211, Washington, DC 20202.
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW, room 4200, Switzer Building, Washington, DC 20202.
Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202.
Office of Public Affairs, U.S. Department of Education, 400
Maryland Avenue, SW, room 7E201, Washington, DC 20202.
Office of Student Financial Assistance, U.S. Department of
Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington,
DC 20202.
Office for Civil Rights, U.S. Department of Education, 330 C
Street, SW, room 5424, Switzer Building, Washington, DC 20202.
Office of Bilingual Education and Minority Affairs, U.S.
Department of Education, 330 C Street, SW, room 5616, Switzer
Building, Washington, DC 20202.
Office of Educational Research and Improvement, U.S. Department
of Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC
20202.
Office of Legislation and Congressional Affairs, U.S. Department
of Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC
20202.
Region I: U.S. Department of Education, John W. McCormack P.O.
and Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557.
Region II: U.S. Department of Education, 75 Park Place, 12th
Floor, New York, NY 10278-0043.
Region III: U.S. Department of Education, 3535 Market Street,
Room 16350, Philadelphia, PA 19104-3398.
Region IV: U.S. Department of Education, 61 Forsyth Street, SW.,
Suite 19T40, Atlanta, GA 30303.
Region V: U.S. Department of Education, 111 N. Canal Street,
Suite 1094, Chicago, IL 60606.
Region VI: U.S. Department of Education, 1200 Main Tower
Building, #2260, Dallas, TX 75202-4309.
Region VII: U.S. Department of Education, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: U.S. Department of Education, Federal Office
Building, 1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: U.S. Department of Education, 50 United Nations Plaza,
San Francisco, CA 94102.
Region X: U.S Department of Education, room 3362, Mail Code 10-
9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: U.S. Department of Education, Office for Civil
Rights, 1100 Pennsylvania Avenue, NW., Washington, DC 20044.
Additional System Managers
Region I: Deputy Regional Director, U.S. Department of Education,
John W. McCormack PO and Courthouse, Room 540, Post Office Square,
Boston, MA 02105-4557.
Region II: Secretary's Regional Representative, U.S. Department
of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
U.S. Department of Education, 3535 Market Street, Room 16350,
Philadelphia, PA 19104-3398.
Region IV: Deputy Secretary's Regional Representative, U.S.
Department of Education, 61 Forsyth Street, SW., Suite 19T40,
Atlanta, GA 30303.
Region V: Secretary's Regional Representative , U.S. Department
of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Administrative Officer, U.S. Department of Education,
1200 Main Tower Building, #2260, Dallas, TX 75202-4309.
Region VII: Secretary's Regional Representative, U.S. Department
of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City,
MO 64153-1367.
Region VIII: Secretary's Regional Representative, U.S. Department
of Education, Federal Office Building, 1244 Speer Blvd., room 300,
Denver, CO 80204-3582.
Region IX: Secretary's Regional Representative, U.S. Department
of Education, 50 United Nations Plaza, San Francisco, CA 94102.
Region X: Secretary's Regional Representative, U.S. Department of
Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA
98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW., Washington,
DC 20044.
18-04-02
System name:
Freedom of Information Act and Privacy Act Tracking System.
Security classification:
None.
System location:
Office of the Chief Information Officer, Information Management
Group, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3,
Room 5624, Washington, DC 20202-4651. See the Appendix at the end of
this system notice for additional system locations.
Categories of individuals covered by the system:
This system contains records on individuals who have submitted
requests made under the provisions of the Freedom of Information Act
and under the Privacy Act of 1974.
Categories of records in the system:
This system consists of names, addresses, dates of request and
responses, descriptions or identifications of records requested,
amount of fees paid, if any; payment delinquencies, if any; final
determinations of appeals or denials and summary of log. Copies of
requested records are not maintained in the system.
Authority for maintenance of the system:
The Freedom of Information Act, 5 U.S.C. 552, as amended; The
Privacy Act of 1974, 5 U.S.C. 552a, as amended; and 5 U.S.C. 301.
Purpose(s):
This system is used to document and track the status of requests
made under both the Freedom of Information Act and the Privacy Act.
This system is also used to generate the annual report to the
Department of Justice (DOJ) as required by the Freedom of Information
Act and the biennial report to the Office of Management and Budget
(OMB) and Congress as required by the Privacy Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(7) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained on electronic media.
Retrievability:
Records are retrieved by the name of the individual and the
control tracking number.
Safeguards:
All physical access to the Department 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users'' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Files maintained for control purposes in responding to requests,
including registers and similar records listing date, nature, and
purpose of request and name and address of requester are destroyed by
erasure 6 years after the date of the last entry. (GRS 14, Item 13)
System manager(s) and address:
Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland
Avenue, SW., Washington, DC 20202-4651. Privacy Act Officer, Room
5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. See
the Appendix at the end of this notice for additional system
managers.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager at the appropriate
office or region where the original FOIA or Privacy Act requests were
sent, or from where the response was received. Your request must meet
the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager at the appropriate
office or region where the original FOIA or Privacy Act requests were
sent, or from where the response was received. Your request must meet
the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager at the appropriate
office or region where the original FOIA or Privacy Act requests were
sent, or from where the response was received. Your request must meet
the requirements of the Department's Privacy Act regulations at 34
CFR 5b.7.
Record source categories:
Information in this system of records is obtained from the
individual who submitted the request, officials of the Department,
and official Department documents.
System exempted from certain provisions of the act:
None.
Appendix to 18-04-02
Additional System Locations
Office of the Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7C122, Washington, DC 20202.
Office of the Deputy Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7W310, Washington, DC 20202.
Office of the Under Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 6W300, Washington, DC 20202.
Office of Postsecondary Education, U.S. Department of Education,
Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.
Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW, room 4E223, Washington, DC 20202.
Office of Educational Research and Improvement, 555 New Jersey
Avenue, NW, room 602E, Capitol Place, Washington, DC 20208.
Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 330 C Street, SW, Room 3613, Switzer
Building, Washington, DC 20202.
Office of Vocational and Adult Education, U.S. Department of
Education, 330 C Street, SW, room 4064, Switzer Building, Washington,
DC 20202.
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, room 6C142, Washington, DC 20202.
Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW, room 2W211, Washington, DC 20202.
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW, room 4200, Switzer Building, Washington, DC 20202.
Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202.
Office of Public Affairs, U.S. Department of Education, 400
Maryland Avenue, SW, room 7E201, Washington, DC 20202.
Office of Student Financial Assistance, U.S. Department of
Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington,
DC 20202.
Office for Civil Rights, U.S. Department of Education, 330 C
Street, SW, room 5424, Switzer Building, Washington, DC 20202.
Office of Bilingual Education and Minority Affairs, U.S.
Department of Education, 330 C Street, SW, room 5616, Switzer
Building, Washington, DC 20202.
Office of Educational Research and Improvement, U.S. Department
of Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC
20202.
Office of Legislation and Congressional Affairs, U.S. Department
of Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC
20202.
Region I: U.S. Department of Education, John W. McCormack P.O.
and Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557.
Region II: U.S. Department of Education, 75 Park Place, 12th
Floor, New York, NY 10278-0043.
Region III: U.S. Department of Education, 3535 Market Street,
Room 16350, Philadelphia, PA 19104-3398.
Region IV: U.S. Department of Education, 61 Forsyth Street, SW.,
Suite 19T40, Atlanta, GA 30303.
Region V: U.S. Department of Education, 111 N. Canal Street,
Suite 1094, Chicago, IL 60606.
Region VI: U.S. Department of Education, 1200 Main Tower
Building, #2260, Dallas, TX 75202-4309.
Region VII: U.S. Department of Education, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: U.S. Department of Education, Federal Office
Building, 1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: U.S. Department of Education, 50 United Nations Plaza,
San Francisco, CA 94102.
Region X: U.S Department of Education, room 3362, Mail Code 10-
9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: U.S. Department of Education, Office for Civil
Rights, 1100 Pennsylvania Avenue, NW., Washington, DC 20044.
Additional System Managers
Region I: Deputy Regional Director, U.S. Department of Education,
John W. McCormack PO and Courthouse, Room 540, Post Office Square,
Boston, MA 02105-4557.
Region II: Secretary's Regional Representative, U.S. Department
of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
U.S. Department of Education, 3535 Market Street, Room 16350,
Philadelphia, PA 19104-3398.
Region IV: Deputy Secretary's Regional Representative, U.S.
Department of Education, 61 Forsyth Street, SW., Suite 19T40,
Atlanta, GA 30303.
Region V: Secretary's Regional Representative , U.S. Department
of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Administrative Officer, U.S. Department of Education,
1200 Main Tower Building, #2260, Dallas, TX 75202-4309.
Region VII: Secretary's Regional Representative, U.S. Department
of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City,
MO 64153-1367.
Region VIII: Secretary's Regional Representative, U.S. Department
of Education, Federal Office Building, 1244 Speer Blvd., room 300,
Denver, CO 80204-3582.
Region IX: Secretary's Regional Representative, U.S. Department
of Education, 50 United Nations Plaza, San Francisco, CA 94102.
Region X: Secretary's Regional Representative, U.S. Department of
Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA
98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington, DC
20044.
18-05-01
System name:
Departmental Parking Control Policy.
Security classification:
None.
System location:
Director, Quality Workplace Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
Categories of individuals covered by the system:
All Department employees and non-Department carpool members
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.
Purpose(s):
The information contained in this system is used to: (1) Provide
standards for apportionment and assignment of parking spaces on
Department-managed and Department-controlled property and on property
assigned to the Department by the General Services Administration or
any other Agency, and (2) allocate and check parking spaces assigned
to government vehicles, visitors, handicapped personnel, executive
personnel, carpool and van pools and others.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Congressional Member Disclosure. The Department may
disclosure records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the
written request of that individual. The member's right to the
information is no greater than the right of the individual who
requested it.
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosure.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(3) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
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.
Safeguards:
All physical access to the Department of Education 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 or visitor badge.
Retention and disposal:
Superseded policy materials are maintained by the Director,
Quality Workplace Group for historical purposes. Records at other
Department locations are maintained until the Parking Control purpose
has been met, and the records are then destroyed.
System manager(s) and address:
Director, Quality Work Group (QWG), Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
social security number, agency and office and the location where
Department parking is provided. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Record access procedures:
Same as Notification Procedure. Requesters should also reasonably
specify the record contents sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
Contact the system manager at the address specified under
notification procedure above, and reasonably identify the record and
specify the information to be contested. Your request must meet the
requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Information in this system are obtained from reports submitted by
Department Staff, Principal Offices and Regional Offices, GSA-Federal
Management circulars and Federal Property Management Regulations.
Systems exempted from certain provisions of the act:
None.
18-05-02
System name:
Family Educational Rights and Privacy Act (FERPA) and the
Protection of Pupil Rights Amendment (PPRA) Record Systems.
Security classification:
None.
System location:
Family Policy Compliance Office, Office of Management, U.S.
Department of Education, Room 2W100, Washington, DC 20202-4506.
Categories of individuals covered by the system:
Individuals who have made inquiries or who have filed complaints
alleging violations of provisions in FERPA and PPRA; and those who
have commented to the Department on its proposed rules and practices.
Categories of records in the system:
This system consists of correspondence alleging violations of
FERPA and PPRA as well as comments submitted to the Department on its
proposed rules and practices.
Authority for maintenance of the system:
Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and
Protection of Pupil Rights Amendment (20 U.S.C. 1232h).
Purpose(s):
Information contained in this system is used to resolve disputes
regarding violations of FERPA and PPRA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Member of Congress Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested.
(2) Educational Agency or Institution. The Department may
disclosure records from this system of records to an educational
agency or institution against which a complaint has been made.
(3) State Educational Agency. The Department may disclose records
to a State educational agency relative to an educational agency or
institution in that State against which a complaint has been filed.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to FERPA or PPRA investigations or
other enforcement responsibilities under FERPA or PPRA;
(6) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(9) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in hard-copy form filed in standard
lockable file cabinets, or on electronic files in which case document
disks are kept in lockable file cabinets.
Retrievability:
Records are indexed under the names of institutions against which
individuals are alleging violations of FERPA.
Safeguards:
Direct access is restricted to FPCO staff; 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 after the case is closed.
System manager(s) and address:
Director, Family Policy Compliance Office, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2W100, Washington, DC
20202-4056.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
The information in this system is obtained from incoming
correspondence, responses and material obtained during the course of
any investigation.
System exempted from certain provisions of the act:
None.
18-05-03
System name:
Federal Personnel Payroll System
Security classification:
None.
System location:
Department of Interior, Bureau of Reclamation, Management
Operations Center, Division of Payroll Operations, 7333 West
Jefferson Ave., Academy Place 1, Denver, CO 80235
Categories of individuals covered by the system:
This system contains records on all employees of U.S. Department
of Education, the National Commission of Library and Learning and the
National Goals Panel.
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 Learning and the
National Goals Panel, including 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:
5 U.S.C. 5101, et seq; 31 U.S.C. 3512; 20 U.S.C. 3461.
Purpose(s):
The records in this system are maintained in order to facilitate
fiscal operations for payroll, attendance, leave, insurance, tax,
retirement and cost accounting programs; and to prepare related
reports to other Federal agencies including the Department of the
Treasury and the Office of Personnel Management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, THE DEPARTMENT may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to an a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
(13) Payroll Disclosure. The Department may disclose records 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.
(14) Tax Disclosure. The Department may disclose records to the
Internal Revenue Service and to state and local government agencies
having taxing authority in order to prepare W-2 Forms.
(15) Personnel Management Disclosure. The Department may disclose
records to the Office of Personnel Management, Merit Systems
Protection Board, 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.
(16) Workers' Compensation Disclosure. The Department may
disclose records to 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.
(17) Wage Garnishment Disclosure. The Department may disclose
records to the IRS in order to respond to orders from IRS for
garnishment of an employee's pay for Federal income tax purposes.
(18) Unemployment Compensation Disclosure. The Department may
disclose records to state offices of unemployment compensation in
connection with claims filed by former Department employees for
unemployment compensation.
(19) Association Dues Disclosure. The Department may disclose
records to 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.
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
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. 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(e). 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 electronic media and in hard copy.
Retrievability:
Records are retrieved by the employee's name and Social Security
number.
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. All physical access to the
Department's sites, 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 an employee or visitor badge.
The computer system employed by the Department offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with user defined password. All
interactions by individual users with the system are recorded.
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 updated transactions whether
electronically or paper, 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 are retired
to the Federal Personnel Records Center and subsequently disposed of
in accordance with the General Records Schedules issued by the
National Archives and Records Administration.
System manager(s) and address:
Director, Human Resources Systems, Human Resources Group, Office
of Management, Department of Education, 400 Maryland Ave., SW, Room
2E108, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the executive officer in your office.
Your request must meet the requirements of the Department's Privacy
Act regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the executive officer in your office. Your
request must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the executive officer in your office.
Your request must meet the requirements of the Department's Privacy
Act regulations at 34 CFR 5b.7.
Record source categories:
Information in this system of records is obtained from individual
employees, timekeepers and supervisors.
Systems exempted from certain provisions of the act:
None.
18-05-04
System name:
Discrimination Complaints Records System.
Security classification:
None.
System location:
Equal Employment Opportunity Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue SW, Room 2W228,
Washington, DC 20202-4550.
Categories of individuals covered by the system:
This system contains records on individuals--employees as well as
applicants for employment--or groups of individuals who have filed
Equal Employment Opportunity (EEO) complaints of discrimination on
the basis of race, color, religion, sex (including sexual harassment
or sexual orientation), national origin, age, disability, or reprisal
for having engaged in a prior EEO activity.
Categories of records in the system:
This system of records consists of records concerning the
Department's formal complaints of discrimination processes, including
counselor' reports, the initial allegations and efforts at
resolution, letters or notices to the individual or class agent,
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:
42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR
part 1614.
Purpose(s):
The Equal Employment Opportunity Group uses the information
contained in this system to adjudicate complaints or appeals, to
provide a basis for a corrective action related to the discrimination
situation and as a data source for management information for
production of descriptive statistics and analytical studies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department (Department) may disclose information contained in
a record in this system of records under the routine uses listed in
this system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure to OMB, MSPB and EEOC. The Department may disclose
records to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of the Special Counsel), or
the Equal Employment Opportunity Commission for the purpose of
carrying out their functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event of litigation where one of the
parties listed below is involved in litigation or ADR, or has an
interest in litigation ADR, the Department may disclose certain
records to the parties described in paragraphs (b), (c) and (d) of
this routine use under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to directly affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in file folders and binders inside a
file room centrally situated within the EEOG office.
Retrievability:
The records are indexed by formal complaint case numbers, and
cross-referenced by a separate log identifying the names of the
individuals or class agents on whom they are maintained.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require access. Physical security of the file
room and entire office area involves lockable entry doors with off-
the-master keys.
Retention and disposal:
The complaint cases of discrimination may be retired to the
Federal Records Center three years after their final disposition
through the administrative (and judicial, as applicable) processes.
System manager(s) and address:
Director, Equal Employment Opportunity Group, Office of
Management, U.S. Department of Education, 400 Maryland Avenue, SW.,
Washington, DC 20202-4550.
Notification procedure:
If you wish to determine if a record exists regarding you in this
system of records, contact the system manager at the address listed
above. You should include your name, date of birth, Departmental
principal office in which the situation arose, the approximate date,
and the type of action taken. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, follow the procedures described above under
Notification Procedure. You should also reasonably specify the record
contents being sought. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest information contained in this system of
records, you should contact the system manager at the address listed
above. You should reasonably identify the record and specify the
information to be contested. Your request should satisfy the
requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Information in this system is obtained from individuals to whom
the record pertains, Department officials or other officials,
statements from employees or other witnesses, official documents
pertinent to the complaint and correspondence from specific
organizations or persons.
System exempted from certain provisions of the act:
None.
18-05-05
System name:
Grievances Filed Formally Under the Administrative Grievance
Procedure.
Security classification:
None.
System location:
Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202. See the
Appendix at the end of this system notice for additional locations.
Categories of individuals covered by the system:
This system contains records on non-bargaining unit employees of
the Department regardless of type of appointment, who individually or
as a group, request personal relief in a matter of concern or
dissatisfaction which is subject to the control of Department
management. This includes former employees of the Department for whom
a remedy can be provided as well as applicants.
Categories of records in the system:
Information or documents relating to the grievance and personal
relief sought, materials used in consideration of the grievance, and
correspondence related to disposition of the grievance, including but
not limited to the formal grievance, fact finder's report, final
decision, and all other related documents.
Authority for maintenance of the system:
5 U.S.C. 1302.
Purpose(s):
The information contained in this system is to consider and
settle matters of dissatisfaction or concern of covered individuals.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy stored in file folders, on
computers and in handwritten logs for Human Resources. Summary data
of records are also maintained in a computerized tracking system.
Retrievability:
Records are indexed alphabetically by organization and year.
Safeguards:
Access to and use of these records are limited to those persons
with a ``need-to-know'' and whose official duties require such
access. Personnel screening is employed to prevent unauthorized
disclosure. Computers are password protected for individuals with
access. All data bases are designed with stringent security measures
to control individual users' ability to access and alter records
within the system.
Retention and disposal:
Records are retained for three (3) years after the grievance case
is closed, and are then destroyed, as set forth in the General
Records Schedule 1, Civilian Personnel Records, Item 30(a).
System manager(s) and address:
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E314,
Washington, DC 20202. See the Appendix at the end of this system
notice for additional system managers.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, contact the system manager at the address listed
above and follow the steps outlined in the Notification Procedure.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
Record source categories:
Information in this system of records is supplied from the
following sources: Directly by the individual filing the grievance,
from information supplied by the individual, by testimony of
witnesses, employee representatives, Department employees or
officials.
System exempted from certain provisions of the act:
None.
Appendix to 18-05-05
Additional System Locations and System Managers
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW.,
Washington, DC 20202.
Employee Relations Team, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E233, Washington,
DC 20202-4737.
U.S. Department of Education, Regional Personnel Office O'Neill
Federal Building, 10 Causeway Street, Room 1095 Boston, MA
02222.
U.S. Department of Education, Regional Personnel Office 75 Park
Place, 12th Floor, New York, NY 10007.
U.S. Department of Education, Regional Personnel Office 3535 Market
Street, Room 16300, Philadelphia, PA 19104.
U.S. Department of Education, Regional Personnel Office 61 Forsyth
Street, SW, Suite 18T55, Atlanta, GA 30303.
U.S. Department of Education, Regional Personnel Office 111 N. Canal
Street, Room 1084, Chicago, IL 60606.
U.S. Department of Education, Regional Personnel Office 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.
U.S. Department of Education, Regional Personnel Office 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.
U.S. Department of Education, Regional Personnel Office 1244 Speer
Boulevard, Room 353, Denver, CO 80204-3582.
U.S. Department of Education, Regional Personnel Office 50 United
Nations Plaza, Room 207, San Francisco, CA 94102-4987.
U.S. Department of Education, Regional Personnel Office 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.
18-05-06
System name:
Grievance Records Filed under Procedures Established By Labor-
Management Negotiations.
Security classification:
None.
System location:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
Categories of individuals covered by the system:
This system contains records on present and past bargaining unit
employees of the Department covered by the Collective Bargaining
Agreement between the Department and American Federation of
Government Employees Council 252.
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 including employee's name, Social
Security number, 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
Federal Labor Relations Authority.
