Department of Education ED http://www.gpo.gov/fdsys/pkg/FR-2009-01-23/pdf/E9-1261.pdf 18-12-07, TRIO Programs Annual Performance Report (APR) System (TRIO APR) http://www.gpo.gov/fdsys/pkg/FR-2010-04-19/pdf/2010-8959.pdf 18-11-10, Student Aid Internet Gateway (SAIG), Participation Management System http://www.gpo.gov/fdsys/pkg/FR-2010-06-14/pdf/2010-14238.pdf 18-10-01, Investigative Files of the Inspector General http://www.gpo.gov/fdsys/pkg/FR-2010-06-25/pdf/2010-15493.pdf 18-10-01, Investigative Files of the Inspector General--Correction http://www.gpo.gov/fdsys/pkg/FR-2010-07-12/pdf/2010-16926.pdf 18-10-04, Hotline Complaint Files of the Inspector General http://www.gpo.gov/fdsys/pkg/FR-2010-09-07/pdf/2010-22224.pdf 18-11-06, National Student Loan Data System (NSLDS) http://www.gpo.gov/fdsys/pkg/FR-2010-09-27/pdf/2010-24162.pdf 18-11-02, Common Origination and Disbursement (COD) System http://www.gpo.gov/fdsys/pkg/FR-2011-01-25/pdf/2011-1516.pdf 18-14-05, Indian Education--Individual Reporting on Regulatory Compliance Related to the Indian Education Professional Development program’s Service Obligation and the Government Performance and Results Act of 1993 (GPRA) http://www.gpo.gov/fdsys/pkg/FR-2011-04-05/pdf/2011-8067.pdf 18-13-24, Evaluation of Teacher Residency Programs http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15747.pdf 18-11-06, National Student Loan Data System (NSLDS) http://www.gpo.gov/fdsys/pkg/FR-2011-10-03/pdf/2011-19607.pdf 18-11-01, Federal Student Aid Application File http://www.gpo.gov/fdsys/pkg/FR-2011-10-24/pdf/2011-27337.pdf 18-13-25, IES Research Training Program Surveys: Predoctoral Survey, Postdoctoral Survey, Special Education Postdoctoral Survey

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.

18-01-01 Secretary’s Communications Control System.

None.

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.

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.

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.

5 U.S.C. 301.

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.

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 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).

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.

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.

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.

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.

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.

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.

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.

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.

Records are derived from documents addressed to or by the Secretary, the Deputy Secretary, Senior Officials or other officials of the Department.

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 Education Senior Management Biographies.

None.

Office of the Secretary, Office of Public Affairs (OPA), U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E200, Washington, DC 20202.

This system contains information on Department of Education (Department)senior management officials, including the Secretary, Deputy Secretary, Under Secretary, General Counsel, and Assistant Secretaries.

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.

5 U.S.C. 301

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.

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.

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.

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.

No safeguards are in place since the Department senior management officials agree to the release of this information to the general public.

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.

Deputy Director, Office of Public Affairs (OPA), U.S. Department of Education, 400 Maryland Avenue, SW., 7E200, Washington, DC 20202.

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.

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.

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.

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 Even Start Performance Information Reporting System and Experimental Design Study.

Deletion: The Department of Education deletes system of records 18-02-01, "Even Start Performance Information Reporting System and Experimental Design Study," 64 FR 30110-30112 (June 4, 1999), because the study has been completed.

18-03-01 Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the Drug-Free Workplace Act, and the Federal Acquisition Regulation.

None.

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.

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.

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.

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.

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.

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.

Storage:

Records are kept in file folders in locked file cabinets.

The records are indexed by the names of the individuals.

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.

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).

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.

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.

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.

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.

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 Education’s Central Automated Processing System (EDCAPS).

None.

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 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).

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.

44 U.S.C. 301.

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.

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).

Storage:

Records are maintained on microfilm, microfiche, disk packs and magnetic tapes and stored in a retrievable file system.

Records are indexed by name, or other individual identifier, and TIN. The records are retrieved by a manual or computer search by indices.

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.

Files are regularly updated. Records are maintained for ten years. Inactive records are purged from the automated file every five years.

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.

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.

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.

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.

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.

None.

18-03-03 Receivables Management System.

None.

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.

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.

Documents maintained in the system include: activity logs, copies of checks, contracts, court orders, letters of notice, promissory notes, telephone logs, and related correspondence.

Federal Claims Collection Act of 1966; Debt Collection Act of 1982; and the Debt Collection Improvement Act of 1996.

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.

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.

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.

The data will be retrieved by name, loan or case number, or Social Security number.

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.

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.

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.

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.

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.

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.

Information is obtained from Department program offices, debtors, court orders, and probation officers.

None.

18-03-04 Files and Lists of Potential and Current Consultants, Grant Application Reviewers Peer Reviewers, and Site Visitors.

None.

See the Appendix attached to this system notice.

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.

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).

20 U.S.C. 1221e-3(a)(1), (b), 1232, and 3474.

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.

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.

Storage:

Records are maintained in file cabinets or card files and (in limited locations) computer tapes and disks.

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.

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.

Records regarding an individual are destroyed 5 years after the last time the Department makes use of the individual’s services.

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.

Contact system manager of pertinent organizational component(s) and provide identification information required under 34 CFR 5b.5.

Same as notification procedure above.

Information provided voluntarily by individuals interested in serving as consultants, field readers, grant application reviewers, or site visitors.

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.

18-03-05 Travel Manager System.

None.

Office of Financial Management Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, room 4W202, Washington, DC 20202.

See the Appendix at the end of this system notice for additional system locations.

This system contains records on employees, former employees and other individuals authorized to travel at government expense for the Department of Education (the Department).

The system contains a variety of records related to travel expenditures and related expenses in order to reimburse employees, former employees and other individuals authorized to travel at the expense of the government for the Department. This system also includes names, social security numbers, residential addresses, office locations, phone numbers, itineraries, mode of travel, purpose of travel, dates of travel, amounts claimed and amounts reimbursed.

5 U.S.C. Chapter 57.

The records in this system are used to provide the Department with (1) necessary information on the travel and transportation costs and (2) management information reports for expense control purposes. The records in this system also will be used to ensure that travel reimbursements are appropriately processed.

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) Contractor 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 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) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(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 been requested to or has agreed to provide or arrange for representation for the employee;

(iv) Any Department employee in his or her individual capacity where the Department 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 or Judicial 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, 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 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: complaints, grievances, 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) 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).

Storage:

Records are maintained on a database server and in file folders in the Principal Offices of the traveler.

Records are retrieved by social security number and by name of individual.

The system of records will be secured by permitting only designated individuals within the Department to access the database. Furthermore, the designated individual’s access to personal computers, the network, and the system of records will require personal identifiers and unique passwords, which will be periodically changed to prevent unauthorized access. The building in which the system of records is housed is monitored by security personnel during business and non-business hours.

All records are to be retained for six years after which time they will be destroyed in accordance with the National Archives and Records Administration’s General Records Schedule (GRS) 9, Item 3.

Deputy Chief Financial Officer, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202

Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her from the system manager. A request for information pertaining to an individual should be in writing and should contain: name, address, social security number and particulars involved.

If you wish to gain access to your record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record, contact the system manager. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.

Information in this system comes primarily from individuals who submit travel vouchers for reimbursement after travel is performed. Some of the information is obtained from the payroll and personnel systems maintained by the Department of the Interior.

None.

Appendix to 18-03-05

Additional System Locations

Capitol Place, 555 New Jersey Avenue, NW, Washington, DC 20208.

Federal Building No. 6, 400 Maryland Avenue, SW Washington, DC 20202.

L’Enfant Plaza, 2100 Corridor, Washington, DC 20202.

Mary E. Switzer Building, 330 C Street, SW, Washington, DC 20202.

1990 K Street, NW, Washington, DC 20006.

Regional Office Building, 7th and D Streets, SW, Washington, DC 20202.

2100 M Street, NW, Washington, DC 20037.

1775 I Street, NW, Washington, DC 20006.

1255 22nd Street, NW, Washington, DC 20037.

400 Virginia Avenue, SW, Washington, DC 20202.

800 North Capitol Street, NW, Washington, DC 20001.

525 School Street, SW, 6th Street Entrance, Washington, DC 20407.

Union Center Plaza, 830 First Street, NE, Washington, DC 20202.

Region I McCormack PO & Ct Hs, Boston, MA 02109-4557.

Region II 65 Court St., Brooklyn, NY 11201-4916.

Region II Federal Building 150 Carlos Chardon Avenue Hato Rey, Puerto Rico 00918-1721.

Region III 100 Penn Square East, Suite 505, Philadelphia, PA 19107.

Region IV 61 Forsyth Street, SW, Atlanta, GA 30303.

Region IV 7890 Peters Road, Suite G-100, Plantation, FL 33324.

Region V 600 Superior Avenue, E Cleveland, OH 44114.

Region V 111 North Canal Street, Chicago, IL 60606.

Region VI 1999 Bryan Street, Suite 2700, Dallas, TX 75201.

Region VII 10220 N. Executive Hills Blvd, Suite 720, Kansas City, MO 64153-1367.

Region VIII Federal Building, 1244 Speer Blvd. Suite 310, Denver, CO 80204-3582.

Region IX 50 United Nations Plaza, San Francisco, CA 94102-4987.

Region X Jackson Federal Bldg. 915 Second Avenue, Seattle, WA 98174-1099.

18-04-01 Freedom of Information Act and Privacy Act Case Files.

None.

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.

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.

This system contains correspondence and other documents related to requests made by individuals pursuant to the Freedom of Information Act and the Privacy Act.

The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy Act of 1974, 5 U.S.C. 552a, as amended.

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.

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.

Storage:

Records are maintained in hard copy and in word processing software.

Records are retrieved by the name of the individual.

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.

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.

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.

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.

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.

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.

Information in this system of records is obtained from the individual to whom the information applies, officials of the Department, and official Department documents.

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 Freedom of Information Act and Privacy Act Tracking System.

None.

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.

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.

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.

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.

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.

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.

Storage:

These records are maintained on electronic media.

Records are retrieved by the name of the individual and the control tracking number.

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.

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)

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.

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.

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.

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.

Information in this system of records is obtained from the individual who submitted the request, officials of the Department, and official Department documents.

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.

18-04-03 ED Web Personalization Pilot Data Collection.

None.

Office of the Chief Information Officer, Web Services Group, U.S. Department of Education, Seventh and D Streets, SW., room 4923, ROB-3, Washington, DC 20202-5130.

All users of the U.S. Department of Education web site (www.ed.gov) who choose to personalize the web site.

The ED Web Personalization Pilot Data Collection contains user customization data. The system contains data elements such as customer first name, middle initial and last name; customer email address; Ed.gov ID and password; and information selection criteria such as desired subject(s), audience type, level(s) of education, resource type(s).

The general statutory authority is 40 U.S.C. 1425(b) and 44 U.S.C. Chapter 35.

The purpose of this system of records is to give ED customers the option of customizing the retrieval and delivery of web site content and services based on their interests.

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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) 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.

(2) Disclosure to the 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.

(3) 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.

(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) 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) 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 for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or foreign agency or other 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 entity’s jurisdiction.

Storage:

System records will be maintained on a database server as part of the www.ed.gov web site, and are backed up and archived onto electronic storage media.

Each record in this system is indexed and retrieved by a personal ID and password that is created by the user of the www.ed.gov web site.

All users of this system will have a unique user ID with a personal identifier.

This system does not use persistent cookies (data that a web server causes to be placed on a user’s hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education Web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public.

All physical access to the U.S. Department of Education web 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 U.S. Department of Education 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.

U.S. Department of Education web personalization customers can remove any information about their web preferences (i.e., the subjects, levels of education, types of resources, and audience-targeted materials in which they are interested), as well as any bookmarks or saved searches they have stored on the Department’s web pages. U.S. Department of Education customers, however, cannot delete their names, zip codes, or email addresses from the system (although they can replace it with other information). The system, however, automatically will purge any unused accounts after a certain period of disuse. If approval to continue the ED web personalization service is received before the end of pilot, ED will keep the existing registration database active to avoid forcing customers to reregister. If approval is not received, ED will delete all customer information from the database and disable the service. If the personalization service is continued, the Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 1.c. This schedule provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to, log-in files, password files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes.

Internet Project Manager, U.S. Department of Education, Office of the Chief Information Officer, 7th and D Streets, SW., Regional Office Building 3, room 4923-B, Washington, DC 20202.

If you wish to determine whether a record exists regarding you in this system of records, you may gain access to the system via the www.ed.gov web site, or by contacting the system administrator through the webmaster@inet.ed.gov email address. Requests for notification about an individual must meet the requirements of the regulations at 34 CFR 5b.5. Individuals may also present their requests in writing or in person at any of the locations identified for this system of records.

If you wish to gain access to a record in this system, follow the directions described in the Notification Procedure.

If you wish to change the content of a record in this system of records, you may gain access to the system and alter the record via the www.ed.gov web site and the system edit and update function. If you wish to contest the content of a record, contact the system manager by following the directions described in the Notification Procedure. Requests to amend a record must meet the regulations at 34 CFR 5b.7.

Information in this system is obtained from customers who use the www.ed.gov web site and complete the optional web site personalization. The personalization form provides the information contained within the system.

None.

18-05-01 Departmental Parking Control Policy.

None.

Director, Quality Workplace Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E315, Washington, DC 20202.

All Department employees and non-Department carpool members utilizing parking facilities.

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.

63 Stat. 377;41 CFR 101-20.111.

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.

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.

Storage:

Records are stored in binders in file cabinets.

Records are filed alphabetically by location.

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.

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.

Director, Quality Work Group (QWG), Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E315, Washington, DC 20202.

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.

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.

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.

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.

None.

18-05-02 Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights Amendment (PPRA) Record Systems.

None.

Family Policy Compliance Office, Office of Management, U.S. Department of Education, Room 2W100, Washington, DC 20202-4506.

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.

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.

Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and Protection of Pupil Rights Amendment (20 U.S.C. 1232h).

Information contained in this system is used to resolve disputes regarding violations of FERPA and PPRA.

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.

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.

Records are indexed under the names of institutions against which individuals are alleging violations of FERPA.

Direct access is restricted to FPCO staff; main files are left in locked file cabinets when not in use.

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.

Director, Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W100, Washington, DC 20202-4056.

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.

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.

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.

The information in this system is obtained from incoming correspondence, responses and material obtained during the course of any investigation.

None.

18-05-03 Federal Personnel Payroll System

None.

Department of Interior, Bureau of Reclamation, Management Operations Center, Division of Payroll Operations, 7333 West Jefferson Ave., Academy Place 1, Denver, CO 80235

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.

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.

5 U.S.C. 5101, et seq; 31 U.S.C. 3512; 20 U.S.C. 3461.

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.

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).

Storage:

Records are maintained on electronic media and in hard copy.

Records are retrieved by the employee’s name and Social Security number.

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.

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.

Director, Human Resources Systems, Human Resources Group, Office of Management, Department of Education, 400 Maryland Ave., SW, Room 2E108, Washington, DC 20202.

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.

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.

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.

Information in this system of records is obtained from individual employees, timekeepers and supervisors.

None.

18-05-04 Discrimination Complaints Records System.

None.

Equal Employment Opportunity Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue SW, Room 2W228, Washington, DC 20202-4550.

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.

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.

42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR part 1614.

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.

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.

Storage:

The records are maintained in file folders and binders inside a file room centrally situated within the EEOG office.

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.

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.

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.

Director, Equal Employment Opportunity Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-4550.

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.

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.

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.

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.

None.

18-05-05 Grievances Filed Formally Under the Administrative Grievance Procedure.

None.

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.

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.

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.

5 U.S.C. 1302.

The information contained in this system is to consider and settle matters of dissatisfaction or concern of covered individuals.

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.

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.

Records are indexed alphabetically by organization and year.

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.

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).

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.

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.

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.

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.

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.

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 Grievance Records Filed under Procedures Established By Labor-Management Negotiations.

None.

Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.

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.

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.

5 U.S.C. 7101.

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.

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.

Storage:

Records are maintained in hard copy and a list of individual names is maintained in electronic media.

Records are retrievable by file number which are cross-referenced by individual names.

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.

Records are destroyed 5 years after final resolution of case.

Director, Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.

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.

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.

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.

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 Unfair Labor Practice Records.

None.

Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.

This system contains records on present and past Department employees and union officials.

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.

5 U.S.C. 7101.

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.

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.

Storage:

Records are maintained in hard copy and a list of individual names are kept on electronic media.

Records are retrievable by file number which are cross-referenced by individual names.

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.

According to the Records Retention Schedule of the NARA, records are maintained for 5 years.

Director, Labor Relations Group, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.

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.

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.

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.

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 Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education.

None.

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.

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.

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.

Federal Service Labor Management Relations Statute (FSLMRS), 5 U.S.C. 7101.

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.

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.

Storage:

Records are maintained in hard copy and electronic media after transcription from hard copy.

Records are retrievable by name.

Records are stored in electronic databases stored in secured rooms with access limited to those whose official duties require access.

According to the National Archives and Records Administration’s General Records Schedules, records are maintained for 5 years.

Director, Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2C136, Washington, DC 20202-4754.

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.

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.

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.

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 Voluntary Leave Transfer (VLT) Program.

None.

Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202.

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.

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.

Pub. L. 100-566; 5 CFR 630.913.1.

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.

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.

Storage:

Records are stored in file folders in a manual filing system.

Records are retrievable by name of program recipient.

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.

Records are retained for one year after the end of the year in which the file is closed and are then destroyed.

Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202.

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.

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.

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.

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.

None.

18-05-10 General Performance Appraisal System (GPAS).

None.

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.

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.

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.

5 U.S.C. 43; Title 5, Code of Federal Regulations (CFR), part 430, Performance Management, subparts A and B.

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).

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.

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.

The GPAS records may be retrieved by an employee’s name or social security number.

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.

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.

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.

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 § 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.

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.

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.

The information in this system comes from the Department’s integrated personnel/payroll system, the employees, supervisors, and evaluation team members.

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 Training Registration and Information System (TRAINS).

None.

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.

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.

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.

5 U.S.C. 4103 (1994).

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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 Grievances Filed Informally Through the Informal Dispute Resolution Center (IDR Center).

None.

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.

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.

This system consists of IDR Center files.

5 U.S.C. 1302.

The information contained in this system is to consider and settle matters of dissatisfaction or concern of covered individuals.

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.

Storage:

Records are maintained in hard copy. Summary data of records are also maintained in a computerized tracking system.

IDR Center records are indexed by docket number.

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.

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).

Director, Informal Dispute Resolution Center, U.S. Department of Education, 400 Maryland Avenue, SW., Suite 2100 A, L’Enfant Plaza, Washington, DC 20202.

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.

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.

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.

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.

None.

18-05-13 Child Care Subsidy Program System.

None.

U.S. Department of Education, Office of Management, 400 Maryland Avenue, SW., room 2W200, Washington, DC 20202.

This system contains records on employees who apply for a subsidy for child care expenses, their spouses and the children who are enrolled in government-subsidized child care.

This system consists of records relating to an employee’s application for, and participation in, the child care subsidy program, including the employee’s name, their spouse’s name, the employee’s title, grade and salary, the employee’s home and work telephone numbers, the employee’s home and work addresses, the organization in which the employee works, the employee’s social security number, their spouse’s social security number, the employee’s tax returns, their spouse’s tax returns, the name and social security number of the child on whose behalf the parent is applying for a subsidy, the child’s date of birth, the date of entry into the Child Care Subsidy Program, and the amount of subsidy received; the name, address, telephone number, employer identification number (EIN), license and accreditation status of the child care center in which the employee’s child(ren) is (are) enrolled, and the dates of attendance.

Pub. L. 106-58 (113 Stat. 477).

The information contained in this system is used for the purposes of determining program eligibility and benefits, verifying the identity of the individual, verifying the eligibility of the child care center, investigating possible fraud and verifying compliance with regulations.