Authority for maintenance of the system:
5 U.S.C. 7101.
Purpose(s):
The information in this system is used to make determinations 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Agency Disclosure. The Department may disclose information
from this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
(8) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, The Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy and a list of individual
names is maintained in electronic media.
Retrievability:
Records are retrievable by file number which are cross-referenced
by individual names.
Safeguards:
When not in use by authorized persons, these records are stored
in metal file cabinets stored within the secured suite of the Labor
Relations Group. Access to and use of these records are limited to
personnel who have a need for the records in the performance of their
duties.
Retention and disposal:
Records are destroyed 5 years after final resolution of case.
System manager(s) and address:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Ave., SW., Room 2C136,
Washington, DC 20202-4754.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management component and/or
individual against whom the grievance was filed. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, contact
the system manager at the above address. Your request must meet the
requirements of the at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of records regarding you in
this system, contact the system manager at the above address and
reasonably identify the record and specify the information contested.
Your request must meet the requirements of the regulations at 34 CFR
5b.7.
Record source categories:
Information in this system of records is obtained directly from
information supplied by the individual; testimony of witnesses, union
officials, or by Department officials.
Systems exempted from certain provisions of the act:
None.
18-05-07
System name:
Unfair Labor Practice Records.
Security classification:
None.
System location:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
Categories of individuals covered by the system:
This system contains records on present and past Department
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 including 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. 7101 and
Department of Labor Regulations.
Authority for maintenance of the system:
5 U.S.C. 7101.
Purpose(s):
The information in this system is used in the processing,
investigation and litigation of unfair labor practice charges that
may be filed by the AFGE Council 252, any of the AFGE Local offices
located at Department Headquarters and each of 10 regional offices
and by bargaining unit employees of the Department.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Agency Disclosure. The Department may disclose information
from this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
1(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy and a list of individual
names are kept on electronic media.
Retrievability:
Records are retrievable by file number which are cross-referenced
by individual names.
Safeguards:
When not in use by authorized persons, these records are stored
in metal file cabinets stored within the secured suite of the Labor
Relations Group. Access to and use of these records are limited to
personnel who have a need for the records in the performance of
official duties.
Retention and disposal:
According to the Records Retention Schedule of the NARA, records
are maintained for 5 years.
System manager(s) and address:
Director, Labor Relations Group, U.S. Department of Education,
400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of record, the unfair labor practice charges as
specified by the complainant, and management component against which
the charge was filed. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, contact
the system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of records regarding you in
this system, contact the system manager at the above address and
reasonably identify the record and specify the information contested.
Your request must meet the requirements of the regulations at 34 CFR
5b.7.
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 Department officials.
Systems exempted from certain provisions of the act:
None.
18-05-08
System name:
Official Time Records of Union Officials and Bargaining Unit
Employees at the Department of Education.
Security classification:
None.
System location:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202-4754. See
the Appendix at the end of this system notice for additional system
locations.
Categories of individuals covered by the system:
This system contains records on current and former Department
professional and nonprofessional employees who are non-temporary,
non-schedule C, non-supervisory and non-managerial employees and
union officials who report use of official time as defined under the
Federal Service Labor-Management Relations Statute, 5 U.S.C. 7101.
Categories of records in the system:
This system of records consists of the individual employees'
Department Flexible Schedule Certification Form and the electronic
transcript of the number of hours attributable for each pay period
into an active accounting of total hours used by each individual
employee to be reported to authorized Executive Branch agencies and
to the Congress as requested.
Authority for THE maintenance of the system:
Federal Service Labor Management Relations Statute (FSLMRS), 5
U.S.C. 7101.
Purpose(s):
The information contained in this system is used to determine
compliance with the collective bargaining agreement between the U.S.
Department of Education and the American Federation of Government
Employees' Council of Education Locals, No. 252 under the FSLMRS and
to produce reports as may be required by the Congress.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Agency Disclosure. The Department may disclose information
from this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy and electronic media after
transcription from hard copy.
Retrievability:
Records are retrievable by name.
Safeguards:
Records are stored in electronic databases stored in secured
rooms with access limited to those whose official duties require
access.
Retention and disposal:
According to the National Archives and Records Administration's
General Records Schedules, records are maintained for 5 years.
System manager(s) and address:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2C136,
Washington, DC 20202-4754.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management component or individual
or both against whom the grievance was filed. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to gain access to a record in this system, contact
the system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of records regarding you in
this system, contact the system manager at the above address and
reasonably identify the record and specify the information contested.
Your request must meet the requirements of the regulations at 34 CFR
5b.7.
Record source categories:
Information in this system of records is:
(1) Supplied directly by the individual, or
(2) Supplied by union officials, or
(3) Supplied by Department officials.
Systems exempted from certain provisions of the act:
None.
Appendix to 18-05-08
Additional system Locations
Employee Relations Team, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E233, Washington,
DC 20202-4737.
Informal Dispute Resolution Center, Office of Hearings and Appeals,
U.S. Department of Education, L'Enfant Plaza, Room 2100A,
Washington, DC 20202.
Regional Personnel Office, U.S. Department of Education, O'Neill
Federal Building, 10 Causeway Street, Room 1095, Boston, MA
02222.
Regional Personnel Office, U.S. Department of Education, 75 Park
Place, 12th Floor, New York, NY 10007.
Regional Personnel Office, U.S. Department of Education, Wanamaker
Building, 100 Penn Square East, Suite 503, Philadelphia, PA
10107.
Regional Personnel Office, U.S. Department of Education, 61 Forsyth
Street, SW, Suite 8T55, Atlanta, GA 30303.
Regional Personnel Office, U.S. Department of Education, 111 N. Canal
Street, Room 1084, Chicago, IL 60606.
Regional Personnel Office, U.S. Department of Education, 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.
Regional Personnel Office, U.S. Department of Education, 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.
Regional Personnel Office, U.S. Department of Education, 1244 Speer
Boulevard, Room 353, Denver, CO 80204-3582.
Regional Personnel Office, U.S. Department of Education, 50 United
Nations Plaza, Room 207, San Francisco, CA 94102-4987.
Regional Personnel Office, U.S. Department of Education, 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.
18-05-09
System name:
Voluntary Leave Transfer (VLT) Program.
Security classification:
None.
System location:
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records on Department of Education employees
seeking voluntary donations of annual leave from other federal
employees in order to cover leave shortfalls brought about by
documented medical emergencies.
Categories of records in the system:
This system consists of written applications of employees seeking
assistance from the program, medical statements certifying need,
agency approvals or denials, leave donation records, leave transfer
records, supervisor/timekeeper approvals, payroll notification
records, leave program termination records, and other related
documents. Most of these records contain individual Social Security
numbers.
Authority for maintenance of the system:
Pub. L. 100-566; 5 CFR 630.913.1.
Purpose(s):
The information contained in this system is used for the purposes
of determining program eligibility and for documenting voluntary
transfers of leave to program recipients.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Disclosures. The Department may disclose records to
(1) the Office for Personnel Management in order to respond to
requests for information or other official inquiries; and (2) the
staff of the Department of Interior responsible for preparation of
payroll documents,
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to the Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file folders in a manual filing system.
Retrievability:
Records are retrievable by name of program recipient.
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 one year after the end of the year in
which the file is closed and are then destroyed.
System manager(s) and address:
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management component and/or
individual against whom the grievance was filed. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, contact
the system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of records regarding you in
this system, contact the system manager at the above address and
reasonably identify the record and specify the information contested.
Your request must meet the requirements of the regulations at 34 CFR
5b.7.
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.
System exempted from certain provision of the Act:
None.
18-05-10
System name:
General Performance Appraisal System (GPAS).
Security classification:
None.
System location:
Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E300, Washington, DC
20202-4737. See the Appendix at the end of this system notice for
additional system locations.
Categories of individuals covered by the system:
The U.S. Department of Education (Department), General
Performance Appraisal System (GPAS) contains the performance
appraisal of all Department employees in General Schedule (GS),
General Merit (GM), Administratively Determined (AD), and prevailing
rate plans.
Categories of records in the system:
The Department GPAS software holds two categories of data on
employees participating in Department's performance appraisal
process. These records include:
(1) Personnel data, such as name, social security number,
organizational entity, supervisor, position title, series and grade;
and
(2) Performance appraisal data: GPAS Employee Performance
Agreement, evaluation standards, list of evaluators, scores and
comments.
Hard copies of an employee's GPAS Employee Performance Agreement,
Rating of Record, and any required comments are maintained in an
Employee Performance File (EPF). These files are located in cabinets
in a locked secure room with Department employees' Official Personnel
Folders.
Hard copies of the ``Summary Evaluation and Comments Reports'',
are generated by the GPAS System/Group Administrator. These reports
are treated with utmost confidentiality. They are provided to the
employee's supervisor and shared with the employee, approving
official and with other appropriate management employees on a ``need-
to-know'' basis. The GPAS System/Group Administrator retains a hard
copy of the Summary and Comments Reports for each employee for one
year.
The GPAS System/Group Administrator maintains hard copies of the
feedback and comments reports for one year.
Hard copies of the GPAS Employee Performance Agreement, Rating of
Record, and any required comments are maintained in the employee's
Employee Performance File for four years.
Authority for maintenance of the system:
5 U.S.C. 43; Title 5, Code of Federal Regulations (CFR), part
430, Performance Management, subparts A and B.
Purpose(s):
The information in this system is used to generate feedback
reports on employees which are taken into consideration when the
employee's supervisor provides the summary rating incorporated in the
``Rating of Record,'' which is the official rating document placed in
an employee's Employee Performance File (EPF).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department may disclose information contained in a record in
this system of records under the routine uses listed 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. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act,
under a computer matching agreement.
(1) Employment-Related Disclosures. The Department may disclose
records to Department supervisors and other management personnel on a
``need-to-know'' basis. The records may be used as a basis for, or in
conjunction with, Reduction-in-Force, performance-based actions,
within-grade actions, adverse actions, decisions regarding retention
of employees during probationary period, recognition, promotions,
reassignments and other appropriate personnel actions. When the
Official Personnel Folder (OPF) and EPF of a GPAS employee are sent
to another agency or to the National Personnel Records Center, the
Servicing Personnel Office shall include all Ratings of Record that
are four years old or less, any required comments, and the associated
GPAS Employee Performance Agreements in the EPF.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecute responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to an
arbitrator or another agency of the Federal Government if the record
is relevant to one of the following proceedings regarding a present
or former employee of the Department: complaint, grievance,
discipline or competence determination proceedings. The disclosure
may only be made during the course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Department GPAS electronic records reside on a single
dedicated computer that is housed in a secure area. The GPAS System
Administrator retains for one year a hard copy of each employee's
``Summary Appraisal Report,'' ``Summary Evaluation Report,'' and any
Comments Reports. These are housed in locked file cabinets in the
GPAS unit at the Department. Hard copies of Ratings of Records, GPAS
Employee Performance Agreements and any related required comments are
stored in an employee's EPF in a locked room.
Retrievability:
The GPAS records may be retrieved by an employee's name or social
security number.
Safeguards:
All physical records are maintained in locked file cabinets.
Employees have access to the GPAS software at their workstations,
controlled by passwords that the employees designate. If individuals
walk into employees' work area while employees are using the GPAS
software, the software includes a Hide key so that the evaluations
will not be compromised. System and group administrators maintain the
GPAS software. These individuals are the only individuals who have
access to the entire database. They do not have employees' passwords,
but have the ability to change the passwords upon request.
The database is protected by stringent security mechanisms that
include a combination of hardware, operating system, application
software, database software, and procedures. All physical access to
the Department site, and the sites of Department contractors where
this system of records are maintained, is controlled and monitored by
security personnel who check each individual entering the building
for his or her employee or visitor badge.
Retention and disposal:
An employee's records remain in the GPAS database until
employment with the Department is terminated. Some data is housed
temporarily in the GPAS database during each of the Department's
annual and midpoint reviews or surveys during which new data is
entered directly into the GPAS system by the employee and their
evaluation team members and accumulates over the course of the review
process. An employee's GPAS Employee Performance Agreement, which
identifies their performance elements and standards, and the ``Rating
of Record,'' Department's official performance review document, are
kept in the employee's EPF for four years. If the employee leaves the
Department prior to the end of the 4 years, the GPAS records are
forwarded to either the National Personnel Records Center or the
agency to which the employee transferred.
System manager(s) and address:
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., FB-6, Room 2E300,
Washington, DC 20202-4737. See the Appendix at the end of this system
notice for additional system managers.
Notification procedure:
If an employee wishes to determine whether a record exists
regarding them in the system of records, the employee should provide
the system manager with his name (including all names used) and
social security number. The request must meet the requirements of the
regulations at Title 5, Code of Federal Regulations, part 34
Sec. 5b.5, including proof of identity. The employee may present a
request in person at any of the locations identified for this system
of records or address it to the appropriate system manager.
Record access procedures:
If you wish to gain access to the records regarding you in this
system of records, you should contact the system manager at the above
address. Your request must meet the regulations at 34 CFR 5b.5,
including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record, you should
contact the system manager at the above address. Your request must
meet the regulations at 34 CFR 5b.7.
Record source categories:
The information in this system comes from the Department's
integrated personnel/payroll system, the employees, supervisors, and
evaluation team members.
System exempted from certain provisions of the act:
None.
Appendix to 18-05-10
Additional System Locations and System Managers
Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 61 Forsyth Street, SW., Suite 18T55, Atlanta, GA
30303.
Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 111 N. Canal Street, Room 1084, Chicago, IL
60606.
Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 50 United Nations Plaza, Room 207, San Francisco,
CA 94102-4987.
18-05-11
System name:
Training Registration and Information System (TRAINS).
Security classification:
None.
System location:
Training and Development Center, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2W210,
Washington, DC 20202. See Appendix at the end of this system notice
for additional system locations.
Categories of individuals covered by the system:
TRAINS contains records of employees who register to attend
training classes within the Department or who request training with
an outside vendor for which approval and payment is required.
Categories of records in the system:
TRAINS consists of records relating to an employee's applications
for, and participation in, Department training classes (internal
training) and training courses, conferences, or other training-
related activities offered by vendors or government agencies outside
the Department (external training). In addition to the employee's
name, the system contains the employee's Social Security Account
Number, position level, pay plan, grade, series, organization in
which employed, building/room/telephone number, service completion
date, supervisor's name, training requests, record of whether the
employee attended or did not attend the internal class, and record of
approval by principal office and cost of the external training,
conference or training-related activity. For internal training use,
TRAINS has tables of course names and categories required to set up
internal training classes and report the statistics on training
offerings (numbers of attendees for specific courses during specific
date parameters, for example). TRAINS also contains tables of users'
identification information, building addresses, room locations, and
vendor names and addresses.
Authority for maintenance of the system:
5 U.S.C. 4103 (1994).
Purpose(s):
TRAINS is used for the following purposes: (1) To track course
enrollments; (2) provide course rosters; (3) to produce attendance
records for employees who attend internal training classes; (4) to
produce reports on individual employees' training activities; (5) to
produce reports on training activities conducted by individual
organizations within the Department; and (6) by employees to request
approval to attend training activities conducted outside the
Department.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this notice without the consent of the individual if
the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained on a networked computer server with
backup procedures standard to all Department servers. Individual
offices may maintain a hard copy of the training requests. Since
entries are made and stored electronically, any hard copy records are
kept following the procedures and/or requirements of the individual
principal office. The Training and Development Center maintains hard
copies of data such as signed class rosters only until the TRAINS
database is updated.
Retrievability:
The system is indexed by Social Security number. The Training and
Development Center staff, designated employees, and contractors who
support the staff can access data in the system by employee name.
Data for reports are retrievable by information from tables such as
organization code and identifying codes for course names.
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. At a program/server level all
interactions by individual users with the system are recorded.
Utilities within the program can identify users' last logon and
record changes made in registrations. There are four categories of
individuals who have some access to this system: training
coordinators, executive officers, TDC staff and designated employees
and contractors who support TDC activities and system administrators.
Retention and disposal:
Records of individuals are in the system indefinitely. Employees
whose names are no longer in the personnel database are marked for
archiving within the system. A utility is available to reactivate the
records of an employee who returns to the Department.
System manager(s) and address:
Training and Development Group Director, Training and Development
Center, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W210, Washington, DC 20202-4614.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the training coordinator for your
principal office and provide the training coordinator with your name
and social security number. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity. You
may also present your request in person at any of the locations
identified for this system of records which include your specific
organization or address your request to the system manager at the
address listed above.
Record access procedures:
You may request a copy of your student transcript from TRAINS
through the training coordinator for that organization. Managers may
request reports that may include the names of employees in that
organization from the training coordinator or principal office for
that organization. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the information in this system pertaining
to you, you should contact the system manager at the above address.
You will need to provide specific information concerning any errors
or omissions. It should be noted that not all employee training is
entered into TRAINS and therefore cannot be tracked on the student
transcript. Questions about external training for which there is no
record must be addressed to the appropriate principal office.
Record source categories:
The employee database is a subset of information from the
Department's employee payroll database. This provides the employee
Social Security number, name, grade, job series, and service
completion date. Locator information (building/room/phone number) is
updated manually from employee-provided information. Supervisor's
name is updated manually from employee-provided information. All
information regarding external training requests are provided by the
employee requesting the training.
ystem exempted from certain provisions of the act:
None.
Appendix to 18-05-11
Additional System Locations
Capital Place, 555 New Jersey Avenue, NW., Washington, DC 20208.
Mary E. Switzer Building, 330 C Street, SW., Washington, DC 20202.
L'Enfant Plaza, 2100 Corridor, Washington, DC 20202.
ROB-3, 7th and D Streets, SW., Washington, DC 20202.
Portals Building, 1250 Maryland Avenue, SW., Washington, DC 20202.
Region I, McCormack Post Office & Courthouse, Boston, MA 02109.
Region II, 75 Park Place, New York, NY 10007.
Region III, The Wanamaker Building, 100 Penn Square East, Room 502,
Philadelphia, PA 19107.
Region IV, 61 Forsyth Street, SW, Atlanta, GA 30303.
Region V, 111 North Canal Street, Chicago, IL 60606.
Region VI, 1999 Bryan Street, Dallas, TX 75201.
Region VII, 10220 North Executive Hills Blvd., Kansas City, MO 64153.
Region VII, 7505 Tiffany Springs Parkway, Kansas City, MO 64153.
Region VIII, 1244 Speer Boulevard, Denver, CO 80204.
Region VIII, 1391 N. Speer Boulevard, Denver, CO 80204.
Region IX, 50 United Nations Plaza, San Francisco, CA 94102.
Region X, 915 Second Avenue, Seattle, WA 98174.
Region X, 1000 Second Avenue, Seattle, WA 98174.
18-05-12
System name:
Grievances Filed Informally Through the Informal Dispute
Resolution Center (IDR Center).
Security classification:
None.
System location:
Informal Dispute Resolution Center, Office of Hearings and
Appeals, Office of Management, U.S. Department of Education, L'Enfant
Plaza, Room 2100 A, Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records on non-bargaining unit employees of
the Department regardless of type of appointment, who individually or
as a group, request personal relief in a matter of concern or
dissatisfaction which is subject to the control of Department
management. This includes former employees of the Department for whom
a remedy can be provided, as well as applicants.
Categories of records in the system:
This system consists of IDR Center files.
Authority for maintenance of the system:
5 U.S.C. 1302.
Purpose(s):
The information contained in this system is to consider and
settle matters of dissatisfaction or concern of covered individuals.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy. Summary data of records are
also maintained in a computerized tracking system.
Retrievability:
IDR Center records are indexed by docket number.
Safeguards:
Access to and use of these records are limited to those persons
with a ``need-to-know'' and whose official duties require such
access. Personnel screening is employed to prevent unauthorized
disclosure. Computers are password protected for individuals with
access. All data bases are designed with stringent security measures
to control individual users' ability to access and alter records
within the system.
Retention and disposal:
The IDR Center records are retained for 4 years after resolution
of the case, as set forth in the General Records Schedule 1, Civilian
Personnel Records, Item 25(a), 30(a).
System manager(s) and address:
Director, Informal Dispute Resolution Center, U.S. Department of
Education, 400 Maryland Avenue, SW., Suite 2100 A, L'Enfant Plaza,
Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Act regulations at 34 CFR 5b.5,
including proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, contact the system manager at the address listed
above and follow the steps outlined in the Notification Procedure.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
Record source categories:
Information in this system of records is supplied from the
following sources: Directly by the individual filing the grievance,
from information supplied by the individual, by testimony of
witnesses, employee representatives and/or Department employees/
officials.
System exempted from certain provisions of the act:
None.
18-06-01
System name:
Federal Advisory Committee Membership Files.
Security classification:
None.
System location:
Committee Management, Office of Intergovernmental and Interagency
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room
5E330, Washington, DC 20202-3571.
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 or other
committees within the jurisdiction of the Department of Education.
Categories of records in the system:
Records in this system consists of one or more of the following:
Name, title, sex, place and date of birth, home address, business
address, organizational affiliation, phone numbers, fax numbers, e-
mail addresses, 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
committee, special qualifications of the individual for the advisory
committee or other membership, source who recommended the individual
for membership on advisory 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, or where various statutory or other requirements
for advisory committee membership cannot be met.
Authority for maintenance of the system:
Federal Advisory Committee Act, as amended, (U.S.C.A. Appendix
2).