The Department of Education (the Department) may disclose information contained in a record in the systems of records under the routine uses listed in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. These disclosures may be made on a case-by-case basis.

(1) Disclosures to Child Care Providers. The Department may disclose information from this system of records to child care providers in order to verify a child’s dates of attendance at the provider’s facility.

(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 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) 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:

Not applicable.

Storage:

The records are maintained in hard copy and on a computer database.

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

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.

Records of individual are destroyed after five years.

Lead Program Specialist, Family-Friendly Programs, Work/Life Programs Group, Office of Management, 400 Maryland Avenue SW., room 2W200 Washington, DC 20202.

If you wish to determine whether a record exists regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above.

If you wish to access a record regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above.

If you wish to contest a record regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above.

Information is provided by Department employees who apply for a child care subsidy and from the child care providers.

None.

18-05-14 Human Capital Learning and Performance Improvement System (HCL&PIS;).

None.

U.S. Department of Education, Office of Management, Human Resources Services, Training and Development Team, 400 Maryland Avenue, SW., room 1W100, Washington, DC 20202-4614.

In addition to this location, the records of the Mentoring Program System also will be located at The Training Connection, Inc., 15700 Beacon Court, Montclair, VA 22026.

The following records for the currently existing or prospective programs may be decentralized:

• Competency Development System,

• Skills Assessment System,

• Learning Tracks System,

• Individual Development Plan System,

• Learning Management System,

• Knowledge Management System, and

• Employee Learning Account System.

The additional locations for these programs are listed in the Appendix at the end of this notice.

Categories of individuals may include all employees of the Department of Education (Department). The system contains records on Department employees who apply for and/or participate in the following programs:

• Mentoring Program System,

• Employee Learning Accounts,

• Tuition Reimbursement Program,

• Leadership and Management Development Program,

• Mobility Assignment Program,

• Upward Mobility Program,

• Evaluation System,

• Certificate Program,

• Career Intern Program, and

• Presidential Management Fellows Program.

The system also contains records on Department employees who request the following services:

• Career Counseling Services, and

• Organizational Development Process.

The system also contains records on Department employees who choose to access the following currently existing or prospective electronic or web-based systems:

• Competency Development System,

• Skills Assessment System,

• Learning Tracks System,

• Individual Development Plan System,

• Mentoring Program System,

• Learning Management System, and

• Knowledge Management System.

This system contains a variety of records related to Department employees’ applications for and/or participation in the following programs:

• Skills Assessment System,

• Learning Tracks System,

• Individual Development Plan System,

• Learning Management System,

• Competency Development System,

• Mentoring Program System,

• Knowledge Management System,

• Tuition Reimbursement Program,

• Employee Learning Account,

• Evaluation System,

• Leadership and Management Development Program,

• Career Counseling Service,

• Organizational Development Process,

• Mobility Assignment Program,

• Upward Mobility Program,

• Certificate Program, and

• Career Intern Program/Presidential Management Fellows.

Records in the system contain all or some of the following data: the individual’s name, address, social security number, position level, pay plan, grade, series, supervisor, organization in which employed, building, room, telephone number, history of internal/external training attended and other learning and development activities for which the employee participated, associated training costs, competencies needed to perform a job, skill strengths and skill development needs; and short- and long-term career development plan, goals and objectives.

5 U.S.C. sections 3301, 3302, 4103, 4109, and 4115; Executive Orders 13162 (authorizing the Career Intern Program) and 13318 (authorizing the Presidential Management Fellows Program).

The purpose of the HCL&PIS is to implement the President’s Management Agenda and to achieve the Department’s One ED initiatives by strategically aligning the Department’s human capital resources with its mission, core values, goals and objectives. The Department’s ultimate objective is to ensure that the right people with the right skills are in the right jobs. And, in order to sustain a high performing workforce that is continuously improving in productivity, various systems and programs are designed and integrated to allow the Department to identify, develop, track and manage the learning and development of its human capital. This comprehensive systems development approach to learning and performance improvement allows Human Resources Service’s (HRS) Training and Development Team (TDT) to identify skills needed for the current and future workforce, to design and implement activities to correct skill gaps and imbalances, and to capture the best-in-practice knowledge and skills of employees who leave the Department. The Department’s approach to aligning its human capital resources to its mission includes and consists of implementation of these programs, services, and electronic or web-based systems:

Learning Management System (LMS)

The Learning Management System (LMS) will serve the following purposes: (1) To track course enrollments by Department employees; (2) to provide course rosters; (3) to produce attendance records for Department employees who attend internal training classes; (4) to produce reports on an individual employee’s training activities; (5) to produce reports on training activities conducted by individual organizations within the Department; and (6) to allow Department employees to request approval to attend training activities conducted outside the Department.

Competency Development System (CDS)

Competencies are specific knowledge, skills, abilities, characteristics, and behaviors that enhance job performance. Therefore, the CDS will identify competencies for each critical job function within the Department and allow employees within those job functions or who aspire to move into those job functions to identify the level of promotion progression within those jobs and the level of performance required to carry out those functions.

Skills Assessment System (SAS)

Once an individual has identified, through the CDS, the necessary competencies for a specific job function and the expected level of performance at each grade interval, the purpose of the SAS is to help the employee to self-assess and measure, at the various grade intervals, the individual’s ability to perform a specific skill and his or her knowledge of a particular job function. Another assessment component will allow the employee to identify individual training needs, including the types of training desired and the varying delivery formats (i.e., classroom or e-learning). In addition, other self-assessment components will be facilitated, analyzed and interpreted by a certified consultant and will allow the employee to assess his or her behavior and interpersonal style in relation to various work environments and to determine areas for improvement. Use of any component of the SAS is voluntary, and information is maintained only on those employees who access the SAS.

Learning Tracks System (LTS)

As a result of the skills assessment, employees may identify existing skills they need to enhance or new skills they need to develop. The LTS will serve the purpose of helping an employee link a specific job function and its levels of performance to various learning and development activities that are available (internally and externally) to the Department.

Individual Development Plan (IDP) System

In addition, as a result of the data identified in the LTS, the IDP system will allow employees to chart a selected learning track and develop a plan of action with objectives that will help them achieve three to five year career goals. The IDP will guide employees through a process of setting short- and long-term developmental objectives and identifying learning activities that will enhance those skills necessary to achieve high performance in their current job function and/or prepare for future career transition goals.

Mentoring Program System (MPS)

The MPS is a learning and development option that complements the traditional classroom training, conference attendance, and e-learning opportunities made available to employees. The MPS will allow a process for creating an environment for one-on-one working relationships. One person invests time, know-how, and effort in enhancing another person’s growth, knowledge and skills and responds to that person’s critical professional needs in order to help prepare the individual for greater productivity or achievement. In addition, the MPS will focus on developing leaders into coaches, enhancing their ability to influence others, and ingraining a willingness in them to accomplish organizational values, principles and vision. The system will ultimately allow managers and team leaders to train and orient employees to the realities of the workplace and help employees remove any barriers to achieving optimum work performance.

Knowledge Management System (KMS)

The KMS will serve the purpose of establishing a systematic process for identifying, capturing and transferring information and knowledge that can be used to create, complete and improve job functions. The KMS will increase the Department’s ability to capture best-in-practice data, share the knowledge, and review past strategic plans, key business initiatives and customer relationships. In addition, having access to this type of historical data will allow Department employees and officials to make better informed decisions for overcoming current barriers and carrying out the organization’s mission.

Tuition Reimbursement Program (TRP)

The TRP expands the opportunities for Department employees to pursue higher education learning at a college or university of their choice that is strategically linked to their current job or the mission of the Department. The purpose of this program is to enable the Department to retain and recruit highly skilled employees necessary to carry out mission critical functions within the Department. Courses can be taken through traditional classroom learning or e-learning. Employees receive tuition reimbursement for successfully completing pre-approved graduate or undergraduate job-related courses.

Employee Learning Account (ELA)

The purpose of an ELA is to set aside a specified amount of resources such as dollars, hours, or learning technology tools (e.g., access to the Internet, use of government computers at an employee’s desk, or time away from the office) or a combination of these options for an individual employee to use for his or her learning and development. ELAs move the Department’s focus to continuous learning and strategic workforce development and integrates resources for training with balancing work and learning time. ELAs can benefit both managers and employees because they improve organizational performance through targeting employees’ specific learning needs and involve employees in their own development.

Evaluation System (ES)

The ES will help the TDT measure the effectiveness of the content of training courses; the transfer of knowledge to the participant; the ability of the employee to apply the learning back on the job; and the goals achieved as a result of the employee participating in the learning. The analysis of the data allows TDT to make improvements to the systems and programs as necessary and ensures accountability for results.

Leadership and Management Development Program (LMDP)

The LMDP supports the Department’s goal of ensuring management excellence to foster accountability and achieve strategic business outcomes. The purpose of the program is to enhance the ability of leadership to manage effectively their organization, maintain productive interpersonal relationships with subordinates, peers and upper level management, manage conflict, and balance work and life. The focus of the program evolves around the following Executive Core Qualifications: Leading Change, Leading People, Results Driven, Business Acumen and Building Coalitions/Communications.

Career Counseling Service (CCS)

The CCS assists employees with selecting alternatives for their career progression. The purpose of CCS is to provide on-site, confidential, one-on-one career counseling that helps individuals explore their future and match their interests and skills to their career plans. The counselors help employees develop their career profiles and individual development plans to utilize their strengths, maximize their potential, and put them on the path to achieving their goals. Employees determine their potential interests, interpersonal styles and basic skills through various adult-learning techniques. Employees can take charge of their individual development through the CCS. In addition, guidance is provided to employees and/or team leaders to create a comprehensive development plan that will contribute to individual and organizational effectiveness.

Organizational Development Process (ODP)

The purpose of an ODP is to offer principal offices (POs) the opportunity to review their organizational effectiveness in preparation for a reorganization initiative or significant organizational change. In conducting the review, TDT partners with leading management consulting firms staffed with highly respected experts in the fields of organizational development and psychology. They conduct reviews that are tailored to the needs of the organization and can cover such areas as: operating structure, leadership, customer satisfaction, employee satisfaction, organizational performance, and human resource needs. Throughout the review, POs are provided with updates on any emerging trends. In addition, the POs are provided with a report and briefing describing the findings, recommendations and next steps.