Purpose(s):
The information in this system is used to evaluate and select
individuals for membership on advisory committees or other committees
within the jurisdiction of the Department.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Reporting Disclosures. The Department may disclose a record
to the President, the Office of Management and Budget, the General
Services Administration or to the General Accounting Office in order
to complete its reporting requirements under 41 CFR part 101-6.
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
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 and/or
index cards.
Retrievability:
For the most part records are maintained in an alphabetical index
by name of the committees. Records from the system are available to
the staffs of the respective Advisory Committees and other Department
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:
Committee Management Officer, Office of Intergovernmental and
Interagency Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 5E330, Washington, DC 20202-3571.
Notification procedure:
Same as above.
Record access procedures:
Same as notification procedures. Requestors should also
reasonable specify the record contents, being sought. These access
procedures are in accordance with Department Regulations (34 CFR
5b.5(a)(2)).
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.
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 employees, regional
office of the Department, Members of Congress, and other government
sources.
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.
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
18-06-02
System name:
Telephone Directory/Locator System.
Security classification:
None.
System location:
Information Resource Center, Intergovernmental and Interagency
Affairs, U.S. Department of Education, Room 5E233, 400 Maryland
Avenue, SW., Washington, DC 20202-0498.
Categories of individuals covered by the system:
This system contains records on current employees of the
Department, vendors or other Federal employees located in Department
operating offices and facility complexes.
Categories of records in the system:
This system contains records such as first and last names,
titles, agency office addresses, program and principal office agency
mailing addresses, telephone numbers, fax numbers, e-mail addresses,
and standard administrative codes for departmental employees and
other individuals with access rights to the Department's Intranet.
Names, phone numbers, principal and program offices, office addresses
(building name, address, room number, region), and e-mail addresses
are available via the Department's website.
Authority for maintenance of the system:
5 U.S.C. 301, 40 U.S.C. 486(c).
Purpose(s):
Records are used to develop and maintain current employee locator
and directory listings. The locator listings are used by the
Department information centers, employees, mail rooms, and others
specifically for the purpose of locating employees and for routing
mail. The directory listings are used to produce departmental
telephone directories on an as needed basis.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching
requirements of the Privacy Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department 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. 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(e). 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 stored on hard drives, computer printouts, and in
hard copy.
Retrievability:
Records are retrievable by first and last name, principal office
name, telephone number, and a keyword search field.
Safeguards:
Only authorized personnel have access to master lists and the
ability to make permanent changes.
Retention and disposal:
Data is edited by each employee online in real time. Therefore
data can change or be deleted each day. Once the employee leaves the
Department, all data is deleted from the database as the database
only houses the most current Departmental employee location data.
System manager(s) and address:
Locator Administrator(s), Information Resource Center,
Intergovernmental and Interagency Affairs, U.S. Department of
Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC
20202-0498.
Notification procedure:
If you wish to determine whether a record regarding you exists in
this system, contact the system manager at the address provided
above. Your request must meet the requirements of the regulations at
34 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you,
contact the system managers. Your request must meet the requirements
of the regulations at 34 CFR 5b.7.
Record source categories:
Information in this system is obtained from individual employee,
the Information Resource Center and the Chief Information Office.
Systems exempted from certain provisions of the act:
None.
18-06-03
System name:
Presidential Scholars Program--Files of Selected Participants.
Security classification:
None.
System location:
U.S. Department of Education, Office of Intergovernmental and
Interagency Affairs, Regional Services, Community Services, 400
Maryland Avenue, SW., Washington, DC 20202-3500.
American College Testing, Inc., Recognition Program Services,
2255 North Dubuque Road, Tyler Building, Iowa City, Iowa 52243-4030.
Categories of individuals covered by the system:
Individuals covered by the system are participants in the
Presidential Scholars Program.
Categories of records in the system:
Information contained in the system includes the name, Social
Security number, address, and other biographical information provided
by the student, such as SAT/ACT scores, school transcripts, and
essays.
Authority for maintenance of the system:
Executive Order No. 11,555, 29 FR 6,909, 3 CFR 198 (1964).
Purpose(s):
The Presidential Scholars files are kept for purposes of the
annual selection of scholars and for historical archive purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(7) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(8) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(9) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(10) Media Purposes. The Department may disclose records from
this system of records in order to promote the program and
recognition of local students. Partial file disclosures will be made
on a case-by-case basis to state and local governments, officials,
and institutions; congressional offices; and program sponsors and
affiliates.
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
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. 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(e). 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, retreiving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are maintained in hard copy in paper files
in metal file cabinets and in data files on computers.
Retrievability:
The data is retrieved by name, Social Security number, state,
high school, and year of selection.
Safeguards:
All physical access to the Department 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 systems employed by the Department and contractors
offer a high degree of resistance to tampering and circumvention.
These security systems limit data access to Department and contract
personnel on a ``need to know'' basis, and controls individual users'
ability to access and alter records within the system. All users of
these systems are given a unique user ID and interactions by
individual users with the system are recorded.
Retention and disposal:
Records are maintained for four years and are then destroyed.
System manager(s) and address:
Director, Presidential Scholars Program, Office of
Intergovernmental and Interagency Affairs, U. S. Department of
Education, 400 Maryland Avenue, SW., Room 5E223, Washington, DC
20202-3500.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, you should provide the system manager your
name, Social Security number, and year of high school graduation.
Your requests for notification must meet the requirements in the
Department's Privacy Act regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to gain access to a record in this system, you should
contact the system manager and provide information described in the
notification procedure. Your requests for access to a record must
meet the requirements in the Department's Privacy Act regulations at
34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, you should contact the system manager with the information
described in the notification procedure, identify the specific
item(s) to be changed, and provide a written request for the change.
Your request to amend a record must meet the requirements of the
Department's Privacy Act regulations at 34 CFR 5b.7, including proof
of identity.
Record source categories:
Information in this system of records is obtained from the
individuals' applications, testing records of the American College
Testing, Inc., and the Educational Testing Service and questionnaires
completed by school officials at the request of the individual.
Exemptions claimed for the system:
None.
18-06-04
System name:
Satellite Event Participant Registration System.
Security classification:
None.
System location:
Information Resource Center, Intergovernmental and Interagency
Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400
Maryland Avenue, SW., Washington, DC 20202-0498.
Categories of individuals covered by the system:
This system contains records on individuals and contact persons
from organizations that register for participation in selected events
hosted by the U.S. Department of Education (such as the monthly
Satellite Town Meeting) as well as individuals who have requested
regular information on such events.
Categories of records in the system:
This system consists of a variety of records including the name
of the individual, his or her e-mail address, telephone number, fax
number, mailing address, the name of organization with whom the
individual is affiliated, name of the technical satellite contact,
the name of the event, the event location and broadcast information.
Authority for maintenance of the system:
20 U.S.C. 1231a.
Purpose(s):
The information contained in this system is used to serve those
individuals and organizations participating in Department of
Education events and satellite broadcast events as well as to provide
selected information to the public about such events.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Press Disclosure. The Department may disclose information
from this system to potential viewers of the event or to the press in
order to provide a list of event participants. Such disclosures are
made only at the request of the event participants whose information
is disclosed.
(2) Event Planning Disclosure. The Department may disclose
information from this system to government and non-government
entities involved with hosting or producing the event in order to
assist in the planning of the event.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(9) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(10) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(11) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in electronic form on hard drives and
when appropriate, in hard copy for a short time.
Retrievability:
Records are retrievable by all fields in the database.
Safeguards:
All physical access to the Department 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 systems employed by the Department and contractors
offer a high degree of resistance to tampering and circumvention.
These security systems limit data access to Department and contract
personnel on a ``need to know'' basis, and controls individual users'
ability to access and alter records within the system. All users of
these systems are given a unique user ID and interactions by
individual users with the system are recorded.
Retention and disposal:
Records are destroyed after the appropriate revisions are made or
after three months, whichever is sooner.
System manager(s) and address:
System Administrator, Information Resource Center,
Intergovernmental and Interagency Affairs, U.S. Department of
Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW, Washington, DC
20202-0498.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, you should provide the system manager your
name, Social Security number, and year of high school graduation.
Your requests for notification must meet the requirements in the
Department's Privacy Act regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to gain access to a record in this system, you should
contact the system manager and provide information described in the
notification procedure. Your requests for access to a record must
meet the requirements in the Department's Privacy Act regulations at
34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, you should contact the system manager with the information
described in the notification procedure, identify the specific
item(s) to be changed, and provide a written request for the change.
Your request to amend a record must meet the requirements of the
Department's Privacy Act regulations at 34 CFR 5b.7, including proof
of identity.
Record source categories:
Information contained in the system are obtained from the event
participants as well as those individuals who have requested
information about the events.
Systems exempted from certain provisions of the act:
None.
18-07-01
System name:
Congressional Members' Biographies System.
Security classification:
None.
System location:
Legislative Affairs Office, Office of the Assistant Secretary for
Legislation and Congressional Affairs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records about all members of Congress.
Categories of records in the system:
This system contains biographical files on congressional members
consisting of the Member's name, title, state and district he or she
represents, date of appointment to Congress, date of birth, place of
birth, educational background, previous employment including
political offices, House or Senate committee assignments, political
support scores, how he or she voted on key education legislation,
brief personal background and education interests pertaining to the
Department of Education, names of universities and colleges located
in each House member's district, and a brief description of the
district or state in which the Member of Congress represents.
Authority for maintenance of the system:
20 U.S.C. 3412(e).
Purpose(s):
The information in this system is used by the Secretary of
Education and any departmental staff who need background information
of a Member of Congress while preparing for hearings and meetings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department may disclose information contained in a record in
this system of records under the routine uses listed 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. The
member's right to the information is no greater than the right of the
individual who requested it.
(1) Contact Disclosures. The Department may disclose records
contained in this system to individuals and entities (including
educational institutions) that the Department contacts while
formulating and enforcing education policies.
(2) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy individual files stored in
standard four-drawer file cabinets and also in electronic format on a
hard drive accessible by staff of the Office for Legislation and
Congressional Affairs.
Retrievability:
Records are indexed alphabetically by last name.
Safeguards:
Files are maintained in the Office of Legislation and
Congressional Affairs and requests are honored on a ``need-to-know''
basis only. 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 are constantly updated as circumstances warrant relative
to the activities of Congress.
System manager(s) and address:
Office of Legislation and Congressional Affairs, Legislative
Affairs Office, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 7E301, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from Congressional Quarterly, Inc., The
Almanac of American Politics, Roll Call Newspapers, on-line
biographies and press releases of Members of Congress, and the Office
of Postsecondary Education at the U.S. Department of Education.
System exempted from certain provisions of the act:
None.
18-07-02
System name:
Congressional Grant Notification Control System.
Security classification:
None.
System location:
Congressional Outreach, Office of Legislation and Congressional
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room
7E301, Washington, DC 20202.
Categories of individuals covered by the system:
The Congressional Grant Notification Control System contains
records about members of Congress.
Categories of records in the system:
This system consists of direct inquiries and letters of support
concerning discretionary grants from Members of Congress.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The information in this system is used to provide responses to
inquiries from Members of Congress regarding discretionary grant
notification.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under routine uses
listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Inter-Agency Disclosure. Inquiries that do not pertain to the
Department, but fall under the jurisdiction of another Federal
agency, are transferred to that Agency with a request that a direct
response be provided to the correspondent.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution.
(a) In the event of litigation where one of the parties listed
below is involved in litigation or ADR, the Department may disclose
such records as it deems desirable or necessary to the Department of
Justice (DOJ) to enable DOJ to effectively represent such party,
provided such disclosure is compatible with the purpose for which the
records were collected.
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee; or
(iv) Any Department employee 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 the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine used to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
records as a routine use to the party, counsel, representative or
witness.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
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 grant title.
Safeguards:
Records are kept in the responsible grant notification team
member's office. All physical access to the Department's 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Records are maintained for two years.
System manager(s) and address:
Director, Congressional Outreach, Office of Legislation and
Congressional Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E301, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager at the above
address with the name of the Member of Congress who corresponded with
the Department, the name of the referenced constituent, the grant
title, and the date of the correspondence. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identification.
Record access procedures:
Same as the Notification Procedure.
Contesting record procedures:
If you wish to contest the content of a record pertaining to you,
contact the system manager at the address noted above, and reasonably
identify the record and specify the information to be contested. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
The information in this system is provided by the correspondent
and by the agency that prepares the final response.
System exempted from certain provisions of the act:
None.
18-08-01
System name:
Case Information System.
Security classification:
None.
System location:
Office for Civil Rights, U.S. Department of Education, Mary E.
Switzer Building, 330 C Street, SW., Room 5074, Washington, DC 20202.
See the Appendix at the end of this system notice for additional
system locations.
Categories of individuals covered by the system:
This system contains records on individuals or groups of
individuals who have made civil rights complaints to the Office for
Civil Rights (OCR).
Categories OF RECORDS covered by the system:
This system lists the names of cases, characteristics of
individual civil rights complaints, and critical events in the OCR's
processing of civil rights complaints.
Authority for maintenance of the system:
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et
seq.; Title IX of the Education Amendments of 1972, 20 U.S.C. 1681,
et seq.; sec. 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794,
et seq.; Age Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; and
Title II of the Americans With Disabilities Act, 42 U.S.C. 12031, et
seq.
Purpose(s):
The Office for Civil Rights uses this system for the following
purposes:
(1) To report the status of individual complaints to OCR managers
and staff for tracking the progress of individual cases and provide
information used to prepare summaries of case processing activities;
and
(2) To report to Congress, other agencies, or to the public to
explain or document the work it has accomplished.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure to Congress, Other Agencies, or the Public. The
Department may disclose summary information derived from this system
of records to Congress, other agencies, and the public to describe
the kinds of work OCR has done, or to document the work it has
accomplished.
(2) Disclosure to Recipients of Federal Financial Assistance,
Witnesses, or Consultants. The Department may disclose information
from this system of records to recipients of federal financial
assistance, witnesses, or consultants when it determines that such
release would assist OCR in resolving a civil rights complaint or in
obtaining additional information or expert advice relevant to the
investigation.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation of information that is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department or one of its
components determines that disclosure of certain records to an
adjudicative body before which the Department or one of its
components is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body individual, or entity.
(d) Parties, Counsels, Representatives, and Witnesses. If the
Department or one of its components determines that disclosure of
certain records to a party, counsel, representative or witness in an
administrative proceeding is relevant and necessary to the
litigation, the Department or its component may disclose those
records as a routine use to the party, counsel, representative or
witness.
(6) Freedom of Information Act Advice Disclosure. The Department
may disclose records to the Department of Justice if the Department
determines that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under the
FOIA.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(8) Congressional Member Disclosure. The Department may disclose
individual records to a member of Congress from the record of an
individual in response to an inquiry from the member made the written
request of that individual. The member's right to the information is
no greater than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are kept in magnetic media.
Retrievability:
Records are indexed by case or complaint number, by the name or
address of a complainant, the name of the entity against which the
complaint was made, its subject matter, or by the stage to which
investigation or other case processing has proceeded.
Safeguards:
The system is maintained on personal computers located in OCR
offices. Information in the system is transmitted between its offices
on OCR's internal communication network. Access to OCR offices is
controlled, and available only to OCR staff and authorized visitors.
OCR staff authorized to access the system receive individual user
identification and passwords. The system additionally limits data
access by type of user and limits users' ability to alter records
within the system.
Similar records made before December, 1993 were entered in a
different format, no longer in use. These historic records are stored
on magnetic tape. A single employee assigned to OCR headquarters can
access them.
Retention and disposal:
Records are retained indefinitely. Disposal is by electronic
erasure when no longer needed for Department use.
System manager(s) and address:
Deputy Assistant Secretary for Policy, Office for Civil Rights,
U.S. Department of Education, 400 Maryland Avenue SW., Room , Switzer
Building, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
indicated above. You must provide the name of the institution and
complainant to which the case pertains and the case number, if known.
Requests must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to records pertaining to you, follow
the notification procedure described above. You must also reasonably
specify the record contents sought.
Request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest any records regarding you, contact the
official at the address specified under notification procedures,
reasonably identify the record and specify the information to be
contested. Requests to amend a record must meet the requirements of
the regulations at 34 CFR 5b.7.
Record source categories:
Records are derived from information in complaint investigation
files.
Systems exempted from certain provisions of the act:
None.
Appendix to 18-08-01
Additional System Locations
OCR, Boston Office, J.W. McCormack Post Office and Court House
Building, Room 222, Boston, MA 02109-4557.
OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007.
OCR, Philadelphia Office, 100 Penn Square East, Suite 515,
Philadelphia, PA 19107.
OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL
60606-7204.
OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East,
Suite 750, Cleveland, OH 44114-2611.
OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth
Street SW, Suite 19T70, Atlanta, GA 30303.
OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.
OCR, Kansas City Office, 10220 N. Executive Hills Boulevard, Kansas
City, MO 64153-1367.
OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite
300, Denver, CO 80204-3582.
OCR, San Francisco Office, Old Federal Building, 50 United Nations
Plaza, Room 239, San Francisco, CA 94102.
OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second
Avenue, Room 3310, Seattle, WA 98174-1099.
OCR, District of Columbia Office, PO Box 14620, Washington, DC 20004-
4620.
18-08-02
System name:
Complaint Files and Log.
Security classification:
None.
System location:
Office for Civil Rights, U.S. Department of Education, Mary E.
Switzer Building, 330 C Street, SW., Room 5074, Washington, DC 20202.
See the Appendix at the end of this system notice for additional
system locations.
Categories of individuals covered by the system:
This system contains information on individuals or groups of
individuals who have made civil rights complaints to the Office for
Civil Rights (OCR).
Categories OF RECORDS covered by the system:
This system consists of records relating to complaints to the
Office for Civil Rights including:
(1) Names, addresses, and telephone numbers of complainants,
complaint allegations, results of investigations;
(2) Correspondence related to the complaint. The material may
include copies of correspondence sent by OCR to others,
correspondence received by OCR, records of telephone conversations,
copies of e-mail or other written communications;
(3) Investigator and attorney memoranda;
(4) Interview notes or transcriptions, and witness statements;
(5) Documents gathered during an investigation, including
photographs of persons or things, portions of a recipient
institution's records, and a complainant's or other individuals'
scholastic, medical, or employment records; and
(6) Charts, prepared exhibits, or other analytical materials
prepared by OCR staff or by consultants retained by OCR.
Authority for MAINTENACE OF THE SYSTEM:
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et
seq.; Title IX of the Education Amendments of 1972, 20 U.S.C. 1681,
et seq.; sec. 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794,
et seq.; Age Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; and
Title II of the Americans With Disabilities Act, 42 U.S.C. 12031, et
seq.
Purpose(s):
The Office for Civil Rights uses this system for the following
purposes:
(1) To determine and to document whether there was discrimination
against the complainant or others;
(2) To record the steps taken to resolve a case;
(3) To store materials gathered, developed, or received during
the processing of a case; and
(4) To document the steps taken to resolve a case.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure to Congress, other Agencies, or the Public. The
Department may disclose summary information derived from this system
of records to Congress, other agencies, and the public to describe
the kinds of work OCR has done, or to document the work it has
accomplished.
(2) Disclosure to Recipients of Federal Financial Assistance,
Witnesses, or Consultants. The Department will release information
contained in this system of records to recipients of federal
financial assistance, witnesses, or consultants when it determines
that such release would assist OCR in resolving a civil rights
complaint or in obtaining additional information or expert advice
relevant to the investigation.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation of information that is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department or one of its
components determines that disclosure of certain records to an
adjudicative body before which the Department or one of its
components is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body individual, or entity.
(d) Parties, counsels, representatives, and witnesses. If the
Department or one of its components determines that disclosure of
certain records to a party, counsel, representative or witness in an
administrative proceeding is relevant and necessary to the
litigation, the Department or its component may disclose those
records as a routine use to the party, counsel, representative or
witness.
(6) Freedom of Information Act Advice Disclosure. The Department
may disclose records to the Department of Justice if the Department
determines that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under the
FOIA.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(8) Congressional Member Disclosure. The Department may disclose
individual records to a member of Congress from the record of an
individual in response to an inquiry from the member made the written
request of that individual. The member's right to the information is
no greater than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are contained in file folders.
Retrievability:
The records in this system are indexed by and retrievable by the
name of the case or the complaint number.
Safeguards:
OCR keeps case files in lockable cabinets located in lockable
storage rooms. Access to offices in which storage rooms are located
is restricted to OCR staff and authorized visitors.
Retention and disposal:
Pursuant to the Department's Record Disposition Schedules, files
at the Headquarters Office will be transferred to the Federal Records
Center (FRC) after the case has been inactive for five years. Files
at the regional offices are transferred to the FRC after the file has
been inactive for two years. All files are destroyed fifteen years
after the end of the fiscal year in which the case is resolved.
System manager(s) and address:
Deputy Assistant Secretary for Civil Rights, U.S. Department of
Education, 400 Maryland Avenue, SW., Room , Switzer Building,
Washington, DC 20202.
Notification procedure:
This system is exempted from 5 U.S.C. 552a (e)(4)(G) pursuant to
34 CFR 5b.11(c)(2)(iii).
Record access procedures:
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to
34 CFR 5b.11(c)(2)(iii).
Contesting record procedures:
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to
34 CFR 5b.11(c)(2)(iii).
Record source categories:
Records are derived from information in complaint investigation
files.