Mobility Assignment Program (MAP)

The Mobility Assignment Program (MAP) is designed to provide opportunities for employees to participate in detail assignments offering new skills, perspectives, and knowledge. MAP creates avenues for Department employees to gain experience in program areas in which they have not previously worked, thereby enhancing their skills and broadening their knowledge base. MAP details can last from 30 days to one year. MAP participants who are on a detail assignment for more than 120 days must have an individual development plan (IDP).

Upward Mobility Program (UMP)

The purpose of the UMP is to provide an opportunity for lower level employees whose current job provides limited or no opportunity for advancement, to enter a new career field in a technical, administrative or trade occupation that provides growth potential. The program allows an employee to develop specific skills that will prepare the employee for an identified target position. This program is initiated by the employee’s supervisor and is part of a larger career development system that includes creating a position vacancy, developing an IDP, receiving career counseling, completing developmental activities and obtaining a promotion.

Certificate Program (CP)

The purpose of the CP is to provide professional certification for job functions that include, but are not limited to, Information Technology, Accounting, Project Management and Financial Management. Employees within these job functions have the opportunity to enhance their knowledge and skills, stay abreast of the most current practices within their fields, and earn credit hours to maintain the necessary licenses or credentials required in their professions. Employees participate in a formal program that consists of several classes presented by a local college/university or an accredited institution.

Career Intern and Presidential Management Fellows Program (CIP&PMF)

The CIP and PMF Programs are special hiring authorities for recruitment and hiring of entry-level employees into professional career fields. Program participants must create and complete an Individual Development Plan, which identifies the learning objectives and describes the on-the-job and formal learning experiences that the intern will undertake. Progress towards completion of the program objectives and activities is monitored through records of course completions and evaluations of assignments. Successful completion of these programs leads to promotion and/or conversion to a permanent position.

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) Enrollment and Payment Disclosure. The Department may disclose a record in this system of records to course or learning providers for enrollment purposes. Disclosures may also be made to course or learning providers to ensure that appropriate payments are being made to employees requesting reimbursement of their expenses.

(2) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or to arrange for representation of the employee;

(iv) Any Department employee in his or her individual capacity where the Department 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 DOJ. If the Department determines that disclosure of certain records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, Counsel, Representatives and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

(3) Freedom of Information Act (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 FOIA or other authority permitting disclosure of records, disclosure may be made to DOJ or the Office of Management and Budget for the purpose of obtaining advice.

(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) 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.

(6) Congressional Member Disclosure. The Department may disclose to a member of Congress the records 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 for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or other agencies responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility within the entity’s jurisdiction.

(8) 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 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.

(9) 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 competency determination proceedings. The disclosure may only be made during the course of the proceeding.

(10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

Disclosure to consumer reporting agencies:

Not applicable to this system of records.

Storage:

The following programs, services, and systems are maintained in hard copy and on a networked computer database with backup procedures standard to all Department servers: CDS, SAS, LTS, IDP, ES, LMS, KMS, TRP, ELA, LMDP, CCS, ODP, MAP, UMP, CP, CIP, and PMF. The MPS is maintained on a contractor’s leased/licensed system. Hard copies will be maintained in locked file cabinets.

The records are retrieved by a manual or computer search by indices. The TDT staff, designated employees, and contractors who support the TDT staff can access data in the systems by employee name or other individual identifiers.

All physical access to the sites within the Department where the system of records is maintained are controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. Direct access to the system of records is restricted to authorized Department staff performing official duties. All hard copy records are maintained in locked file cabinets. Authorized staff is assigned passwords that must be used for access to computerized data. The systems-access passwords are changed frequently. The data is maintained in a secured-access area. All users of the system of records are given unique user IDs with personal identifiers. At a program/server level all interactions by individual users with the system are recorded. The databases will be protected by stringent security mechanisms that include a combination of hardware, operating systems, application software, and database software and procedures. The license holder will also maintain records for the Mentoring Program System. All information sent to the contractor’s site for MPS is encrypted protecting against disclosures to third parties. Once data is received at the contractor’s website, the contractor for MPS will follow the same safeguards as listed above.

The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 1, Item 29, for Training Records.

Director, Human Resources Services, Training and Development Team,

Human Resources Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 1W100, Washington, DC 20202-4614.

If an individual wishes to inquire whether a record exists regarding him or her in this system, the individual should provide his or her name and social security number to the appropriate system manager. Such request must meet the requirements of the Department’s Privacy Act regulations in 34 CFR 5b.5, including proof of identity.

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 34 CFR 5b.5.

If an individual wishes to request an amendment to a record pertaining to himself or herself that is contained in the system of records, he or she should contact the appropriate system manager with the information described in the notification procedure, identify the specific items requested to be changed, and provide a justification for such change. A request to amend a record must meet the requirements in 34 CFR 5b.7.

Information in this system of records is obtained from the individual to whom the information applies. Additionally, the system may obtain additional information from the Department’s Federal Personnel Payroll System (FPPS). The FPPS database may be used to provide the employee’s social security number, name, grade, job series and service computation date. Supervisor and locator information (building/room/phone number, etc.) and all other information is manually provided by the TDT administrative staff, contractors supporting TDT, the individual employee and/or the supervisor of the employee.

None.

Appendix to 18-05-14--Additional Systems Locations

• Capital Place, 555 New Jersey Avenue, NW., Washington, DC 20208.

• Federal Building 6, 400 Maryland Ave., SW., Washington, DC 20202.

• Mary E. Switzer Building, 330 C Street, SW., Washington, DC 20202.

• L’Enfant Plaza, 2100 Corridor, Washington, DC 20202.

• Regional Office Building, 7th and D Streets, SW., Washington, DC 20202.

• 1990 K Street, NW., Washington, DC 20006.

• Union Center Plaza, 830 First Street, NE., Washington, DC 20202.

• Potomac Center, 555 12th Street, SW., Washington, DC 20024.

• Region I, McCormack Post Office and Courthouse, Boston, MA 02109.

• Region II, 75 Park Place, New York, NY 10007.

• Region III, 100 Penn Square East, 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 N. Executive Hills Blvd., Kansas City, MO 64153.

• Region VIII, 1244 Speer Blvd., Denver, CO 80204.

• Region IX, 50 United Nations Plaza, San Francisco, CA 94102.

• Region X, 915 Second Avenue, Seattle, WA 98174.

18-05-15 Student Loan Repayment Benefits Case Files.

None.

Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E300, FOB-6, Washington, DC 20202-4573.

This system contains records and related correspondence on individuals who are being considered for student loan repayment benefits under the Department of Education’s Personnel Manual Instruction 537-1 entitled "Repayment of Federal Student Loans," as well as individuals who have been approved for and are receiving such benefits.

This system contains correspondence and other documents related to requests made by selecting officials or supervisors to offer student loan repayment benefits to recruit or retain highly qualified employees. This system contains: (1) Request letters from selecting official or supervisor with supporting documentation; (2) employee’s (or potential employee’s) names, home and work addresses, social security numbers, student loan account numbers, loan balances, repayment schedule, repayment history, and repayment status; and (3) the loan holder’s name, address and telephone number.

The Floyd D. Spence National Defense Authorization Act of Fiscal Year 2001 (Pub. L. 106-398); 5 U.S.C. 5379, as amended, and regulations to be codified at 5 CFR part 537.

These records are maintained to determine eligibility and benefits and to process requests to offer student loan repayment benefits to employees under authority set forth at 5 U.S.C. 5379. The records are used by the Department to prepare its reports for OPM, as is required by 5 CFR 537.110. The Department will also refer information from this system to loan holders for collection activities in the case of any student loan default or delinquency that becomes known to the Department in the course of determining an employee’s (or potential employee’s) eligibility for student loan repayment benefits because of the Department’s mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers.

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) Personnel Management Disclosure. The Department may disclose as a routine use to OPM any records or information in this system of records that OPM requests or requires pursuant to OPM’s oversight and regulatory functions.

(2) Salary Offset or Debt Collection Disclosures. The Department may disclose records in this system to other Federal agencies, hearing or court officials, and present employers of an employee in order for the Department to obtain repayment, if an employee fails to complete the period of employment under a service agreement and fails to reimburse the Department the amount of any student loan repayment benefits the employee received from the Department.

(3) Disclosure to other Federal agencies. The Department may disclose records in this system to its payroll processing provider in order to calculate tax withholdings and disburse payments of student loan repayment benefits to loan holders on behalf of employees approved to receive this benefit.

(4) Disclosure to Student Lending Institutions or Loan Holders. The Department may disclose to student lending institutions or loan holders records from this system as a routine use disclosure in order to obtain information (such as the borrower’s account number, original and current loan balance, repayment schedule, repayment history, and current repayment status) to allow the Department to determine an employee’s or potential employee’s initial and continuing eligibility for this program, to facilitate accurate payments to student loan holders on behalf of eligible employees, and to ensure the Department discontinues making student loan repayments to individuals who do not remain eligible for them during the period of the service agreement. The Department also may disclose to loan holders records from this system of records as a routine use disclosure in the event it becomes known to the Department during the course of its program eligibility determinations that an individual is past due, delinquent, or in default of a federally insured student loan so that the Department can facilitate the loan holder’s collection of any past due, delinquent or defaulted student loans, because of the Department’s mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers.

(5) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(6) 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.

(7) 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 Department requests representation for or 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

(8) 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.

(9) 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: a complaint, a grievance, or a discipline or competence determination proceeding. The disclosure may only be made during the course of the proceeding.

(10) Freedom of Information Act (FOIA) Advice Disclosure. TheDepartment may disclose records to DOJ and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA.

(11) 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 program covered by this system.

(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) 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 PrivacyAct safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

Disclosures 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).

Storage:

Records are maintained in hard copy and may be retained in electronic form accessible with office automation software on a Department personal computer in offices of the Human Resources Group.

Records are retrieved by the name of the individual.

Hard copy records are stored in a locked metal filing cabinet, with access limited to personnel whose duties require access. Electronic records are stored on computer diskette that is secured in a locked metal filing cabinet, with access limited to personnel whose duties require access. Personal computers used to view the electronic media are password protected; passwords are changed periodically throughout the year. All physical access to the building 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.

Service agreements between the Department and an employee and related supporting documents resulting in approval for program benefits will be retained for a period of three years after the employee satisfies the terms and conditions of the agreement. All other documents will be retained in accordance with the National Archives and Records Administration GeneralRecords Schedules (GRS) 1.

Director, Human Resources Group, U.S. Department of Education, 400Maryland Avenue, SW, room 2E300, FOB-6, Washington, DC 20202-4573.

If you wish to inquire whether a record exists regarding you in this system, you should contact the system manager at the address listed above. You must provide your name, 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.

If you wish to request access to your records, you should contact the system manager at the address listed above. You must comply with the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

If you wish to request an amendment to your records, you should contact the system manager at the address listed above. Your request must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7.

Information in this system of records is obtained from the individual to whom the information applies, lending institutions holding student loans for the individual to whom the information applies, officials of the Department, and official Department documents.

None.

18-05-16 Identification Media Records.

Deletion: The Department identifies the system of records entitled Identification Media Records (18-05-16), as published in the Federal Register on December 26, 2002 (67 FR 78794-96), to be deleted because it has been merged into and consolidated with the system of records 18-05-17, Investigatory Material Compiled for Personnel Security, Suitability, Positive Identification Verification and Access Control for the Department of Education Security Tracking and Reporting System (EDSTAR).

18-05-17 Investigatory Material Compiled for Personnel Security, Suitability, Positive Identification Verification and Access Control for the Department of Education Security Tracking and Reporting System (EDSTAR).

None.

(1) Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-5345.

(2) U.S. Department of Education, Data Center, 6710 Oxon Hill Road, Oxon Hill, MD 20745-1117.

(3) U.S. Office of Personnel Management (OPM), Federal Investigations Processing Center, P.O. Box 618, 1137 Branchton Road, Boyers, PA 16018-0618.

(4) Verisign, 487 E. Middlefield Road, Mountain View, CA 94043-4047.

(5) U.S. Department of Justice (DOJ), DOJ Rockville Data Center, 1151-D Seven Locks Road, Rockville, MD 20854-0001.

This system contains information on applicants seeking Federal or contract employment with the Department, current Federal employees and contractors, and other persons or entities doing business with the Department, or persons either seeking unescorted access to the facilities, or access to the information systems of the Department, or both. The system does not cover term employees of less than 30 calendar days with monitored access to either the Department’s facilities or information system, or both. Nor does it cover occasional visitors or short-term guests to the Department to the extent that they are issued non-Personal Identity Verification (PIV) temporary identification.

This system consists of records containing 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 may include information pertaining to the individuals’ character, conduct, and loyalty to the United States as relevant to determination of their suitability for employment in the Department. This system of records may include an individual’s name, former names, birth date, birth place, Social Security number, home address, phone numbers, employment history, residential history, education and degrees earned, names of associates and references and their contact information, citizenship, names of relatives, birth dates and birth places of relatives, citizenship of relatives, names of relatives who work for the Federal government, mental health history, drug use, financial information, summary report of investigation, results of suitability decisions, level of security clearance, date of issuance of security clearance, requests for appeal, witness statements, investigator’s notes, tax return information, credit reports, security violations, circumstances of violation, and agency action taken.

These records also 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 OPM investigation or a Federal Bureau of Investigation Section 8(d) full field investigation.

(7) Personal access logs of individuals entering access controlled space.

(8) Public Key Infrastructure (PKI) Certificates issued under direct guidance from Homeland Security Presidential Directive (HSPD)-12 and Federal Information Processing Standard (FIPS)-201.

(9) Personal fingerprint records for identification and criminal records checks.

(10) Other information developed from the previous sources.

In addition, this system contains records maintained on individuals issued PIV credentials by the Department. These records may include the following data fields: Full name; Social Security number; date of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight; organization or office of assignment; company name; copy of background investigation form; PIV card issuance and expiration dates; personal identification number (PIN); results of background investigation; PIV request form; PIV registrar approval signature; PIV card serial number; emergency responder designation (if applicable); copies of documents used to verify identification or information derived from those documents such as document title, document issuing authority, document number, document expiration date, document other information); level of national security clearance and expiration date; computer system user name; user access and permission rights, authentication certificates; and digital signature information. For those issued non-PIV identification these fields do not apply.

Note 1: OPM and DOJ issue the standard forms used to collect information in this system, i.e. Standard Form (SF) 85, SF-85P, SF-85PS, SF-86, SF-87, and Fingerprint card FD-258.

Note 2: To the extent that the Department has records of a personnel investigative nature that come from OPM or its contractors, these records are covered by OPM/CENTRAL-9, Personnel Investigations Records, and are not covered by this system notice.

HSPD-12, Policy for a Common Identification Standard for Federal Employees and Contractors (August 27, 2004); Executive Orders 10450, 18 FR 2489, 3 CFR 1949-1953 Comp., p. 936); 10577 (3 CFR 1954-1958 Comp., p. 218); and 12968 (Access to Classified Information); 5 U.S.C. 3301 and 7301; Federal Property and Administrative Act of 1949, as amended through Public Law 106-580; and 5 CFR parts 5, 731, 732, and 736.

Records in this system are maintained to assist in making determinations concerning suitability for Federal employment, security clearances, access to classified information, unescorted access to Federal government owned and Federal government leased facilities or restricted areas, and evaluations as to acceptability for performance under Federal contracts or other agreements with the Federal government. Purposes of this system also include: Ensuring the safety and security of Federal facilities, systems, and information resources, as well as the safety and security of the occupants and users of these facilities, systems, and information resources; verifying that persons entering Federal facilities and using Federal systems and information resources, are authorized to do so; and tracking and controlling PIV cards issued to persons entering the Federal government’s facilities and using its systems and information resources.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1998, as amended, under a computer matching agreement.

(1) Program Purpose. The Department may disclose records from this system of records to any source or potential source from which information is requested in the course of an investigation concerning the suitability or retention of an employee or a contractor, or the retention of a security clearance, contract, grant, license, or other benefit, to the extent necessary to identify the individual being investigated, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.

(2) Enforcement Disclosure. The Department may disclose relevant records to a Federal, State, local, foreign, or tribal 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 prosecutorial responsibility of the receiving entity. It is Office of Management policy not to disclose records under this routine use that pertain to those questions for which the Office of Management has promised confidentiality under SF-85P, Questionnaire for Public Trust Positions.

(3) 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.

(4) Litigation or Alternative Dispute Resolution (ADR) Disclosure. (a) Introduction. In the event that one of the following parties 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any employee of the Department in his or her individual capacity where the DOJ has agreed to or has been requested 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 DOJ. If the Department determines that disclosure of certain records to the DOJ or attorneys engaged by DOJ is relevant and necessary to litigation or ADR 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) Adjudicative Disclosure. 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 litigation or ADR 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) Disclosure to Parties, Counsel, Representative, or Witnesses. If the Department determines that disclosure of certain records to a party, an opposing counsel, representative, or witness is relevant and necessary to litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to a party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose information from this system of records to DOJ 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.

(6) Congressional Member Disclosure. The Department may disclose information from this system of records to a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained.

(7) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information from this system of records 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, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(8) Disclosure for Use for Intelligence Activities. The Department may disclose information from this system of records to Federal, State, or local agencies, other appropriate entities or individuals, or, through established liaison channels, to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities as authorized by law, including the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.

(9) Employment, Benefits, and Contracting Disclosure. (a) For Decisions by the Department. The Department may disclose information from this system of records to a Federal, State, or local agency or to another public authority or professional organization, to obtain information relevant to the Department’s conduct of a security or suitability investigation of an individual seeking employment, licensure, other benefits, or to perform contractual services for, or to otherwise associate with, the Department.

(b) For Decisions by Other Public Agencies and Professional Organizations. The Department may disclose information from this system of records to a Federal, State, local, or foreign agency, or other public authority or professional organization, so that the receiving entity may obtain information relevant to its conduct of a security or suitability investigation of an individual seeking employment, licensure, other benefits, or to perform contractual services for, or to otherwise associate with, the receiving entity.

(10) Employee Grievance, Complaint, or Conduct Disclosure. If a record is relevant and necessary to a grievance, complaint, or disciplinary proceeding regarding a present or former employee of the Department, the Department may disclose the record in the course of an investigation, fact-finding, or adjudication to another agency of the Federal government, or to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter. The disclosure may only be made during the course of the investigation or the proceeding.

(11) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.

(12) Disclosure to Protect Safety and Security of Department Employees, Customers, and Facilities. The Department may disclose to Federal, State, and local law enforcement agencies and private security contractors, as appropriate, information that the Department deems necessary in order to: (a) Assist with the protection of the safety of Department employees and customers, the security of the Department’s workplace, or the operation of the Department’s facilities or information systems; or (b) assist with investigations or prosecutions with respect to activities that affect such safety and security or activities that disrupt the operation of the Department.

Note 3: Disclosures within the Department of data pertaining to date and time of entry and exit of a Department employee working in the District of Columbia may not be made to supervisors, managers, or any other persons (other than the individual to whom the information applies) to verify employee time and attendance records for personnel actions because 5 U.S.C. 6106 prohibits Federal Executive agencies (other than the Bureau of Engraving and Printing) from using a recording clock within the District of Columbia, unless used as a part of a flexible schedule or compressed work schedule under 5 U.S.C. 6120, et seq.

Storage:

Records are maintained on paper and in electronic form. Paper records are stored in fire resistant locked file cabinets in locked access-controlled rooms. Within the locked access-controlled room, electronic files are encrypted and stored in alarmed electronic retrieval file systems. The data servers, the laptops, and the desk computers where the data resides are in locked access-controlled rooms.

PIV identification card data on cardholders entering the Department’s facilities is stored in an encrypted database.

Electronic and paper records are retrieved by an unique identifying number by the Department pursuant to the National Institute of Standards and Technology (NIST), Federal Information Processing Standard (FIPS) 201, Personal Identity Verification for Federal Employees and Contractors; this number is cross-referenced to the name of the individual.