Systems exempted from certain provisions of the act:
The Secretary has by regulations exempted the Complaint Files and
Log, Office for Civil Rights from the following provisions of the
Privacy Act pursuant to 5 U.S.C. 552(k)(2) (civil enforcement):
(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. As indicated in 34 CFR 5b.11(c)(2),
individuals will be provided information from this record system
except when in accordance with the provisions of 5 U.S.C. 552a(k)(2),
unless:
(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 28, 1975,
disclosure of such information would reveal the identity of the
source under an implied promise that the identity of the source would
be held in confidence.
Appendix to 18-08-02
Additional System Locations and System Managers
OCR, Boston Office, J.W. McCormack Post Office and Court House
Building, Room 222, Boston, MA 02109-4557.
OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007.
OCR, Philadelphia Office, 100 Penn Square East, Suite 515,
Philadelphia, PA 19107.
OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL
60606-7204.
OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East,
Suite 750, Cleveland, OH 44114-2611.
OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth
Street SW, Suite 19T70, Atlanta, GA 30303.
OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.
OCR, Kansas City Office, 10220 N. Executive Hills Boulevard, Kansas
City, MO 64153-1367.
OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite
300, Denver, CO 80204-3582.
OCR, San Francisco Office, Old Federal Building, 50 United Nations
Plaza, Room 239, San Francisco, CA 94102.
OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second
Avenue, Room 3310, Seattle, WA 98174-1099.
OCR, District of Columbia Office, PO Box 14620, Washington, DC 20004-
4620.
18-09-01
System name:
Administrative Claims.
Security classification:
None.
System location:
Office of General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, Room 6E301, Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records about Department employees,
recipients of Federal assistance under Department funded programs,
and members of the public who have a claim against the Department or
against whom the Department has a claim under the Federal Torts
Claims Act, Military Personnel and Civilian Employees Claims Act,
Federal Claims Collection Act or Act for Waiver of Overpayment of
Pay.
Categories of records in the system:
This system contains 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.
Purpose(s):
The information in this system is used to adjudicate claims
between the U.S. and private parties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Disclosure. The Department may disclose information
to 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 for the purpose of
investigating, settling, or litigating claims.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(6) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(7) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in legal size files in filing cabinets.
Retrievability:
Records can be retrieved by the 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 in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
System manager(s) and address:
The General Counsel, Office of the General Counsel, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 6E301,
Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
The information in 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.
18-09-02
System name:
OGC Attorney Applicant Files.
Security classification:
None.
System location:
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records on 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.
Purpose(s):
The information in this system is used to evaluate the
qualifications of those individuals who apply for attorney positions
in the Office of the General Counsel.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
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 Department officials whose duties
require access.
Retention and disposal:
These records are retained in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
System manager(s) and address:
The General Counsel, U.S. Department of Education, Office of the
General Counsel, 400 Maryland Avenue, SW., Room 6E301, Washington, DC
20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
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.
18-09-03
System name:
Employee Conduct--Government Ethics.
Security classification:
None.
System location:
Ethics Counsel Division, Office of the General Counsel, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 6E231,
Washington, DC 20202.
Categories of individuals covered by the system:
This system contains information about current and past
Department employees who have requested or received advice or
guidance in subject matter areas relating to employee conduct.
Categories of records in the system:
This system contains 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 employee
conduct.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The information in this system is used in providing advice or
guidance in subject matter areas relating to employee conduct.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. May
disclose information to any Federal, State, local, or foreign agency
or other public authority responsible for enforcing, investigating,
or prosecuting violations of administrative, civil, or criminal law
or regulation if that information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility within the
receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
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.
Safeguards:
These records are only accessible to staff of the Ethics Division
of the Ethics Division of the Office of the General Counsel. The
filing cabinets 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:
Assistant General Counsel, Ethics Division, Office of the General
Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, Room
6E231, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department of Education's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Systems exempted from certain provisions of the act:
None.
18-09-04
System name:
Litigation Files, Administrative Complaints, and Adverse
Personnel Actions.
Security classification:
None.
System location:
Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6E301, Washington, DC 20202.
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.
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).
Purpose(s):
The information in this system is used for litigating civil
cases, criminal cases and administrative complaints to which the
Department or the United States is a party.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
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 in accordance with the Department of
Education Records Disposition Schedules (ED/RDS).
System manager(s) and address:
The General Counsel, Office of the General Counsel, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 6E301,
Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
The information 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.
18-10-01
System name:
Investigative Files of the Inspector General.
Security classification:
None.
System location:
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW., Room 4004, Switzer Building, Washington, DC 20202-1500.
See the Appendix at the end of this system notice for additional
system locations.
Categories of individuals covered by the system:
Categories include current and former Department of Education
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:
Investigation files pertaining to 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 Department of
Education 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) reporting investigative findings
to other Department of Education components for their use in
operating and evaluating their programs or operations, and in the
imposition of civil or administrative sanctions; and (5) 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, 5.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department 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 where that information is relevant to any enforcement,
regulatory, investigative, or prosecutive responsibility of the
receiving entity.
(2) Disclosure to Public and Private Entities to Obtain
Information Relevant to Department of Education Functions and Duties.
The Department 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 a Department
investigation, audit, inspection or other inquiry.
(3) Disclosure for Use in Employment, Employee Benefit, Security
Clearance, and Contracting Decisions.
(4) For Decisions by the Department. The Department 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 a Department decision concerning
the hiring or retention of an employee or other personnel action, the
issuance or retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other
benefit.
(5) For Decisions by Other Public Agencies and Professional
Organizations. The Department 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
organization, in connection with the hiring or retention of an
employee or other personnel action, the issuance or retention of a
security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance or retention of a license,
grant or other benefit.
(6) Disclosure to Public and Private Sources in Connection with
the Higher Education Act of 1965, as Amended (``HEA''). The
Department 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.
(7) 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 employee of the Department in his or her individual
capacity where the Department of Justice 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.
(8) Other Disclosure. If the Department determines that
disclosure of certain records to a court, adjudicative body before
which the Department is authorized to appear, individual or entity
designated by the Department 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, the Department 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) The Department, or any component of the Department;
(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 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.
(9) Disclosure to Contractors and Consultants. The Department may
disclose information from this system of records as a routine use to
a private firm with which the Department 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.
(10) Debarment and Suspension Disclosure. The Department may
disclose information from this system of records as a routine use to
another Federal agency considering suspension or debarment action
where the information is relevant to the suspension or debarment
action.
(11) Disclosure to the Department of Justice. The Department 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 Department of Education operations.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Computer Matching Disclosure. The Department may disclose
information from this system of records as a routine use 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 benefit programs administered by any agency, to support
civil and criminal law enforcement activities of any agency and its
components, and to collect debts and overpayments owed to any agency
and its components.
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:
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 and disposed of in accordance
with the Department's Records Disposition Schedules (ED/RDS, Part
16). The ED/RDS may be obtained by writing to the System Manager at
the address below.
System manager(s) and address:
Assistant Inspector General for Investigation Services, Office of
the Inspector General, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4200, Switzer Building, Washington, DC 20202-1510.
Notification procedure:
See ``system exempted,'' below. As provided in 34 CFR 5b.11(b)(2)
and (c)(1), the notification procedure is not applicable to criminal
investigative files except at the discretion of the Inspector
General. To the extent that this procedure may apply to criminal
investigative files, it is governed by 34 CFR 5b.5. The notification
procedure is applicable to non-criminal investigative files under the
conditions defined by 34 CFR 5b.11(c). Under those conditions it is
governed by 34 CFR 5b.5.
Record access procedures:
See ``system exempted,'' below. As provided in 34 CFR 5b.11(b)(2)
and (c)(1), the record access procedure is not applicable to criminal
investigative files except at the discretion of the Inspector
General. To the extent that this procedure may apply to criminal
investigative files, it is governed by 34 CFR 5b.5. The record access
procedure is applicable to non-criminal investigative files under the
conditions defined by 34 CFR 5b.11(c). Under those conditions it is
governed by 34 CFR 5b.5.
Contesting record procedures:
Not applicable. See ``system exempted,'' below.
Record source categories:
Departmental and other Federal, State and local government
records; interviews of witnesses; documents and other material
furnished by non-governmental sources. Sources may include
confidential sources.
System exempted from certain provisions of the act:
Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(j)(2), the Secretary has by regulation exempted the
Investigative Files of the Inspector General from the following
subsections of the Privacy Act:
5 U.S.C. 552a(c)(3)--access to accounting of disclosure;
5 U.S.C. 552a(d)(1)-(4) and (f)--procedures for notification of,
access to, and correction or amendment of records;
5 U.S.C. 552(e)(3)--notice to an individual who is required to
provide information to the Department;
5 U.S.C. 552a(e)(4)(G), (H)--inclusion of information on
Department procedures on notification of, access to, correction or
amendment of records, in the system of records notice.
These exemptions are stated in 34 CFR 5b.11.
Appendix to 18-10-01
Additional System Locations
Office of Inspector General, U.S. Department of Education, Room 512,
P.O. Box 2142, Boston, MA 02106.
Office of Inspector General, U.S. Department of Education, 75 Park
Place, 12th Floor, New York, NY 10007.
Office of Inspector General, U.S. Department of Education, The
Wanamaker Building, 100 Penn Square East, Suite 502,
Philadelphia, PA 19107.
Office of Inspector General, U.S. Department of Education, Atlanta
Federal Center, 61 Forsyth Street, Room 18T71, Atlanta, GA
30303.
Office of Inspector General, U.S. Department of Education, 111 N.
Canal Street, Suite 940, Chicago, IL 60606-7204.
Office of Inspector General, U.S. Department of Education, 1999 Bryan
Street, Suite 2630, Dallas, TX 75201-6817.
Office of Inspector General, U.S. Department of Education, 2nd Floor,
10220 North Executive Hills Blvd., Kansas City, MO 64153-
1367.
Office of Inspector General, U.S. Department of Education, 501 W.
Ocean Blvd. #1200, Long Beach, CA 90802.
18-10-02
System name:
Investigatory Material Compiled for Personnel Security and
Suitability Purposes.
Security classification:
None.
System location:
Security Program Staff, Office of Inspector General, U.S.
Department of Education, 600 Independence Avenue, SW., Washington, DC
20202-1510.
U.S. Office of Personnel Management, Investigations Group, P.O.
Box 886, Washington, DC 20044-0886.
Categories of individuals covered by the system:
Applicants seeking employment with the Department of Education
(Department), former and current employees of, and other persons and
entities doing business with, the Department.
Categories of records in the system:
These records contain investigative information pertaining to
current and former Department employees, current and former
contractor personnel, and current employees of entities making offers
to the Department for purposes of doing business. This information
regards individuals' character, conduct, and loyalty to the United
States as relevant to their association with the Department. These
records may, as appropriate to the individual being investigated,
include the following types of information: (1) Documentation as to
his or her arrests and convictions for violations of the law. (2)
Reporting as to interviews held with the individual, his or her
present and former supervisors, co-workers, associates, neighbors,
educators, etc. (3) Correspondence relating to adjudication matters
involving the individual. (4) Reports of inquiries made of law
enforcement agencies for information about the individual contained
in the agencies records. (5) Information provided by organizations
having association with the individual, such as employers,
educational institutions attended, professional or fraternal or
social organizations to which the individual is or was a member, etc.
(6) Reports of action following an Office of Personnel Management
(OPM) investigation or a Federal Bureau of Investigation Section 8(d)
full field investigation. (7) Other information developed from the
previous sources.
Authority for maintenance of the system:
Executive Orders 10450, 10577, and 12968; as amended.
Purpose(s):
Records in this system are maintained to provide the Inspector
General and other responsible Department officials with information
to assist them in making individual personnel determinations
concerning suitability for Federal employment, security clearances,
access to classified information or restricted areas, and evaluations
as to suitability for performance under Federal contracts or other
agreements with the Federal Government. Incidental to this purpose,
for those investigations conducted by the OIG, these records may also
be disclosed to other Federal and non-Federal investigatory agencies
to protect the public or Federal interest, or both.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Program Purpose: To public or private sources to the extent
necessary to obtain information to be included in this system of
records.
(2) To officials and employees of a Federal, State, or local
governmental entity in response to its request in connection with the
issuance of security clearances or the conduct of security or
suitability investigations of individuals seeking employment,
licensure, other benefits, or to perform contractual services, or to
otherwise associate with the governmental entity.
(3) To a Federal, State, local, or foreign entity or other public
authority responsible for the investigation, prosecution,
enforcement, or implementation of a statute, rule, regulation, or
order, when a record on its face or in combination with any other
information indicates a violation or potential violation of law
(whether civil, criminal, or regulatory in nature) if that
information is relevant to any enforcement, regulatory,
investigative, or prosecutive responsibility of the receiving entity.
It is OIG policy not to disclose records under this routine use that
pertain to those questions for which the OIG has promised
confidentiality under Standard Form 85P, Questionnaire for Public
Trust Positions.
(4) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(5) Litigation Disclosure. To parties pertaining to litigation
disclosure as follows:
(a) In the event that one of the following parties is involved in
litigation, or has an interest in litigation, the Department may
disclose certain records to the parties described in the following
paragraphs b, c, and d of this routine use under the conditions
specified in those paragraphs:
(i) The Department or any of its components.
(ii) Any Department employee in his or her official capacity.
(iii) Any employee of the Department in his or her official
capacity where the Department of Justice (Justice) has agreed to
provide or arrange for representation of the employee.
(iv) Any employee of the Department in his or her individual
capacity where the Department has agreed to represent the employee.
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the Department of Justice (DOJ). If the
Department determines that disclosure of certain records to the DOJ
or attorneys engaged by DOJ is relevant and necessary to litigation
and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use
to DOJ.
(c) If the Department determines that disclosure of certain
records to an adjudicative body before which the Department is
authorized to appear, individual, or entity designated by the
Department or otherwise empowered to resolve disputes is relevant and
necessary to the administrative litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the adjudicative body,
individual, or entity.
(d) If the Department determines that disclosure of certain
records to an opposing counsel, representative, or witness in an
administrative proceeding is relevant and necessary to the litigation
and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use
to the counsel, representative, or witness.
(6) Freedom of Information Act (FOIA) Advice Disclosure. To the
Department of Justice for the purpose of obtaining advice regarding
the releasability of records maintained in this system of records
under the FOIA and the Privacy Act of 1974.
(7) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
the individual. The member's right to the information is no greater
than the right of the individual who requested it.
(8) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to the intelligence agencies of
the Department of Defense, the National Security Agency, the Central
Intelligence Agency, and the Federal Bureau of Investigation for use
in intelligence or investigation activities.
Policies and practices of storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in folders secured in fire resistant safes
with manipulation proof combination locks, or in metal lock-bar file
cabinets with three position combination locks, and in a computer
database.
Retrievability:
Records are alphabetically indexed by name of the individual
subject of the file. Retrieval is made by the name, date of birth,
and social security number of the individual on whom they are
maintained.
Safeguards:
Folders are maintained and secured in fire resistant safes with
manipulation proof combination locks, or in metal file cabinets
secured by three position combination locks. All records, including
those records that are maintained on the computer database, are in
limited access rooms with keyless cipher locks. All employees are
required to have an appropriate security clearance before they are
allowed access, on a ``need-to-know'' basis, to the records. Computer
databases are kept on a local area network that is not connected to
any outside network including the Internet. Database accessibility is
restricted to hard wire network connection from within the office or
via modem. Authorized log-on codes and passwords prevent unauthorized
users from gaining access to data and system resources. All users
have unique log-on codes and passwords. The password scheme requires
that users must change passwords every 90 days and may not repeat the
old password. Any individual attempting to log on who fails is locked
out of the system after three attempts. Access after that time
requires intervention by the system manager.
Retention and disposal:
Most background investigative records are maintained for five
years after the individual separates from his or her departmental
association if subject to Executive Orders 12968 and 10450, as
amended. Reports of background investigations conducted by the Office
of Inspector General are retained for 15 years, plus the current year
of the most recent investigative activity, in accordance with OPM
guidance. The records are disposed of by electronic erasure,
shredding, or burning.
System manager(s) and address:
Security Officer, Office of Inspector General, U.S. Department of
Education, 600 Independence Avenue, SW, Washington, DC 20202-1510.
Notification procedure:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual must
provide the system manager with his or her name, date of birth,
social security number, signature, and the address to which the
record information should be sent. Requests for notification about an
individual must meet the requirements of the regulations in 34 CFR
5b.5.
Record access procedure:
If an individual wishes to gain access to a record in this
system, he or she must contact the system manager and provide
information as described in the notification procedure.
Contesting record procedure:
If an individual wishes to change the content of a record in the
system of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item or items to be changed, and provide a written
justification for the change, including any supporting documentation.
Requests to amend a record must meet the requirements of the
regulations in 34 CFR 5b.7.
Record source categories:
Information contained in this system of records is obtained from:
(a) Investigative and other record material furnished by other
Federal entities, other departmental components, State, local, and
foreign governments;
(b) Applications and other personnel and security forms;
(c) Personal investigation, written inquiry, interview, or the
electronic accessing of computer databases of sources, such as the
OPM system of records known as Personnel Investigations Records (OPM/
Central-9), employers, educational institutions, references,
neighbors, associates, police departments, courts, credit bureaus,
medical records, probation officials, prison officials, newspapers,
magazines, periodicals, and other publications; and
(d) Confidential sources.
Systems exempted from certain provisions of the act:
As indicated in 34 CFR 5b.11, individuals will be provided
information from this record system unless, in accordance with the
provisions of 5 U.S.C. 552a(k)(5)--(1) Disclosure of that information
would reveal the identity of a source who furnished information to
the Government under an express promise that the identity of the
source would be held in confidence; or (2) The information was
obtained prior to September 27, 1975 and disclosure of that
information would reveal the identity of a source who provided
information under an implied promise that the identity of the source
would be held in confidence.
18-10-03
System name:
Non-Federal Auditor Referral, Suspension, and Debarment File.
Security classification:
None.
System location:
Audit Services, Office of Inspector General, U.S. Department of
Education, 330 C Street, SW., Room 4200, Switzer Building,
Washington, DC 20202-1510.
Categories of individuals covered by the system:
Auditors and audit firms not employed by the Federal government
whom the Office of Inspector General has referred to State boards of
accountancy or professional associations and/or suspended or debarred
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, suspension or debarment action, including the referral,
suspension or debarment documents; and records on the substance,
status or outcome of each referral, suspension and debarment,
including voluntary exclusion settlement agreements.
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)) and 34 CFR part 85, the Nonprocurement
Debarment and Suspension Regulations.
Purpose(s):
This system of records is maintained for the general purpose of
enabling the 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 Department
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, suspensions or
debarments by the OIG; to produce statistical data; and to share
information with Federal, State and professional organizations which
are also responsible for maintaining or monitoring adherence to audit
standards.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Audit oversight and referral disclosure. A record from this
system of records may be disclosed to other Federal agencies, 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) Suspension and debarment disclosure. A record from this
system of records may be disclosed to other Federal agencies, the
General Accounting Office, State agencies responsible for audit
oversight, State Boards of Accountancy, the American Institute of
Certified Public Accountants, and other professional accountancy
associations, to inform these entities of the substance, status or
outcome of suspension and debarment proceedings, including
settlement, and as authorized under section 3 of Executive Order
12549 for purposes of suspendinf and debarring an auditor pursuant to
34 CFR part 85.
(3) Disclosure to auditee. A record from this system of records
may be disclosed to the auditee which was the subject of audit
oversight by the Department OIG.
(4) 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.
(5) Disclosure to Public and Private Entities To Obtain
Information. A record from this system of records may be disclosed to
public or private sources to the extent necessary to obtain
information from those sources relevant to an OIG audit oversight
activity, referral action, suspension and debarment action,
investigation, audit, inspection, or other activity.
(6) Enforcement disclosure. In the event that any records from
this system of records, either alone or in combination with any other
information, indicate a violation or potential violation of criminal
or civil law or regulation, the Department 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.
(7) Disclosure to the Department of Justice. A record may be
disclosed from this system of records 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.
(8) Hiring/contracting disclosure.
(a) The Department. 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 or continuation of a contract
to perform audit services by the Department or by any recipient of
Federal funds administered by the Department or its agent.
(b) Other Federal agencies. A record from this system of records
may be disclosed to a Federal agency, in connection with the hiring
or retention of an employee to perform audit services, the issuance
of a security clearance, the letting or continuation of a contract to
perform audit services by the agency or by any recipient of Federal
funds, or the issuance of a license, grant, or other benefit by the
recipient agency.
(9) Litigation disclosure.
(a) Disclosure to the Department of Justice. A record from this
system of records may be disclosed to the Department of Justice if
the record is relevant and necessary to litigation. 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 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) Other litigation disclosure. A record from this system of
records may be disclosed to a court or adjudicative body, to a party,
counsel or witnesses, in the course of the litigation or related
settlement proceedings. Such disclosure may be made in the event that
a person or entity listed below is a party to the litigation, or has
an interest in the 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
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(10) Employee grievance, complaint or conduct disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(11) Contract disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department 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.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders and/or microcomputer disk.
Retrievability:
Records are indexed and retrieved by name of individuals, firms
or other professional associations.
Safeguards:
Records are secured in file cabinets and are locked in offices
after office hours.
Retention and disposal:
Records are maintained and destroyed in accordance with the
Department's Records Disposition Schedule (ED/RDS, Part 16). A copy
of the ED/RDS can be obtained from the system manager at the address
below.
System manager(s) and address:
Assistant Inspector General for Audit Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., Switzer Building, Washington, DC 20202-1510.
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 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 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 change(s). For a complete statement of
contesting record procedures, see the 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.
18-10-04
System name:
Hotline Complaint Files of the Inspector General.
Security classification:
None.
System location:
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW., Room 4116, Switzer Building, Washington, DC 20202-1510.
Categories of individuals covered by the system:
Categories include individuals who are sources of information or
have made complaints to the OIG Hotline, individuals who allegedly
have knowledge regarding wrongdoing affecting the programs and
operations of the Department, and individuals about whom complaints
and allegations have been made concerning wrongdoing involving the
programs and operations of the Department of Education. These
individuals may include, but are not limited to, current and former
Department employees, 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:
Records in this system contain information obtained from
complainants who report allegations of wrongdoing relating to
Department of Education programs and operations. Specific data may
include name and address (if available) of the complainant, the date
the complaint was received, the affected program area, the nature and
subject of the complaint, and any additional contacts and specific
comments provided by the complainant. In addition, information on the
OIG disposition of the complaint is included in the system.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app.
3.
Purpose(s):
Pursuant to the Inspector General Act, the system is maintained
for the purposes of maintaining a record of complaints and
allegations received concerning Department of Education programs and
operations and concerning the disposition of those complaints and
allegations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) 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, the Department 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.
(2) Litigation Disclosure.
(a) Introduction. In the event that one of the following parties
is involved in litigation, or has an interest in litigation, the
Department may disclose certain records to the parties described in
paragraphs (2), (3), and (4) of this routine use under the conditions
specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of the Department in his or her individual
capacity if the Department of Justice has agreed to provide or
arrange for representation for the employee; or
(iv) Any employee of the Department in his or her individual
capacity if the agency has agreed to represent the employee; or
(v) The United States if the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the Department of Justice. If the Department
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, the Department may disclose those
records as a routine use to the Department of Justice.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear or to an individual or an
entity designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation,
the Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Opposing Counsels, Representatives, and Witnesses. If the
Department determines that disclosure of certain records to an
opposing counsel, representative, or witness in an administrative
proceeding is relevant and necessary to the litigation, the
Department may disclose those records as a routine use to the
counsel, representative, or witness.
(3) Disclosure to Public and Private Entities to Obtain
Information Relevant to the Department's OIG Functions and Duties.
The Department 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 a Department of
Education/OIG investigation, audit, inspection, or other inquiry.
(4) Disclosure to Public and Private Sources in Connection with
the Higher Education Act of 1965, as amended (HEA). The Department
may disclose information from this system of records as a routine use
to any accrediting agency that is or was recognized by the Secretary
of Education pursuant to the HEA, to any guarantee agency that is or
was a party to an agreement with the Secretary of Education pursuant
to the HEA, or to any agency that is or was charged with licensing or
legally authorizing the operation of any educational institution or
school that was eligible, is currently eligible, or may become
eligible to participate in any program of Federal student assistance
authorized by the HEA.
(5) Disclosure to the Department of Justice. The Department 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.
(6) Congressional Disclosure. The Department may disclose records
to a member of Congress from the record of an individual in response
to an inquiry from the member made at the written request of that
individual. The member's right to the information is no greater than
the right of the individual who requested it.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in complaint files, computer mainframe
files, and computer-printed listings.
Retrievability:
Hard copy records are organized by and retrievable by the
assigned Hotline number. The computer files are indexed and
retrievable by Hotline number, name of complainant, and the name of
the subject or subjects.
Safeguards:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises to which access is limited to
those persons whose official duties require access. Computer
terminals are secured in controlled areas that are locked when
unoccupied. Access to automated records is limited to authorized
personnel who must use a password system to gain access.
Retention and disposal:
Hotline records not resulting in investigations are destroyed
when five years old, in accordance with the Department's Records
Disposition Schedules (ED/RDS, part 16). Investigative case files are
destroyed 10 years after close-out in accordance with the
Department's Records Disposition Schedules (ED/RDS, Part 16).
System manager(s) and address:
Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4106, Switzer Building, Washington, DC 20202-1510.
Notification procedure:
See Systems Exempted. As provided in 34 CFR 5b.11(f), the
notification procedures are not applicable to Hotline files except at
the discretion of the Inspector General. The notification procedures
are applicable to non-criminal files only under the conditions in 34
CFR 5b.11(f)(2). To the extent these procedures apply to the
Department of Education Hotline Complaint Files, they are governed by
34 CFR 5b.5.
Record access procedures:
See Notification Procedure.
Contesting record procedures:
Not applicable. See Systems Exempted.
Record source categories:
Complainants who include, but are not limited to, current and
former employees of the Department, employees of other Federal
agencies, employees of State and local agencies, private individuals,
and officers and employees of non-governmental organizations that are
involved with Department programs, contracts, or funds or have
knowledge about Department programs, contracts, or funds.
Systems exempted from certain provisions of the act:
The Secretary has by regulations exempted the Hotline Complaint
Files of the Inspector General from the following provisions of the
Privacy Act:
(1) Pursuant to 5 U.S.C. 552a(j)(2):
(a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of a record.
(b) 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).
(c) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding
notification or access to records and correction or amendment of
records.
(d) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and
necessary information.
(e) 5 U.S.C. 552a(e)(2), regarding collection of information from
the subject individual.
(f) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to
provide a record to the Department.
(g) 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.
(h) 5 U.S.C. 552a(e)(5), regarding maintaining records with
requisite accuracy, relevance, timeliness, and completeness.
(i) 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.
(j) 5 U.S.C. 552a(g), regarding civil remedies for violation of
the Privacy Act.
(2) Pursuant to 5 U.S.C. 552a(k)(2):
(a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.
(b) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding
notification of and access to records and correction or amendment of
records.
(c) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain
only relevant and necessary information.
(d) 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.
18-11-01
System name:
Federal Student Aid Application File.
Security classification:
None.
System location:
Application & Pell Processing Systems Division, Office of Student
Financial Assistance Programs, U.S. Department of Education, Seventh
and D Streets, SW., Room 4621, ROB-3, Washington, DC 20202-5459.
Federal Student Aid Application Processing Center, Iowa City, IA
52240.
Categories of individuals covered by the system:
This system contains records on students applying for Federal
student financial assistance under Title IV of the Higher Education
Act of 1965 (HEA).
Categories of records in the system:
This system consists of the name, address, birth date, Social
Security number, parents' and students' personal identification
numbers assigned by the Department, and financial data necessary to
identify applicants, verify applicant data, and calculate their
expected family contributions for Federal student financial
assistance. In addition, information on the student's prior Pell
Grant awards and student loan status from the National Student Loan
Data System (NSLDS) database is maintained in the system.
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:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure to institutions of postsecondary education. The
Department may disclose identifying information, financial data, and
expected family contributions of applicants to those institutions of
postsecondary education (or their designated agents) in which the
applicants plan to enroll or are enrolled. Disclosure of such
information is made only to postsecondary institutions that are
listed by the applicant on the Federal Student Aid Application file.
(2) Disclosure to State agencies. The Department may disclose the
data described in paragraph (1) to State agencies having agreements
with the Secretary for purposes of coordinating student aid.
(3) Disclosure to parents and spouses. The Department, upon
request, may disclose information that is provided by parents or
spouses on the application form to those individuals.
(4) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(5) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(6) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(9) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
Disclosure to consumer reporting agencies :
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department 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. 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(e). 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 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 Social Security number and the first two
letters of the applicant's last name.
Safeguards:
Records are available to staff of the Student Financial
Assistance Programs (including appropriate contract support staff).
The Department will mail an Electronic Access Code (EAC) directly to
certain students who have used the World Wide Web to electronically
file a Free Application for Federal Student Aid (FAFSA). The student
uses the EAC to complete their renewal Free Application for Federal
Student Aid (FAFSA) via the Internet. Physical access to the data
systems housed within the facility is controlled by a computerized
badge reading system, and the entire complex is patrolled by security
personnel during nonbusiness hours. The computer system employed by
the Department 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 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 and stored in a Federal Records
Center. Grant aid records are kept for a period not to exceed fifteen
years after payment or audit of the grantee, whichever comes sooner;
and loan records are kept three years after cancellation or repayment
of a loan, in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
System manager(s) and address:
Director, Application & Pell Processing Systems Division, Office
of Student Financial Assistance Programs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 4621, ROB-3, Washington, DC
20202-5459.
Notification procedure:
A copy of the applicant's record, known as the Student Aid
Report, is mailed to the applicant's home address after the
application information has been processed. If you wish to determine
whether a record exists regarding you in the system of records,
contact the system manager and provide you name, date of birth, and
Social Security number or call 1-800-4-FED-AID (1-800-433-3243) and
give the same information. Requests for notification about whether
the system of records contains information about an individual must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, 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 regulations at 34 CFR 5b.5,
including proof of identity.
Contesting record procedures:
If you wish to change the content of a record in the system of
records (for the current Free Application for Federal Student Aid
(FAFSA)), 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 regulations at 34 CFR
5b.7.
Record source categories:
Applicants for Federal student financial aid provide the
information used in this system by filing a Free Application for
Federal Student Aid (FAFSA) with the Department of Education. (For
students who have access to the Internet, the Free Application for
Federal Student Aid (FAFSA) is available on the world wide web
(located at www.fafsa.ed.gov). Although students using the web site
are required to send in a paper signature page and students must
update their information each year, applying electronically using the
Internet is less burdensome than applying on paper.)
Systems exempted from certain provisions of the act:
None.
18-11-02
System name:
Recipient Financial Management System.
Security classification:
None.
System location:
Central Computer Facility, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202.
Categories of individuals covered by the system:
This system contains records on all Pell Grant Recipients.
Categories of records in the system:
This system consists of the financial data, personal
identification numbers assigned by the Department, and status of
award for Pell Grant recipients.
Authority for maintenance of the system:
Title IV-A of the Higher Education Act of 1965.
Purpose(s):
The information in this system is used to prepare processed
student payment data for submission to schools or their agents in
order to verify payments made to students.
Routine uses of records maintained in the system, including
categories of users the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Disclosures. 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 qparticipation in any grant or loan
program administered by the Department. 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.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
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:
Origination and disbursement reports are now stored
electronically. Decrease award and audit reports are maintained in
hard copy.
Retrievability:
Records are indexed by institution and by recipient name and
Social Security number within school.
Safeguards:
Direct access is restricted to authorized staff. A computerized
badge reading system controls physical access to the records housed
within the facility.
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 individuals 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 ininteractions by
individual users with the system are recorded.
Retention and disposal:
Original copies are maintained until fiscal year funds are closed
out and then are stored at the Federal Records Center.
System manager(s) and address:
Director, Student Aid Origination Team, Programs Systems Service,
400 Maryland Avenue, SW., Washington, DC 20202.
Notification procedure:
A student who has received a Federal Pell Grant, should presume
that a record exists. If you wish to determine whether a record
exists regarding you in the system of records, contact the system
manager and provide your name, social security number and date of
birth. Your request must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, you should
contact the system manager and provide information as described in
the Notification Procedure. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, you 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.
Your request must meet the requirements of the regulations at 34 CFR
5b.7.
Record source categories:
Information in this system is obtained from origination and
disbursement records provided by the school and its agent to the
Department of Education.
System exempted from certain provisions of the act:
None.
18-11-03
System name:
Student Financial Assistance Validation File.
Security classification:
None.
System location:
Debt Collection, Division of Certification and Program Review,
Office of Student Financial Assistance Programs, U.S. Department of
Education, Seventh and D Streets, SW., Room 4520, ROB-3, Washington,
DC 20202.
Categories of individuals covered by the system:
This system contains records on applicants and recipients of
student financial assistance.
Categories of records in the system:
This system consists of student financial assistance application,
award and servicing forms and documentation, and parents' and
students' personal identification numbers assigned by the Department.
Authority for maintenance of the system:
Title IV of the Higher Education Act of 1965.
Purpose(s):
The information in this system is used 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Program Disclosures. 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.
Safeguards:
Access is restricted to authorized staff only and files are
maintained in locked cabinets.
Retention and disposal:
Records are maintained until resolved and then transferred to the
Federal Records Center.
System manager(s) and address:
Director, Division of Certification and Program Review, Office of
Student Financial Assistance Programs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 4520, ROB-3, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Information in this system is obtained from application data,
incoming correspondence and related material, obtained during course
of investigation; Program System Service (PSS), National Student Loan
Data Systems Division (NSLDS).
System exempted from certain provisions of the act:
None.
18-11-05
System name:
Title IV Program Files.
Security classification:
None.
System location:
Program System Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202-5258.
Computer Sciences Corporation, Meridan, Connecticut.
Categories of individuals covered by the system:
This system contains records on the following individuals:
(1) Individuals who apply for Federal financial student aid;
(2) Recipients of Pell Grants;
(3) Recipients of Federal Direct Student Loans; and
(4) Borrowers whose loan defaulted or borrower died, became
disabled or had a loan discharged in bankruptcy under the Federal
Direct Student Loan Program.
Categories of records in the system:
This system contains records regarding the amount of Pell Grant
applicant receives; 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; and a personal identification numbers assigned by the
Department..
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 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 (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purpose for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under computer
matching agreements.
(1) Program Disclosures. ED may disclose records for the
following program purposes:
(a) To verify the identity of the applicant, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors,
contractors, business and personal associates and consumer reporting
agencies.
(b) To determine program eligibility and benefits, disclosures
may be made to guaranty agencies, educational and financial agencies
or institutions, Federal, State or local agencies, private parties
such as relatives, present and former employers and creditors,
contractors, business and personal associates and consumer reporting
agencies.
(c) To facilitate default reduction efforts by program
participants, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, consumer reporting agencies, contractors and hearing
officials.
(d) To enforce the conditions or terms of the loan, disclosures
may be made to guaranty agencies, educational and financial agencies
or institutions, Federal, State or local agencies, private parties
such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and hearing officials.
(e) To enforce the conditions or terms of the grant, disclosures
may be made to educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.
(f) To permit servicing, collecting or accepting the loan,
disclosures may be made to guaranty agencies, educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(g) To permit collecting overpayment on grants, disclosures may
be made to, educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.
(h) To counsel the borrower in repayment efforts, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, contractors and Federal, State or local agencies.
(i) To investigate possible fraud and verify compliance with loan
program regulations, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials.
(j) To investigate possible fraud and verify compliance with
grant program regulations, disclosures may be made to educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(k) To locate a delinquent or defaulted borrower, disclosures may
be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(l) To locate an individual who owes a refund on a grant,
disclosures may be made to educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(m) To issue collection letters to defaulted borrowers,
disclosures may be made to guaranty agencies, educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(n) To issue collection letters to an individual who owes a
refund on a grant, disclosures may be made to educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(o) To locate a missing borrower, disclosures may be made to
guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(p) To locate a missing individual who owes a refund on a grant,
disclosures may be made to educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(q) To collect in-file history information and to determine
assets and ability to pay a loan debt, disclosures may be made to
guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(r) To collect in-file history information and to determine
assets and ability to refund an overpayment, disclosures may be made
to educational and financial agencies or institutions, Federal, State
or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.
(s) To determine last known address, disclosures may be made to
guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business
and personal associates, consumer reporting agencies, contractors and
hearing officials.
(t) To conduct a salary offset hearing under 34 CFR Part 31,
disclosures may be made to Federal agencies, contractors and hearing
officials.
(u) To prepare for litigation or to litigate collection service
and audit, disclosures may be made to guaranty agencies, Federal,
State or local agencies, contractors and hearing officials.
(v) To initiate a limitation, suspension and termination (LS&T)
or debarment or suspension action, disclosures may be made to
guaranty agencies, educational and financial agencies or institutions
and hearing officials.
(w) To ensure Title IV requirements are met by schools, lenders
and guaranty agencies, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, and hearing officials.
(x) To verify death, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, private
parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and Federal, State or local agencies.
(y) To conduct credit checks, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, private
parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and Federal, State or local agencies.
(z) To investigate complaints, update files, and correct errors,
disclosures may be made to guaranty agencies, educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.
(2) 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 or participation in any grant or loan program
administered by the Department. 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.
(3) 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.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department 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 the Department
believes may be relevant to a Department 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.
(b) For Decisions by Other Public Agencies and Professional
Licensing Organizations. The Department 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.
(6) 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,
the Department may disclose the record as a routine use in the course
of the proceedings.
(7) Labor Organization Disclosure. Where a contract between a
component of the Department 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.
(8) 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 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.
(9) Disclosure to the Department of Justice. The Department 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.
(10) 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. The researcher shall be
required to maintain Privacy Act Safeguards with respect to such
records.
(11) 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 the Department. 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 the
Department, 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.
(13) Freedom of Information Act (FOIA) Advice Disclosure. In the
event that 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 or the Office of Management and Budget for the
purpose of obtaining their advice.
(14) Congressional Member Disclosure. The Department may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
the which the record was collected. 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): 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, 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:
Director, Program Systems Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4640, ROB-3, Washington, DC 20202-5258.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, you should provide to the system manager your
name, date of birth, Social Security number, and the name of the
school or lender from which the loan or grant was obtained. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
Record access procedures:
If you wish to gain access to a record in this system, you 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 regulations at 34 CFR 5b.5,
including proof of identity.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, 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 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.
18-11-06
System name:
National Student Loan Data System (NSLDS).
Security classification:
None.
System location:
Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT
06450-7151.
Categories of individuals covered by the system:
The NSLDS contains records on borrowers who have applied for and
received loans under the William D. Ford Federal Direct Loan Program,
the Federal Family Education Loan (FFEL) Program, the Federal Insured
Student Loan (FISL) Program, and the Federal Perkins Loan Program
(including National Defense Student Loans, National Direct Student
Loans, Perkins Expanded Lending and Income Contingent Loans). The
NSLDS also contains records on recipients of Federal Pell Grants and
persons who owe an overpayment on a Federal Pell Grant, Federal
Supplemental Educational Opportunity Grant or Federal Perkins Loans.
Categories of records in the system:
The NSLDS contains records regarding: (1) Student/borrower
identifier information including Social Security number, date of
birth and name; (2) the information on borrowers' loans covering the
entire life cycle of a loan from origination through final payment,
cancellation, discharge or other final disposition including details
regarding each loan received by a student such as information on loan
amounts, educational status, disbursements, balances, loan status,
collections, claims, deferments, refunds and cancellations; (3)
enrollment information including school(s) attended, anticipated
completion date, enrollment status and effective dates; (4) student
demographic information such as course of study, dependency,
citizenship, gender, data on family income, expected family
contribution, and address; (5) Federal Pell Grant amounts and dates;
and (6) Federal Pell Grant, Federal Supplemental Educational
Opportunity Grant, and Federal Perkins Loan Program overpayments.
Authority for maintenance of the system:
20 U.S.C. 1092b (1993).
Purpose(s):
This system of records is used for the following purposes: (1) To
provide pre-screening and post-screening for Title IV aid
eligibility; (2) to provide default rate calculations for educational
institutions, guaranty agencies, and lenders; (3) to report changes
in student/borrower enrollment status via a Student Status
Confirmation Report (SSCR) or other means; (4) to prepare electronic
financial aid history information; (5) to assist guaranty agencies,
educational institutions, financial institutions and servicers
collect loans; (6) to provide audit and program review planning; (7)
to support research studies and policy development; (8) to conduct
budget analysis and development; (9) to track loan transfers from one
entity to another; (10) to assess Title IV Program administration of
guaranty agencies, educational institutions, financial institutions
and servicers; (11) to track loan borrowers and overpayment debtors;
(12) to provide information that supports Credit Reform Act of 1992
requirements; (13) to provide information to track refunds/
cancellations; and (14) to assist in the collection of debts owed to
the Department under Title IV of the Higher Education Act, as
amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Program Purposes. The Department may disclose records for the
following program purposes:
(a) To verify the identity of the applicant involved, the
accuracy of the record, or to assist with the determination of
program eligibility and benefits, the Department may disclose records
to the applicant, guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal and State
agencies;
(b) To provide default rate calculations, the Department may
disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to State agencies;
(c) To provide a standardized method for educational institutions
to efficiently submit student enrollment status information, the
Department may disclose records to guaranty agencies, educational
institutions, financial institutions and servicers;
(d) To provide financial aid history information, the Department
may disclose records to educational institutions and servicers;
(e) To assist loan holders in the collection of loans and to
support pre-claims/supplemental pre-claims assistance, the Department
may disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State or Local
agencies;
(f) To support auditors and program reviewers in planning and
carrying out their assessments of Title IV Program compliance, the
Department may disclose records to guaranty agencies, educational
institutions, financial institutions and servicers, and to Federal,
State and Local agencies;
(g) To support researchers and policy analysts, the Department
may disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State and Local
agencies; using safeguards to ensure compliance with the Privacy Act,
disclosures may also be made to other researchers and policy analysts
not associated with guaranty agencies, educational institutions,
financial institutions or servicers;
(h) To support budget analysts in the development of budget needs
and forecasts, the Department may disclose records to Federal and
State agencies;
(i) To assist in locating holders of loan(s), the Department may
disclose records to students/borrowers, guaranty agencies,
educational institutions, financial institutions and servicers, and
to Federal, State or Local agencies;
(j) To assist analysts in assessing Title IV Program
administration of guaranty agencies, educational institutions,
financial institutions and servicers, the Department may disclose
records to Federal and State agencies;
(k) To assist loan holders in locating borrowers and overpayment
holders in locating debtors, the Department may disclose records to
guaranty agencies, educational institutions, financial institutions
and servicers, and to Federal agencies;
(l) To assist with meeting Credit Reform Act of 1992
requirements, the Department may disclose records to Federal
agencies;
(m) To assist program administrators with tracking refunds and
cancellations, the Department may disclose records to guaranty
agencies, educational institutions, financial institutions and
servicers, and to Federal and State agencies;
(n) To enforce the terms of a loan, assist in the collection of a
loan and assist in the collection of an aid overpayment, the
Department may disclose records to guaranty agencies, educational
institutions, financial institutions and servicers, and to Federal,
State, or Local agencies.