All physical access to the Department’s sites, and the sites of the Department’s 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.

In accordance with the Department’s Administrative Communications System (ACS) Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings," all contract and Department personnel who have facility access and system access are required to undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals.

In addition to undergoing a security clearance investigation, contract and Department personnel are required to complete security awareness training on an annual basis. This training is required to ensure that contract and Department users are trained appropriately in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.

Computer databases are kept on encrypted servers on an isolated virtual local area network (V-LAN) that is not connected to any outside network including the Internet. Database accessibility is restricted to hard wire network connection from within the Office Management, Security Services, and direct Integrated Services Digital Network (ISDN) line to the Department of Justice (DOJ), or via secure portal to the Office of Personnel Management (OPM). 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 60 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.

Most background investigative records are maintained in accordance with General Records Schedule (GRS) 18, Item 22--destroy not later than five years after separation or transfer of employee or no later than five years after contract relationship expires, whichever is later. Records are destroyed by deletion or shredding.

Reports of background investigations conducted by the Office of Inspector General under delegated authority of the OPM are retained in accordance with OPM retention standards for similar records, pending National Archives and Records Administration (NARA) approval. Records will be maintained for 15 years after the last investigative activity, except investigations involving potentially actionable issue(s) will be maintained for 25 years after the last investigative activity and then destroyed by deletion or shredding.

Personal access logs of individuals entering controlled space are retained in accordance with GRS 18, Item 17. In the Department’s secured facilities, records are destroyed five years after final entry or five years after date of document, as appropriate. For all other facilities, records are destroyed two years after final entry or two years after date of document, as appropriate. Records are destroyed by deletion or shredding.

PKI certificates and PIV cards issued under guidance of HSPD-12 and FIPS-201 will be retained in accordance with the pending GRS disposition authority as issued by NARA, or in a NARA-approved, Departmental records retention schedule, as appropriate.

Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W314, Washington, DC 20202-5345.

If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual must contact the system manager and provide his or her name, date of birth, social security number, signature, and the address to which the record information should be sent. This information is required to ensure the positive identification of the person’s record in the system. Requests for notification about an individual must meet the requirements of the regulations in 34 CFR 5b.5.

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.

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.

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, and 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, DOJ, newspapers, magazines, periodicals, and other publications; and

(d) Confidential sources.

The Secretary has exempted by regulation--in 34 CFR 5b.11(d)--this system of records only to the extent that the information is investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5):

(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)(4)(G) and (H) regarding inclusion of information in the system notice about procedures for notification, access, and correction of records.

As indicated in 34 CFR 5b.11(f), individuals will be provided access to information in this system, except when, in accordance with the provisions of 5 U.S.C. 552a(k)(5):

(1) The 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) The information was obtained prior to September 28, 1975 and the 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.

18-05-18 Education Publications Center (ED PUBS).

None.

Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.

This system contains records on individuals who contact ED PUBS to request products from the U.S. Department of Education.

This system contains the name, address, and telephone number of the individuals, as well as what product those individuals request.

Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C. 6051 (Supp. I, 1995).

The information in this system is used to disseminate the Department’s products to the public.

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.The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(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.

Storage:

The records are retained in a computer database.

The records are retrieved by customer type (this is a categorical description of the customer such as school administrator, parent, teacher K-12, etc.), order date, the title of the requested product, and the region of the country from which the order was placed.

Records in the system will be maintained in a secure password-protected electronic system that will utilize security hardware and software to include: firewalls to block external access to the system, the required use of a unique user ID with personal identifiers, and the recording of all interactions with the system. A maximum of one trusted individual with a Department of Justice Civil clearance has system logon access. This clearance is based on a National Agency Checks with Written Inquiries and Credit (NACIC) review, equivalent to the Department’s moderate risk 5C clearance process. All physical access to the site of the Department’s 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 ED PUBS system has been granted Certification and Full Accreditation in accordance with the Department’s Certification and Accreditation Program, and applicable Federal laws and policies.

Records are deleted upon revision or update.

ED PUBS Contract Officer’s Representative & Program Manager/Analyst, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E103, Washington, DC 20202.

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.

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.

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.

The information in this system is obtained from the individuals who contact ED PUBS.

None.

18-06-01 Federal Advisory Committee Membership Files.

None.

Committee Management, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC 20202-3571.

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.

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.

Federal Advisory Committee Act, as amended, (U.S.C.A. Appendix 2).

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.

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.

Storage:

Records are maintained in hard-copy filed in file cabinets and/or index cards.

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.

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 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.

Committee Management Officer, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC 20202-3571.

Same as above.

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)).

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.

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 Telephone Directory/Locator System.

None.

Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC 20202-0498.

This system contains records on current employees of the Department, vendors or other Federal employees located in Department operating offices and facility complexes.

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.

5 U.S.C. 301, 40 U.S.C. 486(c).

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.

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).

Storage:

Records are stored on hard drives, computer printouts, and in hard copy.

Records are retrievable by first and last name, principal office name, telephone number, and a keyword search field.

Only authorized personnel have access to master lists and the ability to make permanent changes.

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.

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.

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.

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.

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.

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 Presidential Scholars Program Files and PSA online Application System.

None.

Office of the Chief Information Officer, Regional Office Building 3, 301 7th and D Streets, SW., Washington, DC 20202-8173.

See the Appendix at the end of this notice for additional system locations.

This system contains records on individuals who are participants in the U.S. Presidential Scholars Program (the program).

This system consists of information about program candidates, including name, date of birth, Social Security number, address, e-mail address, high school, biographical information provided by the students such as work experience and awards received, SAT and ACT scores, school transcripts, and essays, as well as name and contact information for the teacher the candidate is nominating for the Department’s Teacher Recognition Award. The system will also include the unique user identification and password issued to system users by the Department of Education (Department) in its invitation package (application to the program is by invitation only.)

Executive Order 11155 (1964), as amended by Executive Order 12158 (1979).

The information in this system will be used to-- (1) Determine the eligibility of candidates and review their applications in order to determine program semifinalists and finalists on an annual basis; (2) develop and implement the program’s annual recognition component; and (3) carry out the authorizing Executive Order 11155, as amended by Executive Order 12158 (1979).

The Department may disclose information contained in a record in this system of records under the routine uses listed in this system without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer matching agreement.

(1) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, local, tribal, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial 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, regulations, 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, regulations, or order issued pursuant thereto.

(3) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the parties described in paragraphs (a)(i) through (v) 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 or been requested to provide or arrange for representation for the employee;

(iv) Any Department employee 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 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) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, Counsels, Representatives, and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to litigation or ADR, 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, local, tribal, 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 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, tribal, 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 be made only during the course of the proceeding.

(6) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the DOJ and the OMB 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 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 program 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 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.

(10) Routine Programmatic Purposes. The Department may disclose records from this system of records in order to promote the selection and recognition of students and the visibility of the program. In order to honor participants and finalists (Scholars) pursuant to programmatic requirements, disclosures of records from this system will be made to the following entities for the purposes specified:

(a) Disclosures to the Review Committee and the Commission on Presidential Scholars. The program will provide copies of each candidate’s complete application package to members of the program’s review committee for selection of semifinalists and complete copies of each semifinalist’s application package to the Commission on Presidential Scholars (Commission) for selection of the Scholars and for in-state recognition ceremonies held for semifinalists and Scholars.

(b) Disclosures to the General Public Announcing the Program’s Candidates, Semifinalists, and Scholars. The program will provide the name, State, town, and school name of each candidate, semifinalist, and Scholar on the Presidential Scholars Program section of the Department’s Web site.

(c) Disclosures to the General Public of the Annual Presidential Scholars Yearbook. For recognition purposes as well as informational and, on rare occasions, research requests, the program will provide copies of the Presidential Scholars Yearbook, which includes student photos, names, school, city, State, college of choice, and student-written essays, to Scholars, families, teachers, Commissioners, sponsors, potential candidates, researchers, and other interested parties. Due to limited numbers, copies are provided first to program participants and, if additional copies remain, in response to other inquiries.

(d) Disclosures to Contractors for Production of Program Recognition Materials and the Presidential Scholars Yearbook. The program will provide records to contractors for the printing of certificates, the engraving of Scholar medallions, and the printing of the Presidential Scholars Yearbook. The Executive order states that Scholars are to receive medallions, and occasionally the Administration wishes to provide certificates signed by the President.

(e) Disclosures to Contractors and College-age Interns to Arrange Scholar Accommodations, Transportation, and Other Services. The program may provide records to area vendors in preparation for the program’s "National Recognition Week," held annually in Washington, DC, each June. During that week, Scholars travel to the Nation’s Capital at the program’s expense to participate in educational and celebratory activities. At the same time, former Scholars return to the program as "Advisors" to assist with the program during National Recognition Week. These Advisors also receive information relevant to the Scholars assigned to them.

(f) Disclosures to National, State, and Local Media To Publicize the Scholars and Respond to Press Inquiries About Them. Records are provided to national, State, and local media for the purpose of publicizing the Scholars and responding to press inquiries.

(g) Disclosures to the White House and Federal Agencies for Briefings, Speechwriting, or To Obtain Security Clearances. Records are provided to the White House and Federal agencies for the purpose of speechwriting and briefings for officials addressing the Scholars and guests at recognition events or for security clearances at events attended by Government officials or in buildings with limited access.

(h) Disclosures to National, State, and Locally Elected Officials and Their Staff To Notify Them of Candidates, Semifinalists, and Scholars in their States or Districts and To Assist With Other Activities To Recognize These Individuals. Records are provided for the purpose of notifying elected officials of candidates, semifinalists, and Scholars in their States or districts and to assist with preparing congratulatory letters, certificates, and other honors or scheduling events or office visits in Washington, DC, or at home.

(i) Disclosures to State and Local Education Officials To Notify Them of Candidates, Semifinalists, and Scholars in Their States, Districts, or Schools. Records are provided to Chief State School Officers, Superintendents of school districts, principals, and guidance counselors for the purpose of notifying them of the candidates, semifinalists, and Scholars in their States, districts, or schools.