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation, or has an interest in litigation,
the Department may disclose certain records to the parties described
in paragraphs (b), (c) and (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of the Department 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 the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the Department of Justice. If the Department
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, the Department may disclose those
records as a routine use to the Department of Justice.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, individual or entity
designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation
and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use
to the adjudicative body, individual or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation, the
Department may disclose those records as a routine use to the party,
counsel, representative or witness.
(3) 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.
(4) Contract Disclosure. If the Department contracts with an
entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records as a routine use to those
employees. Before entering into such a contract, the Department shall
require the contractor to maintain Privacy Act safeguards as required
under 5 U.S.C. 552a(m) with respect to the records in the system.
(5) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department 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 pre-claims assistance
payments information.).
(6) Employee Grievance, Complaint or Conduct Disclosure. If a
record is relevant and necessary to an employee grievance, complaint,
or disciplinary action, the Department may disclose the record in the
course of investigation, fact-finding, or adjudication to any
witness, designated fact-finder, mediator, or other person designated
to resolve issues or decide the matter.
(7) Labor Organization Disclosure. Where a contract between a
component of the Department 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.
(8) Freedom of Information Act (FOIA) Advice Disclosure. In the
event that 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.
(9) Disclosure to the Department of Justice. The Department 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.
(10) Congressional Member Disclosure. The Department 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 the Department may disclose records
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 on magnetic tape and computer disk
media.
Retrievability:
Student/Borrower data are retrieved by matching Social Security
number and, as needed to reliably identify an individual, 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 offers a high
degree of resistance to tampering and circumvention by use of
software that requires user access to be defined to specific online
functions. This security system limits data access to users on a
``need to know'' basis 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. Most data is
loaded into NSLDS via a batch process. The security utilized ensures
that only data from authorized data providers can add or update
records in NSLDS.
Retention and disposal:
Records of individual closed loans and aid overpayments will be
transferred to tape/disk for retention and storage at the system
location. All records are retained permanently due to research needs,
budget projections, and legislative analysis.
System manager(s) and address:
Director, Program Systems Service, U.S. Department of Education,
Office of Student Financial Assistance, 400 Maryland Ave., SW, ROB-3,
room 4640, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, you must provide the system manager your
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 must meet the requirements of the Department's
Privacy Act regulations at 34 CFR 5b.5.
Record access procedures:
If you wish to gain access to a record in this system, you must
contact the system manager and provide information as described in
the notification procedures. Such requests must meet the requirements
of the Department's Privacy Act regulations at 34 CFR 5b.5.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, you 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's Privacy Act
regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from guaranty agencies, educational
institutions, financial institutions and servicers. Information is
also obtained from other Department systems such as the Direct Loan
Servicing System, Debt Management Collection System, Pell Grant
System, Postsecondary Education Participant System and Central
Processing System.
System exempted from certain provisions of the act:
None.
18-11-07
System name:
Student Financial Assistance Collection Files.
Security classification:
None.
System location:
Program Systems Support, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202-5258. See the Appendix to this
system notice for additional system locations.
Categories of individuals covered by the system:
This system contains records on those individuals who have
student loans made under the Federal Family Education Loan (FFEL)
Program: Stafford Loans (formerly the Guaranteed Student Loan Program
(GSL), including Federally Insured Student Loans (FISL)),
Supplemental Loans for Students (SLS), PLUS Loans (formerly Parental
Loans for Undergraduate Students), and Consolidation Loans; the
William D. Ford Federal Direct Student Loan (Direct Loan) Program
(formerly known as the Stafford/Ford Loan Program (SFLP), Federal
Direct Unsubsidized Stafford/Ford Loan Program, Federal Direct
Consolidation Loan, and Federal Direct Plus Loans; and Federal
Perkins Loans (formerly National Direct/Defense Student Loans (NDSL))
and those who are awarded grants under the Pell Grant Program and the
Supplemental Education Opportunity Grant Program (SEOG).
Categories of records in the system:
This system contains records regarding an applicant's demographic
background; loan, repayment history; and educational status; family
income; social security number; address and telephone numbers;
employment information on borrowers and co-signers; collection
activity on accounts; default claim number; amount of claim;
information pertaining to locating a borrower; collection and
repayment obligation; forbearance; cancellation; disability;
deferment; administrative wage garnishment; bankruptcy, death; close
school discharge; hearings; photocopy of all promissory notes;
account collection records; administrative resolutions and
litigations; and parents' and students' personal identification
numbers assigned by the Department.
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, and 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 (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Disclosures. The Department may disclose information
from this system to 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 for the
following purposes: (1) To verify the identity of the applicant; (2)
to determine program eligibility and benefits; (3) to facilitate
default reduction efforts by program participants; (4) to enforce the
conditions or terms of the loan; (5) to permit servicing, collecting,
or accepting the loan; (6) to counsel the borrower in repayment
efforts; (7) to investigate possible fraud and verify compliance with
program regulations; (8) to locate a delinquent or defaulted
borrower; (9) to issue collection letters; (10) to locate a missing
borrower; (11) to collect in-file history information to determine
assets and ability to pay; (12) to determine last known address; (13)
to conduct a salary offset hearing under 34 CFR part 31; (14) to
prepare for litigation or to litigate collection service and audit;
(15) to initiate a limitation, suspension, and termination (LS&T) or
debarment or suspension action; (16) to ensure Title IV requirements
are met by schools, lenders, and guaranty agencies; (17) to verify
death; (18) to conduct credit checks; and (19) to investigate
complaints, update files, and correct errors.
(2) Feasibility Study Disclosure. The Department may disclose
information from this system of records 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 or participation in any grant or loan program
administered by the Department. 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.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(9) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(10) Disclosure to the Department of Justice (DOJ). The
Department may disclose records to the DOJ to the extent necessary
for obtaining DOJ advice on any matter relevant to an audit,
inspection, or other inquiry related to the programs covered by this
system.
(11) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department 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.
(12) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(13) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
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
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. 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(e). 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 either hardcopy, microfilm,
magnetic tape, or other electronic media.
Retrievability:
Records are retrievable by Social Security number.
Safeguards:
All physical access to the Department's 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 utilized by the Department offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to the Department and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user 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 (5) years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant (SEOG) recipients
may be destroyed five (5) years after the fiscal operations report is
filed. Records of Federal Pell Grant recipients may be destroyed five
(5) years after the initial award year has ended, as set forth in
appropriate record retention schedules.
System manager(s) and address:
Director, Program Systems Support, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4640, ROB-3, Washington, DC 20202-5258. See the
Appendix at the end of this system notice for additional system
managers.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
date of birth and Social Security number. Requests must meet the
requirements of the regulations at 34 CFR 5b.5.
Record access procedures:
If you wish to gain access to a record in this system, 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 regulations at 34 CFR 5b.5.
Contesting record procedures:
If you wish to change the content of a record in the system of
records, 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 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.
Appendix to 18-11-07
Additional System Managers and System Locations
Raytheon/E-Systems, 6201 I-30, Greenville, TX 75402. Assistant
Regional Administrator, U.S. Department of Education, Region
IV, Division of Claims and Collections, Office of Student
Financial Assistance, 61 Forsyth Street, SW., Rm. 19T89,
Atlanta, GA 30303.
Assistant Regional Administrator, U.S. Department of Education,
Region V, Division of Claims and Collections, Office of
Student Financial Assistance, 111 North Canal Street, Suite
1009, Chicago, Illinois 60605.
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 250, San Francisco,
California 94102.
18-11-08
System name:
Student Account Manager System.
Security classification:
None.
System location:
Program Systems Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW.,
Room 4640, ROB-3, Washington, DC 20202. National Computer Systems,
2510 North Dodge Street, Iowa City, Iowa 52240.
Total Systems Services, Inc, 6101 Stone Mill Drive, Columbus, GA;
Golden Retriever System, 8 N. Roosevelt Avenue, Chandler, AZ 85221.
Categories of individuals covered by the system:
The Student Account Manager System contains student financial
assistance records about students and/or borrowers both who have
applied for loans under any Title IV Federal loan program and
students who have applied for grants under any Title IV Federal grant
program.
Categories of records in the system:
The Student Account Manager System contains records relating to a
student and/or borrower's originated awards and disbursements of
Title IV financial assistance and a personal identification number
assigned by the Department. The system contains three data element
types as outlined below: demographic information, such as student
and/or borrower name, mailing and permanent address, e-mail address,
current and original Social Security number, phone number, date of
birth, student account number; loan and grant funding and award
information, including the Title IV code for the school(s) for which
students and/or borrowers have requested determinations of Federal
financial assistance eligibility, the origination date and I.D., the
funding source I.D., loan holder, credit limit or award amount; loan
and grant transaction information, including the transaction date,
posting date, disbursement amount, acceptance/rejection field, batch
number.
Authority for maintenance of the system:
Higher Education Act of 1965, Title IV-A through IV-H, as
amended, (20 U.S.C. 1092b).
Purpose(s):
This system of records is provided for the purposes of:
(1) Giving students a single point of contact for information,
statements, and customer service concerning their Federal student
financial assistance (loans and grants) from various programs and
sources;
(2) Providing eligible institutions of higher education with a
standardized method for the receipt of Title IV student financial
assistance; and
(3) Creating summary reports for Federal loan and grant funding
sources and program offices for loans and grants delivered through
the Student Account Manager.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program purposes. Records may be disclosed for the following
program purposes:
(a) To report disbursement activity, disclosures may be made to
appropriate guaranty agencies, educational and financial
institutions, and Federal agencies.
(b) To deliver Federal student assistance funds to the
educational institution at which the student is enrolled, disclosures
may be made to that educational institution.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement disclosures. In the event that information in
this system of records indicates, either on its face or in connection
with other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute, or
executive order, rule, regulation, or order issued pursuant thereto.
(4) Litigation disclosure and Alternative Dispute Resolution
(ADR) Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ
(c) Administrative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(6) Employee Grievance, Complaint, or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The
Department may disclose records to the DOJ to the extent necessary
for obtaining DOJ advice on any matter relevant to an audit,
inspection, or other inquiry related to the programs covered by this
system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(12) Congressional member disclosure. The Department may
disclose information to a member of congress from the record of an
individual in response to an inquiry from the member made at the
written request of that individual. The Member's right to the
information is no greater than the right of the individual who
requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 at the National Computer Systems (NCS) are maintained
on the mainframe at the NCS data center in Iowa City, IA and archived
onto magnetic tape. Total System records are maintained on a
mainframe database in Columbus, GA and backed up onto magnetic tapes.
Golden Retriever System records are maintained on a sequel server
database in Chandler, AZ and backed up onto CD-ROM.
Retrievability:
Each student and/or borrower's file is indexed by social security
number and the first two characters of their last name.
Safeguards:
All users of this system are given a unique user ID with a
personal identifier. Student and parent users are assigned an
Electronic Access Code (EAC) through the Federal Student Aid
Application Files Privacy Act system of records number 18-11-01 by
which they can access their accounts. All physical access to the
Department's 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to the Department, agents of the Department
(including schools and funding sources), 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 passwords.
Retention and disposal:
Federal Loan Records: The Department will retain and dispose of
loan records in accordance with the Department's Records Disposition
Schedules (ED/RDS), Part 10, Item 16. Individual records
(applications, certifications, disbursements, correspondence, and
related records) for Federal loans may be destroyed three years after
cancellation, forgiveness or final repayment of the Loan (ED/RDS,
Part 10, Item 16). Electronic Federal loan records will be kept
online and easily available for 24 months after reconciliation with
the funding source, then retained in accordance with ED/RDS, Part 10,
Item 16.
Federal Pell Grant Records: The Department will retain and
dispose of Pell Grant records in accordance with ED/RDS, Part 10,
Item 17. Records of Federal Pell Grant recipients (applications,
payment, correspondence, and related records) will be transferred to
a Federal Records Center after final payment to grantee. Individual
Pell Grant records may be destroyed 15 years after final payment to
grantee (ED/RDS, Part 10, Item 17). Individual records for unapproved
Federal Pell Grant applications will be transferred to a Federal
Records Center 120 days after a rejection or withdrawal, and may be
destroyed three years after date of rejection or withdrawal (ED/RDS,
Part 10, Item 17(d)). Electronic Federal Pell Grant records will be
kept online and easily available for 24 months after reconciliation
with the funding source, then retained in accordance with ED/RDS,
Part 10, Item 17.
System manager(s) and address:
Service Director, Program Systems Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., ROB-3, Room 4640, Washington, DC 20202.
Notification procedure:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual may
gain access to the system via the Internet or by contacting the
system administrator through the Student Account Manager's customer
service e-mail address or toll-free telephone number. (To obtain
access to records by telephone, the student must first authorize
telephone access through the Student Account Manager's website using
his or her Electronic Access Code.) The student must provide the
system manager with his or her name, date of birth, Social Security
number, and Electronic Access Code (EAC). Requests for notification
about an individual must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity. Individuals may also
present their requests in person at any of the locations identified
for this system of records or address their requests to the system
manager at the following address: Program Systems Service, Office of
Student Financial Assistance Programs, U.S. Department of Education,
400 Maryland Avenue, SW., ROB-3, Room 4640, Washington, DC 20202.
Record access procedures:
If an individual wishes to gain access to a record in this
system, he or she may do so via the Internet, by calling the toll
free customer service phone number using a touch-tone telephone, or
by contacting the system manager through the Student Account
Manager's customer service e-mail address or toll-free telephone
number. (To obtain access to records by telephone, the student must
first authorize telephone access through the Student Account
Manager's website using his or her Electronic Access Code.)
Contesting record procedures:
If an individual wishes to change the contents of a record in the
system of records, he or she may challenge a transaction by
contacting the system manager by telephone or sending written notice
to the Student Account Manager's customer assistance area and
providing the information described in the notification procedure,
identifying the specific item(s) to be changed, and providing a
written justification for the change, including any supporting
documentation.
Record source categories:
Information is obtained from schools, lenders, guaranty agencies,
students, borrowers, the Title IV Program Files (Privacy Act system
of records number 18-11-05), the Federal Student Aid Application
Files Privacy Act system of records number 18-11-001), the Direct
Loan Origination Center, and the Recipient Funds Management System
(RFMS).
System exempted from certain provisions of the act:
None.
18-11-09
System name:
Postsecondary Education Participants System (PEPS).
Security classification:
None.
System location:
Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT
06450.
Categories of individuals covered by the system:
The PEPS contains records about owners (individuals, either
solely or as partners, and corporate entities), officials, and
authorized agents of postsecondary institutions; members of boards of
directors or trustees of such institutions; employees of foreign
entities that evaluate the quality of education; third-party
servicers, including contact persons.
Categories of records in the system:
The PEPS contains information regarding the eligibility,
administrative capability, and financial responsibility of
postsecondary schools that participate in the student financial aid
programs, including the names, taxpayer identification numbers
(Social Security numbers), business addresses, phone numbers of the
individuals with substantial ownership interests in, or control over,
those institutions, and personal identification numbers assigned by
the Department.
Authority for maintenance of the system:
Higher Education Act of 1965, Title IV, as amended, (20 U.S.C.
1088, 1094, 1099c); the Debt Collection Improvement Act of 1996 (31
U.S.C. 7701).
Purpose(s):
The information contained in the PEPS is used for the purposes of
determining initial and continuing eligibility, administrative
capability and financial responsibility of postsecondary schools that
participate in the student financial assistance programs, tracking
school changes and maintaining history of this information regarding
schools that have ever applied to participate or participated in
these programs and documenting any need for any protective or
corrective action against a school or individual associated with the
school.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Purposes. The Department may disclose information
contained in the PEPS to appropriate guaranty agencies, educational
and financial institutions, accrediting agencies, State agencies, and
appropriate Federal, State, or local agencies, in order to verify and
assist with the determination of eligibility, administrative
capability, and financial responsibility of postsecondary
institutions that have applied to participate in the student
financial assistance programs.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records in the PEPS, 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.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosure.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or alternative dispute resolution
(ADR), or has an interest in litigation or ADR, the Department may
disclose PEPS records to the parties described in paragraphs (b), (c)
and (d) of this routine use under the conditions specified in those
paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of the Department 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 the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States, where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice is relevant and necessary to litigation, the Department may
disclose those records as a routine use to the Department of Justice.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, or to an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes, is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to that adjudicative body, entity or individual.
(d) Opposing counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation, the
Department may disclose those records as a routine use to the
counsel, representative or witness.
(4) Employment, Benefit and Contracting Disclosure.
(a) For decisions by the Department. The Department may disclose
records to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For decisions by Other Public Agencies and Professional
Organizations. The Department may disclose records to a Federal,
State, local or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit, to the extent that the record is relevant
and necessary to the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in PEPS to another agency of the
Federal government if the record is relevant to a complaint,
grievance, discipline or competence determination proceeding
regarding a present or former employee of the Department. The
disclosure may only be made during the course of the proceeding.
(6) Labor Organization Disclosure. The Department may disclose
records to a labor organization if a contract between the Department
and a labor organization recognized under Title V of the United
States Code, Chapter 71, provides that the Department will disclose
personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice. The Department may
disclose records to the DOJ to the extent necessary for obtaining DOJ
advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
by the Department which is determined to be valid and overdue as
follows: (a) The name, address, taxpayer identification number and
other information necessary to establish the identity of the
individual responsible for the claim; (b) the amount, status, and
history of the claim; and (c) 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(e). 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 on electronic data files on a server.
Retrievability:
The records are indexed by the name of the institution or
organization, and may be retrieved by the OPEID of school, EIN
(Entity Identification Number) of the school or entity; or the name
or TIN (Tax Identification Number or social security number) of the
individual.
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 staff of
the Department of Education, guarantors,. accrediting agencies, State
agencies, and Department contractors 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:
History records are kept in PEPS indefinitely, or archived.
Records are maintained and destroyed in accordance with the
Department of Education Records Disposition Schedules (ED/RDS).
System manager(s) and address:
Director, Postsecondary Education Participants System, Office of
Student Financial Assistance Programs, U.S. Department of Education,
Seventh and D Streets, SW., Room 4629, ROB-3, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the PEPS, provide the system manager with your name and social
security number. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity. You may
address your request, or present that request in person, to the
system manager at the address above.
Record access procedures:
You may gain access to any record in the PEPS that pertain to you
by contacting the system manager and following the procedures for
notification listed above and must meet the requirements of 34 CFR
5b.5.
Contesting record procedures:
You may contest the content of a record in PEPS pertaining to you
by presenting to the system manager, either in writing or in person,
a request to amend or correct that information. The request to amend,
or for an appointment to present an oral request, must be made in
writing mailed to the system manager at the address provided above.
The request must identify the particular record within the PEPS that
you wish to have changed, state whether you wish to have the record
amended, corrected or deleted, and explain the reasons why you wish
to have the record changed.
Record source categories:
Information is obtained from applications submitted by
institutions and entities that seek to participate in the student
financial assistance programs and from components of the Department,
from other Federal, State and non-governmental agencies and
organizations that acquire information relevant to the purposes of
the PEPS.
System exempted from certain provisions of the act:
None.
18-11-10
System name:
Title IV Wide Area Network (Title IV WAN).
Security classification:
None.
System location:
National Computer Systems (NCS), 2510 N. Dodge St, Iowa City, IA
52245.
General Electric Information Services (GEIS), 1001 Windward
Concourse, Alpharetta, GA 30005-4154.
Virtual Data Center (VDC), c/o Computer Science Corporation 71
Deerfield Lane, Medriden, CT 06450-7151.
Categories of individuals covered by the system:
This system contains records on those individuals who are
eligible to enroll in Title IV WAN, which include financial aid
administrators, authorized individuals of postsecondary institutions,
authorized individuals of third-party servicers, authorized
individuals of software providers, authorized individuals of lenders,
authorized individuals of guaranty agencies, and authorized
individuals of state scholarship programs.
Categories of records in the system:
This system consists of demographic contact information that the
Title IV WAN customers provide to request electronic access to Title
IV Student Aid Systems. Demographic information includes customer
name, customer address, authentication information (mother's maiden
name, Social Security number, and date of birth), and billing and
distribution information.
Authority for maintenance of the system:
20 U.S.C. 1082, 1085, 1094, 1099C (1993).
Purpose(s):
The Title IV WAN is used for the following purposes:
(1) To providing telecommunications support for the delivery and
administration of the Title IV student aid programs;
(2) For billing non-Direct Loan users for customer service calls
and year-to-date ISIRs data requests;
(3) To handle the processing of the Title IV WAN Enrollment
Documents and managing the assignment of Title IV WAN ID numbers;
(4) To provide Title IV WAN users with the capability to query
CPS, NSLDS and Title IV WAN systems; and
(5) To coordinate and hosting various conferences and workshops
to educate and promote the electronic initiatives sponsored by the
Office of Student Financial Assistance (OSFA).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
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, address, and other information necessary to establish the
identity of the individual responsible for the claim; and (2) 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 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 a computer database as well as in hard
copy.
Retrievability:
The records are retrieved by customer name and/or TIV WAN User
ID.
Safeguards:
All physical access to the Department 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users'' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Title IV WAN enrollment documents will be retained for the 6
years and three months after the final payment of the contract that
expires in September 2001.
System manager(s) and address:
Director, Program Systems Service, U.S. Department of Education,
Office of Student Financial Assistance, 400 Maryland Avenue, SW, ROB-
3, room 4640, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.7.
Record source categories:
Information in this system is obtained from the following
entities: Financial Aid Administrators, Postsecondary Institutions,
Third-Party Servicers, Software Providers, Lenders, Guaranty
Agencies, and State Scholarship Programs.
System exempted from certain provision of the Act:
None.
18-11-11
System name:
Office of the Student Loan Ombudsman Records.
Security classification:
None.
System location:
Office of the Student Loan Ombudsman, Student Financial
Assistance, 400 Maryland Avenue, SW., ROB-3, Room 3717, Washington,
DC 20202.
Categories of individuals covered by the system:
This system contains records on individuals who are, were, or may
be participants in any of the Title IV Student Financial Assistance
Programs and who request assistance from the Ombudsman.
Categories of records in the system:
This system consists of a variety of records that identify the
individuals' complaints, requests for assistance, or other inquiries.
Records include, but are not limited to: Written documentation of the
individual's complaint; request for assistance or other inquiry; and
information pertaining to the student's or parent's Title IV student
financial assistance program account(s), such as the person's name,
Social Security number, date of birth, address, telephone number(s),
and personal identification number. Additionally, records will
include the name, address, and phone numbers of school(s), lender(s),
secondary holder(s) or lender(s), guaranty agency(ies), and
servicer(s)
Authority for maintenance of the system:
20 U.S.C. 1018(f) (1998).
Purpose(s):
The information contained in this system will be used for a
number of purposes related to the duties and responsibilities of the
SFA Ombudsman, including: Verifying the identities of individuals;
recording complaints and problems; tracking individual cases through
final resolution; reporting complaint trends; analyzing the data to
recommend improvements in student financial assistance programs; and
assisting in the informal resolution of disputes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Program Disclosure. The Department may disclose records to
schools, lenders, guaranty agencies, and servicers when it is
necessary to obtain further information about the complaint, request
for assistance, or other inquiry before it can be resolved.
(2) Disclosure for Use by Other Law Enforcement Agencies
Concerning Possible Violations of the Criminal Laws or Actions
Initiated for Civil Fraud. The Department may disclose information to
any Federal, State, local or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations
of the criminal laws or actions initiated for civil fraud, if that
information is relevant to any enforcement, regulatory,
investigative, or prosecutive responsibility within the receiving
entity's jurisdiction.
(3) Enforcement Disclosure Concerning Violations of the Criminal
Laws or Actions Initiated for Civil Fraud. 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 the criminal laws or actions initiated for civil fraud,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR concerning the actions of the
Ombudsman's office or its employees, or has an interest in such
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs: (i) the
Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(6) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(8) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records will be maintained either in hard copy or in an
electronic database.
Retrievability:
Records are indexed by Social Security number, name, date of
birth and case tracking number.
Safeguards:
Access to and use of these records shall be limited to those
persons whose official duties require access. This includes staff
members of the Office of the Student Loan Ombudsman, other Department
offices and agents of the Department. All physical access to the
sites 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 offers a high degree of resistance to
tampering and circumvention. This security system limits data access
to 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 unique user IDs with personal
identifiers. All interactions by individual users with the system are
recorded.
Retention and disposal:
The records on all student loans are retained for a period of
five years after the loan has been repaid, cancelled or otherwise
forgiven or the account closed. Records pertaining to grants awarded
by the Department are destroyed five years after the initial
disbursement. Records are maintained for the period of time needed to
resolve cases, conduct analyses and prepare reports.
System manager(s) and address:
Ombudsman, Office of Student Financial Assistance, U.S.
Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 3717,
Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department's Privacy Act regulations at 34
CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.7.
Record source categories:
Information is obtained from the individuals (e.g. borrowers)
schools, lenders, and guaranty agencies.
System exempted from certain provisions of the act:
None.
18-11-12
System name:
The Department of Education (ED) PIN (Personal Identification
Number) Registration System.
Security classification:
None.
System location:
National Computer Systems (NCS), 2510 North Dodge Street, Iowa
City, IA 52240.
Virtual Data Center, Meriden Data Center, 71 Deerfield Lane
Meriden, CT 06450 (after Spring 2000).
Categories of individuals covered by the system:
The ED PIN Registration System contains records about former,
current and prospective students, and parents who apply for an ED PIN
number. The ED PIN number is used for identification purposes when
PIN holders access other Department of Education systems.
Categories of records in the system:
This system contains identification information such as name,
Social Security Number (SSN), date of birth and address.
Authority for maintenance of the system:
The Higher Education Act of 1965, as amended, 20 U.S.C. 1092b.
Purpose(s):
This information contained in this system will be used to
generate and confirm PIN numbers for those individuals wishing to
access various student financial assistance systems (including FAFSA,
Access America and the Direct Loan Program) to obtain information
about their personal records. The ED PIN number that is generated and
stored by this system can be used by individuals to electronically
sign various student aid applications including the FAFSA and the
Renewal FAFSA, and to initiate loan deferments or forbearance. The
Department has plans to expand the use of the PIN to allow access to
student financial aid systems outside of the Department.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
(13) Identification Verification Disclosure. In order to verify
the identity of the applicant involved, the accuracy of the record,
or to assist with the determination of program eligibility and
benefits or potential eligibility or benefits, the Department may
disclose records from this system to the applicant, guaranty
agencies, educational institutions, financial institutions and
servicers, and to Federal and State agencies.
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
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. 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(e). 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 stored electronically on magnetic tape.
Retrievability:
The file is indexed by social security number or name.
Safeguards:
All physical access to the Department 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Records will be retained 3 years after payment of loan, or after
audit resolution.
System manager(s) and address:
PIN Web Site Development Manager, Program System Services, Office
of Student Financial Assistance, 400 Maryland Avenue, SW, ROB-3, room
4640, Washington, DC 20202.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
date of birth, social security number. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.5, including proof of identity. You may present your request in
person at any of the locations identified for this system of records
or address your request to the system manager at the address above.
Record access procedures:
If you wish to gain access to a record regarding you in the
system of records, you can visit the ED PIN Web site, call the FAFSA
on the Web phone number listed on the Web site, or contact the system
manager at the address given above. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
the system of records, you can contact the Customer Service
Department at the telephone number listed on the ED PIN web site.
Your request must meet the requirements of the Department's Privacy
Act regulations at 34 CFR 5b.7.
If your SSN does not match as a result of an incorrect SSN, you
will need to contact the local office of the Social Security
Administration (SSA) for a SSN correction.
Record source categories:
The identifying information (SSN, DOB and name) is currently
collected from the ED PIN Registration Web site, from the FAFSA, and
the Direct Loan borrower database. In the future, the Department may
provide alternate means for collecting the identifying information.
System exempted from certain provisions of the act:
None.
18-12-01
System name:
Title VI Foreign Language and Area Studies Fellowships (FLAS).
Security classification:
None.
System location:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW, Room 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
Categories of individuals covered by the system:
Graduate Students, who have been nominated for FLAS fellowships
by grantee institutions of higher education.
Categories of records in the system:
The Title VI FLAS Records System consists of a variety of records
relating to an individual's applications for, and participation in,
the FLAS program. In addition to the individual's name, the system
contains the participant's grantee institution, degree status, award
period, amount of the award, language of the award, title of language
course taken, major discipline, career goal, foreign language
proficiency self-evaluation, and a brief description and evaluation
of the study program.
Authority for maintenance of the system:
The Higher Education Act of 1965, as amended, Part A, Title VI,
Section 602(b).
Purpose(s):
The information contained in this system is used to determine the
eligibility of nominees for FLAS fellowships; to monitor compliance
and accomplishments; and to use the data to demonstrate program
effectiveness.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
Department of Education personnel, field readers, and grantee
institutions use the information to determine the eligibility of
nominees and to monitor the progress of foreign language and area
studies training. Department of Education personnel and AppNet use
some of the data to demonstrate program effectiveness. Disclosure may
be made to the following entities as well:
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and US Department of Education personnel.
Retrievability:
Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
Safeguards:
All physical access to the Department of Education site, and the
site of Department contractors where this system of records is
maintained, is controlled and monitored by personnel who check each
individual entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system
limits data access to Department of Education and contract staff
grantees 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:
Hardcopy records are maintained for five years and then
destroyed. Data stored in the electronic data warehouse are
maintained until the need for longitudinal studies to demonstrate
program effectiveness is no longer required.
System manager(s) and address:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC
20202-5247.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name, the
year of the award, the name of the grantee institution, and language
of the award. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
Contact the system manager.
Contesting record procedures:
Contact the system managers.
Record source categories:
Information is obtained from the individual and grantee
institutions on approved forms in hardcopy or electronic format.
System exempted from certain provisions of the act:
None.
18-12-02
System name:
Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA),
Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows.
Security classification:
None.
System location:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
Categories of individuals covered by the system:
This system contains records on teachers or prospective teachers
who have been selected to be recipients for Fulbright-Hays awards to
enable them to engage in foreign language and area studies projects
overseas.
Categories of records in the system:
The Fulbright-Hays Records System consists of a variety of
records relating to an individual's applications for, and
participation in, the Fulbright-Hays DDRA, FRA or SA programs. In
addition to the individual's name, the system contains the
participant's address, telephone number, educational institution,
date and place of birth, citizenship, social security number,
veteran's status, names of accompanying dependents, previous overseas
travel, educational and employment background, student loan default
status, a health statement, transcripts, references, project
description and project cost based on either the cost-of-living in
the host country or the annualized salary of a faculty member, field
reader and US Embassy comments, award documents, and final project
reports.
Authority for maintenance of the system:
The Mutual Educational and Cultural Exchange Act of 1961, as
amended (22 U.S.C. 2451-2458).
Purpose(s):
The information contained in this system is used for the
following purposes: (1) To determine the applicants' qualifications,
eligibility, suitability and feasibility; (2) to award benefits for
overseas research; (3) to monitor the progress of the project
including its accomplishments; and (4) to demonstrate the program's
effectiveness.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Program Disclosure. The Department may disclose information
to field readers, the U.S. Department of State, U.S. Embassies,
binational commissions, the J. William Fulbright Foreign Scholarship
Board, foreign educators and officials so that the information can be
used to determine the qualifications, eligibility, suitability,
feasibility, and award benefits for overseas research.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and U.S. Department of Education personnel.
Retrievability:
Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
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 personnel who check each
individual entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system
limits data access to Department of Education and contract staff
grantees 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:
Hardcopy records are maintained for five years and then
destroyed. Data stored in the electronic data warehouse are
maintained until the need for longitudinal studies to demonstrate
program effectiveness is no longer required.
System manager(s) and address:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC
20202-5247.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
date of birth, social security number, the year of the award, the
name of the grantee institution, major country in which you conducted
your educational activity. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, contact the system manager at the address listed
above and follow the steps outlined in the Notification Procedures.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
Record source categories:
Information is obtained from the individual on approved
application forms and from field readers, and may be secured from the
U.S. Department of State, U.S. Embassies, binational commissions, the
J. William Fulbright Foreign Scholarship Board, and foreign educators
and officials.
System exempted from certain provisions of the act:
None.
18-12-03
System name:
Jacob K. Javits Fellowship System.
Security classification:
None.
System location:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247.
Categories of individuals covered by the system:
This system contains records on individuals who apply for
fellowships under the Jacob K. Javits Fellowship Program.
Categories of records in the system:
The Jacob K. Javits Fellowship System consists of a variety of
records relating to a student's application for, and participation
in, the Javits Fellowship Program. In addition to the student's name,
the system contains the student's social security number, or nine
digit identification number, address, scholastic accomplishments,
rating scores, and reference letters.
Authority for maintenance of the system:
Title VII, Part A, Subpart 1 of the Higher Education Act of 1965,
as amended (20 U.S.C. 1134-1134d). The program regulations are found
in 34 CFR part 650.
Purpose(s):
The information contained in this system is used to determine the
qualifications, eligibility, and suitability in the selection of
fellows; to maintain the progress of fellows; to ensure compliance
with program requirements; and to use the data to demonstrate program
effectiveness.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis, or if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 filing
cabinets; on access-controlled personal computers; and on removable
personal computer diskettes that are stored in filing cabinets.
Retrievability:
Hardcopy files are retrieved by individual names and educational
institutions. Electronic files are accessed using an individual's
Social Security number, or other nine digit identification number.
Safeguards:
All physical access to the Department's 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Hardcopy records are maintained for five years and then
destroyed. Data stored electronically is maintained until the need
for longitudinal data to demonstrate program effectiveness is no
longer needed.
System manager(s) and address:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 600, Portals Building, Washington, DC
20202-5247.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
date of birth and Social Security number. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Record access procedure:
If you wish to gain access to a record regarding you in the
system of records, provide the system manager with your name, date of
birth, and Social Security number. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedure:
If you wish to contest the content of a record, contact the
system manager. Your request must meet the requirements of the
regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained principally from individual applicants,
references, and schools attended by the applicant.
Systems exempted from certain provisions of the act:
None.
18-12-04
System name:
Title VI International Research and Studies Program (IRS).
Security classification:
None.
System location:
International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Suite 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
Categories of individuals covered by the system:
This system contains records on individual researchers who have
been selected to be recipients of International Research and Studies
(IRS) awards.
Categories of records in the system:
The Title VI IRS Records System consists of a variety of records
relating to an individual's applications for, and participation in,
the IRS program. In addition to the individual's name, the system
contains the participant's address, telephone number, educational
institution, citizenship, social security number, institutional or
individual DUNS number, educational and employment background,
salary, research or instructional materials project description,
project costs, field reader comments, award documents, and final
project reports.
Authority for maintenance of the system:
The Higher Education Act of 1965, as amended, Part A, Title VI,
section 605(a).
Purpose(s):
The information contained in this system is used for the
following purposes: (1) To determine the qualifications and
eligibility of the project director, competitiveness of and need for
the project, and award benefits; (2) to monitor the progress of the
project including its accomplishments; and (3) to demonstrate the
program's effectiveness.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Field Reader Disclosures. The Department may disclose
information to field readers in order to determine the qualifications
and eligibility of the project director, competitiveness of and need
for the project, and award benefits.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(6) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(7) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(10) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(11) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(12) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(13) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants'
institutions and Department personnel.
Retrievability:
Hard copy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data
elements.
Safeguards:
All physical access to the Department's site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by personnel who check each individual
entering the building.
The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system
limits data access to Department and contract staff grantees 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:
Hard copy records are maintained for five years and then
destroyed. Data stored in the electronic data warehouse are
maintained until the need for longitudinal to demonstrate program
effectiveness is no longer required.
System manager(s) and address:
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, US Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202-5247.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
date of birth, social security number, the year of the award, the
name of the grantee institution, major country in which you conducted
your educational activity. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, contact the system manager at the address listed
above and follow the steps outlined in the Notification Procedure.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
Record source categories:
Information is obtained from the individuals and institutions on
approved application forms and from field readers.
System exempted from certain provisions of the act:
None.
18-12-05
System name:
Graduate Assistance in Areas of National Need (GAANN) Program
Assessment System.
Security classification:
None.
System location:
U.S. Department of Education, Office of Postsecondary Education,
Program Monitoring and Information Technology Service, 1990 K St.,
NW, Washington, DC 20006.
Categories of individuals covered by the system:
This system contains records on individuals who apply for
fellowships and receive admission to a GAANN project.
Categories of records in the system:
This system contains information including the individual's name,
Social Security number, gender, ethnicity, field of study, source of
student's GAANN Fellowship, amount of stipend per year of student's
GAANN Fellowship, amount of institutional contribution to tuition per
year of student's GAANN Fellowship, amount of support the student
received after the GAANN Fellowship, year and term the student
entered institution's graduate program, current education status,
current employment status, how the fellow's financial need was
determined, whether Title IV financial need analysis was used,
whether amount of student's financial need is known, cost of
education, and financial need.
Authority for maintenance of the system:
20 U.S.C. 1135C (1993).
Purpose(s):
This system is used to provide performance data about the GAANN
Fellowship Program for the Department's use in responding to the
requirements of the GPRA. In addition, information obtained from the
system of records may also be used for the general purpose of
administering the GAANN Fellowship Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552 (a)(b)(12).The Department 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. The
Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b) (12) after completing 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 in this system is maintained in an electronic
centralized database on a computer server. Information extracted from
the system will be maintained on access-controlled personal computers
and in physical file folders.
Retrievability:
Records in this system can be retrieved by name and Social
Security number.
Safeguards:
The computer system employed by the Department offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Records on successful applications are destroyed five years after
final payment from the Department to the institution, or after
completion of audit-related activities or litigation, whichever is
later.
System manager(s) and address:
Director, Program Monitoring and Information Technology Service,
Office of Postsecondary Education, U.S. Department of Education, 1990
K St., NW, Washington, DC 20006.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, you should provide the system manager with
your name, Social Security number or nine-digit identification
number. Your request must meet the requirement of the Department's
Privacy Act regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record in this system of records,
you should contact the system manager and provide information as
described in the Notification Procedures. Requests for access to a
record should reasonably specify the particular record content being
sought. Your request must meet the requirements of the Department's
Privacy Act regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest information contained in a record in this
system of records, you should contact the system manager. Your
request 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 you are seeking to amend; (3)
whether you are seeking a deletion, an addition, or a substitution;
and (4) the reason(s) for the requested change(s). You should include
any appropriate documentation supporting the requested change(s).
Your request must meet the requirements of the Department's Privacy
Act regulations at 34 CFR 5b.7, including proof of identity.
Record source categories:
Information contained in this system is obtained from the
institutions the fellows attend.
System exempted from certain provisions of the act:
None.
18-13-01
System name:
National Center for Education Statistics Longitudinal Studies and
the School and Staffing Surveys.
Security classification:
None.
System location:
National Center for Education Statistics, Office of Educational
Research and Improvement, U.S. Department of Education, 555 New
Jersey Avenue, NW., Room 400, Washington, DC 20202-5574. See the
Appendix at the end of this system notice for additional system
locations.
Categories of individuals covered by the system:
This system contains information on the following groups:
(1) High school seniors who participated in the National
Longitudinal Study of the High School Class of 1972;
(2) Approximately 26,820 high school seniors and sophomores from
1,015 U.S. high schools who participated in the High School and
Beyond Survey in 1980;
(3) Approximately 26,000 eighth grade students in 1,050 U.S.
schools who participated in the National Education Longitudinal Study
of 1988;
(4) Approximately 60,000 students enrolled in U.S. postsecondary
institutions who participate in each cycle of the National
Postsecondary Student Aid Study, the Baccalaureate and Beyond Study,
or the Beginning Postsecondary Students Longitudinal Study;
(5) Approximately 21,000 kindergartners, their parents, and 6,000
teachers who are participating in the Early Childhood Longitudinal
Study, Kindergarten Cohort in 1998;
(6) 14,000 children and their families as well as 4,500 childcare
providers that will participate in the Early Childhood Longitudinal
Study, Birth Cohort 2000;
(7) Approximately 78,000 teachers, administrators, and librarians
who participate in each administration of the School and Staffing
Surveys of NCES;
(8) Approximately 11,000 faculty and administrators who
participated in the 1987-88 National Study of Postsecondary Faculty;
(9) Approximately 30,000 faculty, instructional staff, and
administrators who participate in subsequent administrations of the
National Study of Postsecondary Faculty;
(10) Approximately 33,000 U.S. students who participated in the
Third International Mathematics and Science Study and the 15,000 U.S.
students who will participate in the subsequent administration of the
Third International Mathematics and Science Study;
(11) Approximately 5,000 U.S. students who will participate in an
international Civics Education Study;
(12) 9,000 U.S. students who will participate in the Program of
International Student Assessment;
(13) 8,000 U.S. adults who will participate in the International
Life Skills Survey.
Categories OF RECORDS IN THIS SYSTEM:
This system consists of responses to survey instruments which
contain background and demographic data, questions 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):
This system is used to describe the critical influences,
contexts, and transitions of students in elementary, secondary, and
postsecondary education and into employment and adult experience.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purpose for which
the record was collected. These disclosures may be made on a case-by-
case basis or, if the Department has complied with the computer
matching requirements of the Act, under a computer matching
agreement.
(1) 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 GEPA (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 under the Privacy Act of 1974 and 20 U.S.C.
1221-e1(d)(4) safeguards with respect to such records.