Disclosure to consumer reporting agencies:

Not applicable to this system of records.

Storage:

The records are maintained in hard copy filed in lockable standard filing cabinets; on access-controlled personal computers; and in a computer database maintained on the Department of Education’s Network (EDNet).

The data are retrieved by name, Social Security number, State, high school, and year of selection. Various reports on multiple candidates, semifinalists, and Scholars can also be run.

All physical access to the Department of Education site where this system of records is maintained and the sites of the Department of Education’s staff and contractors with access to the system 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 its contractors offer a high degree of security against tampering and circumvention. These security systems limit data access to Department and contract personnel on a "need to know" basis and control 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.

In accordance with the Privacy Act, all candidates or their legal guardians, if they are minors, must read a privacy advisory statement. Candidates or their legal guardians also must provide a signature affirming their candidacy and authorizing the release of specific information in relation to the program. PSAonline will use assigned electronic identifications and passwords for these authorizations. Applicants or their legal guardians will sign the program’s release form electronically. The program will issue unique user identifications and passwords to all system users (candidates, legal guardians, school staff, and principals) in their invitation packets. Users will access the system by entering their assigned user identifications and passwords, and the system will validate the user and his or her role (candidate, legal guardian, administrator) against the database. If invalid information is entered, an error message will be displayed, and access will be denied. Users may edit their passwords after they have logged in using the federally assigned user identifications and passwords. Access to various parts of the system and the application is restricted based on user role and level of authorization.

Files are retained for four years in order to verify yearbook and alumni publications and to choose current Scholars as future Advisors to the Commission. In accordance with the Department of Education’s Records Disposition Schedules (ED/RDS, Part 5, Item 6), both paper and electronic files are destroyed in four-year blocks when the most recent record is four years old.

Executive Director, U.S. Presidential Scholars Program, Community Services, Partnerships and Recognition Programs Team, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-3521.

If you wish to determine if you have a record in this system, provide the system manager with your name, date of birth, and Social Security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in this system, provide the system manager with your name, date of birth, and Social Security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record, contact the system manager. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.

Information is obtained from American College Testing and the College Board/Educational Testing Service, individual candidates, their legal guardians if they are minors, and school officials (principals, teachers, and guidance counselors) in public and private secondary institutions attended by the candidates.

None.

Additional System Locations

U.S. Presidential Scholars Program, Community Services, Partnerships and Recognition Programs Team, Office of Communications and Outreach, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-8173.

American College Testing, Inc., Recognition Program Services, 301 ACT Drive, Iowa City, Iowa 52243-4030.

Fastek, 1425 60th Street NE., Cedar Rapids, Iowa 52402-1253.

18-06-04 Satellite Event Participant Registration System.

None.

Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW., Washington, DC 20202-0498.

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.

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.

20 U.S.C. 1231a.

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.

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.

Storage:

The records are maintained in electronic form on hard drives and when appropriate, in hard copy for a short time.

Records are retrievable by all fields in the database.

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.

Records are destroyed after the appropriate revisions are made or after three months, whichever is sooner.

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.

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.

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.

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.

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.

18-06-05 Partners in Education.

None.

The White House Initiative Partners in Education is located at the White House Initiative on Educational Excellence for Hispanic Americans, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Federal Building 6, Room 5E110, Washington, DC 20202.

The system will contain information on individuals who have indicated an interest in receiving information about the White House Initiative, its publications and programs, and ways in which they can become partners.

This system contains records containing an individual’s name, title, affiliation, mailing address, telephone number, fax, e-mail, and representational category (e.g. parents, educators, schools, school districts, businesses, etc.). The system generated identifier or "key" will consist of a combination of numbers and letters and is produced by the system of records automatically.

Executive Order 13230, 66 FR 52841.

The information contained in the records maintained in this system is used for the purposes of conducting individual, mass, and targeted mailings of White House Initiative program information, publications, and reports.

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) Other Agencies and Institutions. The Department may disclose records from the representational categories to Federal, State, or local agencies if the requested use is intended to fulfill that Federal, State, or local agency’s responsibilities under Executive Order 13230, 66 FR 52841.

(2) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 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 DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the DOJ.

(c) Administrative or Judicial Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to mediate or resolve disputes is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the adjudicative or judicial body, individual, or entity.

(d) Parties, Counsel, Representatives, and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness in an administrative or judicial 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) 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.

(4) 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 that is compatible with the 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 that is compatible with the purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records.

(5) 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.

(6) 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.

(7) 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.

Storage:

The records are maintained on a computer and backed up on magnetic tape or other electronic media.

Records will be retrieved by name, group, organization, and/or the requestor’s regional location for the purpose of conducting targeted mailings.

The system of records will be secured by permitting only designated individuals within the White House Initiative program staff access to the database. Furthermore, the designated individuals’ access to personal computers, the network, and the system of records will require personal identifiers and unique passwords, which will be periodically changed to prevent unauthorized access. The building in which the system of records is housed is monitored by security personnel during business and non-business hours.

The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 14 for electronic mail requests and General Records Schedule 13, Item 14 for all other requests for information.

Associate Director, White House Initiative on Educational Excellence for Hispanic Americans, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E110, Washington, DC 20202.

If you wish to determine whether a record exists regarding you in this system of records, provide the system manager with your name, address, phone number, and affiliation. Requests must meet the requirements of the regulations in 34 CFR 5b.5.

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 in 34 CFR 5b.5.

If you wish to contest a record in the system of records, contact the system manager with the information described in the notification procedure, identify the specific items you are contesting, and provide a written justification for each item. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7.

Information in this system of records is obtained from individuals who request, in writing, verbally, or electronically, to be listed on the system of records in order to receive information. The individual’s affiliation will comprise the representational category. The system generated identifier or "key" will consist of a combination numbers and letters and is produced by the system of records automatically.

None.

18-07-01 Congressional Members’ Biographies System.

None.

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.

This system contains records about all members of Congress.

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.

20 U.S.C. 3412(e).

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.

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.

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.

Records are indexed alphabetically by last name.

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.

Records are constantly updated as circumstances warrant relative to the activities of Congress.

Office of Legislation and Congressional Affairs, Legislative Affairs Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202.

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.

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.

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.

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.

None.

18-07-02 Congressional Grant Notification Control System.

None.

Congressional Outreach, Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202.

The Congressional Grant Notification Control System contains records about members of Congress.

This system consists of direct inquiries and letters of support concerning discretionary grants from Members of Congress.

5 U.S.C. 301.

The information in this system is used to provide responses to inquiries from Members of Congress regarding discretionary grant notification.

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.

Storage:

The records are maintained in hard copy filed in standard file cabinets.

Records are indexed alphabetically by grant title.

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.

Records are maintained for two years.

Director, Congressional Outreach, Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202.

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.

Same as the Notification Procedure.

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.

The information in this system is provided by the correspondent and by the agency that prepares the final response.

None.

18-08-01 Complaint Files and Log.

None.

Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5000 MES, Washington, DC 20202.

See the Appendix at the end of this system notice for additional system locations.

This system contains information on individuals or groups of individuals who have made civil rights complaints to the Office for Civil Rights (OCR).

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, and results of investigations;

(2) Correspondence related to the complaint, which 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 complainants’ 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.

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.; Section 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.; Title II of the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.; and the Boy Scouts of America Equal Access Act, 20 U.S.C. 7905.

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;

(4) To document the steps taken to resolve a case;

(5) To report the status of individual complaints to OCR managers and staff for tracking the progress of individual cases and to provide information used to prepare summaries of case processing activities; and

(6) To report to Congress, other agencies, and to the public to explain or document the work that has been accomplished.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, 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 OCR 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 if it determines that the 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, tribal, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(4) Enforcement Disclosure. In the event that information in this system of records indicates, either on its face or in connection with other information, a violation or potential violation of any applicable statute, regulations, 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, regulations, or order issued pursuant thereto.

(5) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 been requested to provide or arrange for representation for the employee;

(iv) Any Department employee 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 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) Adjudicative 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 or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, 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 is relevant and necessary to the litigation or ADR, 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 (FOIA) Advice Disclosure. The Department may disclose records to the DOJ 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 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.

(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.

Storage:

The records in this system are contained in digital storage media and in file folders.

The records in this system are indexed by and retrievable by the name of the complainant, the complaint number, the name of the entity against which the complaint was filed, the basis for the alleged discrimination, and the stage of case processing.

The system is maintained on secure computer servers located in one or more secure Department of Education network server facilities. OCR staff access information in the system through use of personal computers located in OCR offices. Data are transmitted among offices on secure servers through the Department of Education’s Secure Wide Area Network. The Department of Education maintains the servers on which the records are stored in secure locations with controlled access. Access to OCR offices is controlled and available only to OCR staff and authorized visitors. Authorized OCR staff access the information system using individual user identifiers and passwords.

The system also limits data access by type of user and controls users’ ability to alter records within the system. File folders containing non-digital information in the system are kept in lockable storage rooms. Access to offices in which storage rooms are located is restricted to OCR staff and authorized visitors. Similar records made before December 1993 were stored on magnetic tape, a format that is no longer in use, in a secure location in OCR Headquarters.

Records are disposed pursuant to the Education Department Records Disposition Schedule (ED/RDS) Part 4, item 1, as approved by the National Archives and Records Administration (NARA). Digital records are destroyed or deleted when no longer needed for administrative, legal, or audit purposes. Records maintained at the Headquarters Office will be transferred to the Federal Records Center (FRC) after the case has been inactive for five years. Records at the regional offices are transferred to the FRC after the record has been inactive for two years. Records that are no longer needed will be destroyed 15 years after the end of the fiscal year in which the case is resolved.

Deputy Assistant Secretary for Civil Rights, Office for Civil Rights, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5000, MES Building, Washington, DC 20202.

This system is exempted from 5 U.S.C. 552a(e)(4)(G) pursuant to 34 CFR 5b.11(c)(2)(iii).

This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii).

This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii).

Records are derived from information in complaint investigation files.

Systems exempted from certain provisions of the act:

The Secretary of Education has exempted by regulations the two record systems that are being combined into the Complaint Files and Log record system, which is thereby also exempt 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)(4)(G) and (H) regarding inclusion of information in the system notice about procedures for notification, access, and correction of records.