Disclosure to consumer reporting agencies:
Not applicable to this system of 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 are 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 questionnaires 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, Office of
Educational Research and Improvement, U.S. Department of Education,
555 New Jersey Avenue, NW., Room 400, Washington, DC 20208-5574.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager at the address
listed above. Your request must meet the requirements in the
regulations at 34 CFR 5b.5, including proof of identity.
Record access procedure:
If you wish to gain access to a record regarding you, contact
system manager. Your requests must meet the requirements in the
regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedure:
If you wish to contest the content of a record regarding you,
contact the system manager. Your request must meet the requirements
in the regulations at 34 CFR 5b.7.
Record source categories:
Information in the records comes form responses to survey
instruments.
System exempted from certain provisions of the act:
None.
Appendix to 18-13-01
Additional System Locations
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, P.O. Box 12094, 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.
The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley,
California 94704.
Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.
Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400,
Washington, DC 20007.
Institute for Social Research, Survey Research Associates, University
of Michigan, 426 Thompson, Ann Arbor, MI 48106.
School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.
18-13-02
System name:
National Center for Education Statistics Affidavits of
Nondisclosure.
Security classification:
None.
System location:
See the Appendix to this system notice.
Categories of individuals covered by the system:
This system contains information on 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. 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:
This system contains the following information:
(1) The affidavit of nondisclosure that includes the individual's
name, place of work (company, agency, etc.), signature, and date
signed; and
(2) the name of the project or survey in which the entity
employing the individual was involved.
Authority for maintenance of the system:
Section 406(d)(4) of the General Education Provisions Act, as
amended by Title III, Part A, Section 3001, of Public Law 100-297,
April 28, 1988 (20 U.S.C. 1221e-1(d)(4)).
Purpose(s):
This system of records is used for the following purposes: (1) To
maintain information necessary for internal control and monitoring of
those having access to individually identifiable information; (2) 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; and (3) to ensure that
individuals utilized by the Commissioner of NCES protect the
individually identifiable data of NCES.
Routine uses of records maintained in the system, including THE
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purpose for which
the record was collected. These disclosures may be made on a case-by-
case basis or, if the Department has complied with the computer
matching requirements of the Act, under a computer matching
agreement.
(1) 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 these 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 information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(4) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation and ADR, the Department may disclose those records as a
routine use to the DOJ.
(5) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(6) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards under 5 U.S.C. 552a(m)
with respect to such records.
Disclosure to consumer reporting agencies:
Not applicable to this system of 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
of the individual.
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:
Chief Statistician & Individual Survey Project Officers, National
Center for Education Statistics, U.S. Department of Education, 555
New Jersey Avenue, NW., Washington, DC 20208-5574.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
listed above and provide your name, place of work (i.e. company,
agency, etc.), and the dates of employment. Your request must meet
the requirements in the regulations at 34 CFR 5b.5, including proof
of identity.
Record access procedures:
If you wish to gain access to records regarding you in this
system of records, contact the system manager and provide your name,
place of work (i.e. company, agency, etc.), and the dates of
employment. Your request must meet the requirements in the
regulations at 34 CFR 5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you,
contact the system manager. Your request to amend a record must meet
the requirements of 43 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 to 18-13-02
Additional System Locations
National Center for Education Statistics, U.S. Department of
Education, 555 New Jersey Avenue, NW., Washington, DC 20202-
5574.
U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.
WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.
Research Triangle Institute, P.O. Box 12094, 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.
The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.
MPR Associates, 1995 University Avenue, Suite 225, Berkeley, CA
94704.
Abt Associates, 55 Wheeler Street, Cambridge, MA 02138.
Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400,
Washington, DC 20007.
Institute for Social Research, Survey Research Associates, University
of Michigan, 426 Thompson, Ann Arbor, MI 48106.
School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.
18-13-03
System name:
National Center for Education Statistics' National Assessment of
Educational Progress.
Security classification:
None.
System location:
WESTAT, 1650 Research Boulevard, Rockville, MD 20850.
Educational Testing Service, Rosedale Road, Princeton, NJ 08541.
National Computer Systems, 2510 N. Dodge Street, Iowa City, IA
52245.
Categories of individuals covered by the system:
This system contains information on the following individuals:
(1) Individuals who leave school early as early graduates or as drop-
outs (defined as 17-year-olds who are no longer in school) and are
covered during a six month data verification period; (2) young adults
in the study who are covered during a six month data verification
period; and (3) individual schools which are covered under the
National Assessment of Educational Progress (NAEP) statute (20 U.S.C.
9010 (c)(2)(A)).
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. 9010.
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:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
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 20 U.S.C. 9007;
(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.
Regarding the records of individual schools, which, under 20
U.S.C. 9010(c)(2)(A), 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. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(2) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, ED may disclose certain records to the parties
described in paragraphs (b), (c) and (d) of this routine use under
the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If ED
determines that disclosure of certain records to a party, counsel,
representative or witness in an administrative proceeding is relevant
and necessary to the litigation, the Department may disclose those
records as a routine use to the party, counsel, representative or
witness.
Policies and practices for retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
The records are maintained on magnetic tape and computer disk
media.
Retrievability:
Records are retrievable by assessment year, subject area, age or
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 you wish to determine whether a record regarding you exists in
this system of records, you should contact the system manager at the
address listed above and provide your name, date of birth and social
security number. Your requests must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to gain access to a record in this system of records,
you should contact the system manager and provide the information
described in the Notification Procedures. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest information contained in this system of
records, you should contact the system manager. You should specify
the particular record you are seeking to amend, whether a deletion,
an addition, or a substitution is being sought and the reason(s) for
the requested change(s). Your request should meet the requirements of
the regulations at 34 CFR 5b.7.
Record source categories:
The information in this system comes from the data collected from
the subject individuals and individual schools.
Systems exempted from certain provisions of the act:
None.
18-13-04
System name:
Outcomes of Diversity in Higher Education Study.
Security classification:
None.
System location:
National Institute on Postsecondary Education, Libraries, and
Lifelong Learning, U.S. Department of Education, 555 New Jersey
Avenue, NW., Room 627, Washington, DC 20208-5531. See the Appendix at
the end of this system notice for additional system locations.
Categories of individuals covered by the system:
This system contains data on the following individuals: (1)
Approximately 5500 students who were first-time freshmen in Fall 1998
at 9 four-year institutions of higher education; (2) approximately
300 faculty who teach freshmen at those institutions; and (3)
approximately 45 administrators of those institutions. There will be
follow-up data for spring of 1999 and spring of 2000 on the initial
set of freshmen respondents.
Categories of records in the system:
This system consists of responses to survey instruments and
interview protocols. In addition to background and demographic data,
the survey instruments include sets of items concerning perception of
institutional commitment to diversity, attitudes, campus climate,
knowledge of multiple cultures and pedagogy. The opinions of
students, faculty and administrators concerning diversity and
multiculturalism are also represented.
Authority for maintenance of the system:
20 U.S.C. 6031 (h) (Supp. 1998).
Purpose(s):
The information contained in the system is used for the following
purposes: (1) To increase understanding of the effects of diversity
in higher education on all students by examining incoming attitudes
of first-time freshmen and changes in attitudes and cognitive
development concerning issues of diversity and multiculturalism; and
(2) to assess pedagogy and student participation, attainment,
development, attitudes and knowledge.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Contract Disclosure. When OERI intends to contract with a
private firm for the purpose of collating, analyzing, aggregating,
maintaining, appending, or otherwise refining records in this system,
the Director 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 GEPA (20U.S.C. 1221e-
1(d)(4)) with respect to such records.
(2) Research Disclosure. Where the Director determines that an
individual or organization is qualified to carry out specific
research, the Director 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 and location files will be stored on separate
computer diskettes.
Retrievability:
Aggregate files may be retrieved by title of survey. The location
files will be destroyed upon completion of this project as there will
be no future need to retrieve an individual record. Only the
completed interview protocols will be retained in hard copy by title
of individual interviewed at each of the nine institutions.
Safeguards:
The research files and location files cannot be merged in the
form maintained and stored since the identification codes on each
file are different. They can be related by use of an encryption
algorithm known only to a few staff authorized to work with the data
files. When in active use for editing, tabulation and analysis, files
of information and identifiers will not be kept together unless
necessary for data processing. Tapes, discs and questionnaires will
be kept in locked files.
Retention and disposal:
The records will be kept for five years after the final survey
administration, in spring of 2000. In the spring of 2005, the records
will be transferred to the Federal Records Center, where, after 15
years, they will be destroyed.
System manager(s) and address:
Director, National Institute on Postsecondary Education,
Libraries and Lifelong Learning, U.S. Department of Education, 555
New Jersey Avenue, NW., Room 627, Washington, DC 20208-5531.
Notification procedure:
If you wish to determine whether a record exists regarding you,
contact the system manager at the address listed above. Your requests
must meet the requirements in the regulations at 34 CFR 5b.5.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
If you wish to contest the content of a record, contact the
system manager. Any requests to amend a record must meet the
requirements of 34 CFR 5b.7.
Record source categories:
Information in the records comes from the responses to survey
instruments.
Systems exempted from certain provisions of the act:
None.
Appendix to 18-13-04
Additional System Locations
Mathtech, Inc., 6402 Arlington Blvd., Suite 1200, Falls Church, VA
22042-2356.
Mathtech, Inc., 202 Carnegie Center, Suite 111, Princeton, NJ 08540-
6239.
Mathtech, Inc., 180 Pembrooke Circle, Phoenixville, PA 19460.
18-13-05
System name:
Education Publications Center (ED PUBS).
Security classification:
None.
System location:
Education Publications Center, U.S. Department of Education, 8242
Sandy Court, Jessup, MD 20794.
Categories of individuals covered by the system:
This system contains records on individuals who contact ED PUBS
to request products from the U.S. Department of Education.
Categories of records in the system:
This system contains the name, address, and telephone number of
the individuals, as well as what product those individuals request.
Authority for maintenance of the system:
Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C.
6051 (Supp. I, 1995).
Purpose(s):
The information in this system is used to disseminate the
Department's products to the public.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (the Department) may disclose
information contained in a record in this system of records under the
routine uses listed in this system of records without the consent of
the individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Privacy Act, under a computer
matching agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(5) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(6) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between
the component and a labor organization recognized under Title V of
the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(8) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are retained in hard copy and in a computer database.
Retrievability:
The records are retrieved by name and by title of requested
product.
Safeguards:
Access to the ED PUBS records is limited to internal Department
designees, warehouse switchboard operators, and ED PUBS management
personnel. All physical access to the Department 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 offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department and contract staff on a
``need to know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
of records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
Retention and disposal:
Records are deleted upon revision or update.
System manager(s) and address:
Executive Director of the National Library of Education, U.S.
Department of Education, 400 Maryland Ave, SW., Suite 4W317,
Washington, DC 20202-5523.
Notification procedure:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the Department's Privacy Act regulations at
34 CFR 5b.5, including proof of identity.
Record access procedures:
If you wish to access a record regarding you in the system of
records, contact the system manager. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.5, including proof of identity.
Contesting record procedures:
If you wish to contest a record regarding you in the system of
records, contact the system manager. Your request must meet the
requirements of the Department's Privacy Act regulations at 34 CFR
5b.7, including proof of identity.
Record source categories:
The information in this system is obtained from the individuals
who contact ED PUBS.
System exempted from certain provisions of the act:
None.
18-14-01
System name:
Educationally Disadvantaged Students Attending Private Schools
Served Through Bypass Contracts.
Security classification:
None.
System location:
Contractor serving the State of Virginia: Nonpublic Educational
Services, Inc., 14416 Jefferson Davis Highway, Suite 11, Woodbridge,
VA 22191.
Contractor serving the State of Missouri: Blue Hills Homes
Corporation, 1020 East 63rd Street, Kansas City, MO 64110.
Categories of individuals covered by the system:
This system contains records on selected elementary and secondary
school students whom:
(1) Attend private schools;
(2) Reside in target areas of bypassed local educational
agencies; and
(3) Participate in the program for students who are failing or
most at risk of failing under Title I of the Elementary and Secondary
Education Act of 1965 as amended.
Categories of records in the system:
This system contains student documents such as test scores,
report cards, individual instructional records and reports from
teachers to other teachers and parents.
Authority for maintenance of the system:
Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C.
6321.
Purpose(s):
The information contained in this system is used for a variety of
purposes. The standardized test scores obtained at the beginning of a
year are used to determine the eligibility of students for
participation in the Title I program. The report cards and reports of
Title I teachers to regular classroom teachers and to parents are
used to report the progress students are making during the school
year. The scores on the achievement tests given at the end of a
school year are used to measure the progress students have made
during the year and the degree to which the objectives of the Title I
progress have been met. The purpose of the individual instructional
record is to provide a plan for meeting the students' instructional
needs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record on this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Educational Disclosures. Title I teachers make information
contained in this system of records available to regular classroom
teachers and to the parents of those students to explain the
eligibility of students and their progress in the Title I program.
Supervisors of the Title I teachers also use the information
contained in this system of records as a part of the monitoring
process to measure progress being made toward achieving program
objectives.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member's right to the information is no greater
than the right of the individual who requested it.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(5) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose
a record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records,
or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to
the receiving entity's decision on the matter.
(7) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(8) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of
the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(9) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(10) Research Disclosure. The Department may disclose records to
a researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
Disclosure to consumer reporting agencies:
Not applicable to this system of records.
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 a locked filing cabinet in the Title I
classroom. After a student no longer participates in the program, his
or her records are transferred to the contractor's office or storage
facility where they are stored in locked filing cabinets.
Retrievability:
The records are indexed by student names, school attended and
year of attendance at that school.
Safeguards:
The records are secured in a locked filing cabinet. The key is
kept by the Title I teacher. After a student no longer participates
in the program, the records are transferred to the contractor's
office or storage facility where they are stored in a locked filing
cabinet. Direct access is restricted to the Title I 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 or storage
facility for at least three years after final payment on the
contract. Disposal of records are in accordance with the Department
of Education Records Disposition Schedules (ED/RDS).
System manager(s) and address:
Director, Compensatory Education Programs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W230, Washington, DC
20202.
Notification procedure:
If a student or his or her parent or guardian wishes to determine
whether a record exists regarding them in this system of records, he
or she must notify the appropriate contractor for the State served by
the bypass contract. The name and address of the appropriate
contractor is listed under the system location of this notice. 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 regulations at 34 CFR 5b.5.
Record access procedures:
In order to gain access to a record in this system, you should
contact the contractor listed in the system location or the system
manager. You should provide the contractor with the information
listed in the Notification Procedure of this notice and reasonably
specify the record contents being sought. The request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest the content of the record of a
participating Title I student, you should contact the contractor for
the State served by the bypass contract. You should identify yourself
and state, in writing, which portion of the record you desire to be
changed and provide a justification and authorization for the change.
The contractor will forward the request to the system manager. The
request must meet the requirements of the regulations at 34 CFR 5b.7.
Record source categories:
The information in this system comes from test scores on
achievement tests for program eligibility administered at private
schools and class performance information from the regular class
teachers.
Systems exempted from certain provisions of the act:
None.
18-14-02
System name:
Fellowships for Indian Students--Applications and Awards.
Security classification:
None.
System location:
Office of Indian Education, Office of Elementary and Secondary
Education, 1250 Maryland Avenue, SW., Room 4300, Portal Building,
Washington, DC 20202-6335.
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 Department'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:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual if the disclosure is compatible with the purpose for which
the record was collected. These disclosures may be made on a case-by-
case basis or, if the Department has complied with the computer
matching requirements of the Act, under a computer matching agrement.
(1) Advisory Council Disclosure. Information may be released to
members of the National Advisory Council on Indian Education.
(2) Field Readers Disclosure. 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.
(3) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(4) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) or (d) of this routine use
under the conditions specified in those paragraphs:
(i) The Department of Education, any component of the Department;
or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee; or
(iv) Any Department employee in his or her official capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
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
Department 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 maintained and disposed of in
accordance with the Department of Education Records Disposition
Schedules (ED/RDS).
System manager(s) and address:
Director, Office of Indian Education, Office of Elementary and
Secondary Education, ATTN: Education Program Specialist for
Fellowships, U.S. Department of Education, 400 Maryland Avenue SW.,
Room 4300, Washington, DC 20202-6335.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
the year of the award, the name of the grantee institution, and type
of award. Your request must meet the requirements of the regulations
at 34 CFR 5b.5, including proof of identity.
Record access procedures:
To gain access to records regarding you in this system of
records, follow the Notification Procedure described above. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
Contesting record procedures:
If you wish to contest the content of a record regarding you in
this system of records, contact the system manager at the address
listed above and reasonably identify the record and specify the
information to be contested. Your request must meet the requirements
of the regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from the individual applicant and from
references submitted by the applicant on approved forms.
Systems exempted from certain provisions of the act:
None.
18-15-01
System name:
Bilingual Education Graduate Fellowship Program.
Security classification:
None.
System location:
U.S. Department of Education, Office of Bilingual Education and
Minority Languages Affairs, 330 C Street, SW., Room 5618, Washington,
DC 20202-6642.
Categories of individuals covered by the system:
This system contains records about individuals who apply for
acceptance in the program, and if approved, who participate in the
fellowship program.
Categories of records in the system:
This system consists of a variety of records relating to a
student's application for, and participation in, the fellowship
program. In addition to the student's name, the system contains the
student's address, telephone number, social security number, name of
the institution attended, amount of award, obligation status, degree
sought, field of study, and the name and address of the employer.
Authority for maintenance of the system:
Title VII, Part A of the Bilingual Education Act of 1994, as
amended (Pub. L. 103-382) (20 U.S.C. 7475 (1994)). The program
regulations are found in 34 CFR part 535.
Purpose(s):
The information contained in this system is used for the purposes
of administering the Bilingual Education Graduate Fellowship Program,
including enforcing the terms and conditions of the contracts signed
by the fellows, permitting the collections on loans, and locating
delinquent or defaulted debtors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine
uses listed in this system of records without the consent of the
individual, if the disclosure is compatible with the purposes for
which the record was collected. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the
computer matching requirements of the Act, under a computer matching
agreement.
(1) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(2) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any
applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged
with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed
below is involved in litigation or ADR, or has an interest in
litigation ADR, ED may disclose certain records to the parties
described in paragraphs (b), (c) and (d) of this routine use under
the conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity
if the Department of Justice (DOJ) has agreed to provide or arrange
for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which
the Department is authorized to appear, an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine
use to the adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative
or witness.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.
(5) Disclosure to the Department of Justice (DOJ). The Department
may disclose records to the DOJ to the extent necessary for obtaining
DOJ advice on any matter relevant to an audit, inspection, or other
inquiry related to the programs covered by this system.
(6) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5
U.S.C. 552a(m) with respect to the records in the system.
(7) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines
that the individual or organization to which the disclosure would be
made is qualified to carry out specific research related to functions
or purposes of this system of records. The official may disclose
records from this system of records to that researcher solely for the
purpose of carrying out that research related to the functions or
purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.
(8) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(9) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records
to OMB as necessary to fulfill CRA requirements.
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
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. 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(e). 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 and on an access-
controlled personal computer.
Retrievability:
The file is indexed by Social Security number or name. Data for
awards made under the Bilingual Education Graduate Fellowship Program
are retrieved by social security number or name.
Safeguards:
All physical access to the Department's 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 or visitor badge. The computer system employed by the
Department offers a high degree of resistance to tampering and
circumvention. This security system limits data access to Department
and contract staff on a ``need-to-know'' basis, and controls
individual users' ability to access and alter records within the
system. All users of this system of records are given a unique user
ID with personal identifiers. All interactions by individual users
with the system are recorded.
Retention and disposal:
Records of individual awards are destroyed five years after
cancellation, forgiveness, final payment to grantee, or audit, of the
loan, whichever is sooner. Records relating to those individuals who
are not approved to participate in the fellowship program are
transferred to the Federal Records Center and destroyed three years
after the date of rejection or withdrawal.
System manager(s) and address:
Education Program Specialist, Bilingual Education Graduate
Fellowship Program, Office of Bilingual Education and Minority
Languages Affairs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 5618, Switzer Building, Washington, DC 20202-6642.
Notification procedure:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
date of birth, social security number, and the name of the school
through which the award was obtained. You may present your request in
person at the system manager's address indicated above. Your request
must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
Record access procedures:
If you wish to gain access to a record regarding you in this
system of records, you should contact the system manager and provide
the information as described in the Notification Procedure. In order
to avoid excessive delays and exchanges of correspondence, you are
encouraged to request both notification and access at the same time.
Requests for access to a record should reasonably specify the
particular record content being sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
Contesting record procedures:
If you wish to contest information contained in a record in this
system of records, you 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 requested for
amendment; (3) whether a deletion, an addition, or a substitution is
being sought; and (4) the reason(s) for the requested change(s). You
should include in your requests any appropriate documentation
supporting the requested change(s). Your request must meet the
requirements of the regulations at 34 CFR 5b.7.
Record source categories:
Information is obtained from fellowship recipients, institutions
of higher education, and employers.
System exempted from certain provisions of the act:
None.
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) and the Hotline Complaint Files of the Inspector General ED/OIG
(18-10-0004) -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 Secs. 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 Secs. 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) and the Hotline Complaint Files of the Inspector
General ED/OIG (18-10-0004) ,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 and complaints that may be included in
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 Secs. 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 Secs. 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 Secs. 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 Secs. 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, as amended at 64 FR 31066, Jun. 9, 1999]
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 Secs. 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]