These exemptions are stated in 34 CFR 5b.11. As indicated in 34 CFR 5b.11, individuals will be provided with information from a record in this system if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of that material, except when in accordance with the following provisions of 5 U.S.C. 552a(k)(2):

(1) Disclosure of the 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.

(2) If information was obtained prior to September 28, 1975, disclosure of the 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 18-08-01

Additional System Locations:

OCR, Boston Office, J.W. McCormack Post Office and Court House Building, Room 701, Boston, MA 02109.

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.

OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East, Suite 750, Cleveland, OH 44114.

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, 8930 Ward Parkway, Suite 2037, Kansas City, MO 64114.

OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite 300, Denver, CO 80204.

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.

OCR, District of Columbia Office, 100 Pennsylvania Ave., NW., Rm. 316, P.O. Box 14620, Washington, DC 20004.

18-09-01 Administrative Claims.

None.

Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, Room 6E301, Washington, DC 20202.

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.

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.

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.

The information in this system is used to adjudicate claims between the U.S. and private parties.

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.

Storage:

Records are maintained in legal size files in filing cabinets.

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.

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.

The records are maintained in accordance with the Department of Education Records Disposition Schedules (ED/RDS).

The General Counsel, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC 20202.

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.

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.

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.

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 OGC Attorney Applicant Files.

None.

Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC 20202.

This system contains records on current Attorney Applicants for positions in the Office of the General Counsel.

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.

5 U.S.C. 3301 et seq.

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.

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.

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.

These records are retrievable by name.

Access is limited to those Department officials whose duties require access.

These records are retained in accordance with the Department of Education Records Disposition Schedules (ED/RDS).

The General Counsel, U.S. Department of Education, Office of the General Counsel, 400 Maryland Avenue, SW., Room 6E301, Washington, DC 20202.

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.

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.

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.

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 Employee Conduct--Government Ethics.

None.

Ethics Counsel Division, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E231, Washington, DC 20202.

This system contains information about current and past Department employees (1) who have requested and/or received advice or guidance in subject matter areas relating to employee conduct, or (2) who are required to attend ethics training.

This system contains documents and records not covered by two government-wide executive branch Privacy Act systems of records of the Office of Government Ethics (OGE): OGE/GOVT-1 and OGE/GOVT-2. These documents and records may include, but are not limited to, information relating to acceptance or offer of gifts, entertainment and favors, or outside employment; financial interests; use of government funds, property, or official information; partisan political activity; compliance with ethics training requirements; or other matters relating to employee conduct.

Pub. L. 95-521, Ethics in Government Act of 1978; Pub. L. 101-194, Ethics Reform Act of 1989, as amended; and Executive Orders 12674, 12565, and 11222, as amended.

The records in this system are maintained in order for the Office of the General Counsel to provide advice and guidance in subject matter areas relating to employee conduct and to ensure that employees comply with ethics requirements.

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.

(7) Office of Government Ethics Disclosure. The Department may disclose records to the Office of Government Ethics if the disclosure is relevant to the Office of Government Ethics’ review of the Department’s ethics program or if the Department seeks the advice of the Office of Government Ethics on matters relating to the Department’s ethics program, including, but not limited to, the program’s structure and staffing, education and training, counseling or advice, public financial disclosures, confidential financial disclosures, outside employment and activities, or post employment.

Storage:

Paper records are kept in legal size files in filing cabinets; electronic records are kept in a database maintained and managed by the Ethics Division of the Office of the General Counsel.

These records are retrievable by name in most cases.

These records are only accessible to staff of the Ethics Division of the Office of General Counsel. Paper records are kept in filing cabinets that are locked after the close of the business day, and electronic records are kept only on authorized users’ computers, which are password-protected.

The records in this system will be retained and disposed of in accordance with the National Archives and Records Administration’s General Records Schedule (GRS) 25 for Ethics Program Records.

Assistant General Counsel, Ethics Division, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, Room 6E231, Washington, DC 20202.

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.

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.

Information is obtained from individuals who request advice and from employees and other Department records in connection with the administration of the ethics training program.

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 Litigation Files, Administrative Complaints, and Adverse Personnel Actions.

None.

Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC 20202.

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.

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.

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).

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.

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.

Storage:

These records consist of legal size files stored in file cabinets.

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.

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.

These records are maintained in accordance with the Department of Education Records Disposition Schedules (ED/RDS).

The General Counsel, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E301, Washington, DC 20202.

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.

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.

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.

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.

18-09-05 Department of Education Federal Docket Management System (EDFDMS).

None.

The central location is at the U.S. Environmental Protection Agency, Research Triangle Park, NC 27711-0001. Access is available through the Internet from other locations.

Information on individuals who voluntarily provide individually identifying information when submitting a public comment or supporting materials in response to a Department rulemaking document or notice in the Federal Docket Management System (FDMS) are covered by this system. Although this system may also contain information on and public comments submitted by representatives of governmental or organizational entities, the purpose for which the Department is establishing this system of records is only to cover individuals protected under the Privacy Act of 1974 (5 U.S.C. 552a(a)(2)).

The categories of records in the system include: First name, last name, category (such as parent/relative, student, teacher, local educational agency, or lender), city, country, State or province, email address, organization name, submitter’s representative, government agency type, government agency, additional information provided in the "General Comments" section, and other supporting documentation furnished by the submitter.

Section 206(d) of the E-Government Act of 2002 (Pub. L. 107-347, 44 U.S.C. 3501 note); 5 U.S.C. 301; and 5 U.S.C. 553.

The EDFDMS system of records permits the Department to identify individuals who have submitted comments, in response to the Department’s rulemaking documents or notices that are in FDMS, so that communications or other actions, as appropriate and necessary, can be effected. Examples of such communications are seeking clarification of a comment and responding directly to a comment.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Disclosure to the Public. With few exceptions, the Department may disclose information in EDFDMS to any member of the public. EDFDMS permits members of the public to search the public comments that are received by the Department and included in FDMS by the name of the individual submitting the comment. Unless the individual submits a comment anonymously, a full-text search, using the individual’s name, will generally result in the comment and the commenter’s information being displayed for view. With few exceptions, comments that are submitted using the FDMS system will include any information that the commenter provided when submitting the comment. In addition, with few exceptions, comments that are submitted in writing and then scanned and uploaded into the FDMS system will include any identifying information about the submitter that is provided in the written comment. If a commenter provides individually identifying information about a third party, a full-text search using the third party’s name, with some exceptions, will result in the third party’s information being displayed for view.

Note: Identification of an individual commenter or third party is possible only if the commenter voluntarily provides his or her name or contact information, or that of a third party. If this information is not furnished, the submitted comments or supporting documentation cannot be linked to the commenter or a third party.

(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 prosecutorial 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) 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 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to parties, counsels, representatives, or witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(6) Disclosure to DOJ. The Department may disclose records to DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system.

(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) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.

(9) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.

Storage:

Records are maintained on electronic storage media and in paper.

EDFDMS enables record retrieval by various data elements and key word searches. These data elements are: document identification number, comment tracking number, document title, Code of Federal Regulation (CFR) (search for a specific title within the CFR), CFR citation (search for the part or parts within the CFR title being searched), document type, document sub type, date posted, and comment period end date.

As discussed above in routine use (1), Disclosure to the Public, any member of the public who accesses FDMS through http://www.regulations.gov and searches the comments associated with the Department’s rulemakings can view EDFDMS records that are included in FDMS.

To the extent paper records from this system of records are maintained, they will be maintained in a controlled facility where physical entry is restricted by locks, guards, and administrative procedures.

Access to electronic and paper EDFDMS records that are not otherwise available to the public through FDMS is limited to those Department and contract staff who require the records to perform their official duties consistent with the purposes for which the information was collected. Personnel whose official duties require access to either electronic or written EDFDMS records that are not otherwise available to the public through FDMS are trained in the proper safeguarding and use of the information.

Until the National Archives and Records Administration (NARA) approves a retention and disposition schedule for EDFDMS, the Department will treat all EDFDMS records as permanent.

Elizabeth McFadden, Assistant General Counsel, Regulatory Services Division, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., room 6E227, Washington, DC 20202-6110.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is obtained from anyone who chooses to voluntarily submit a public comment or supporting materials in response to a Department rulemaking document or notice, including individuals and representatives of Federal, State or local governments, businesses, and other organizations.

None.

18-10-01 Investigative Files of the Inspector General.

None.

Dell Services, Building K, 2nd Floor, Rack: K2AG57, 2300 West Plano Parkway, Plano, Texas 75075-8427.

Categories include subjects, targets, witnesses, victims, current and former employees of the U.S. Department of Education (Department), and individuals who have any relationship to financial assistance or other educational programs administered by the Department, 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 include investigation files pertaining to violations of criminal laws, fraud, waste, and abuse with respect to the administration of Department of Education programs and operations, and violations of employee Standards of Conduct in 34 CFR part 73. These investigation files will contain, but will not be limited to, electronic information including names, addresses, social security numbers, dates of birth, and aliases for subjects, targets, witnesses, and victims associated with investigations; reports of interview; investigative memoranda; requests and approvals for case openings and closings and for the use of special investigative techniques requiring approval by management; and electronic copies of photographs, scanned documents, and electronic media such as audio and video. The system will store investigation work products, as well as all investigation results and other tracking information needed to identify trends, patterns, and other indicators of fraud and abuse within the Department of Education programs and operations.

The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix).

Pursuant to the Inspector General Act of 1978, as amended, the system is maintained for the purposes of--(1) conducting and documenting investigations by the Office of Inspector General (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 that 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 that 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; (5) maintaining a record of complaints and allegations received relative to Department of Education programs and operations and documenting the outcome of OIG reviews of those complaints and allegations; (6) coordinating relationships with other Federal agencies, State and local governmental agencies, and nongovernmental entities in matters relating to the statutory responsibilities of the OIG; (7) acting as a repository and source for information necessary to fulfill the reporting requirements of the Inspector General Act, 5 U.S.C. Appendix; (8) reporting on the activities of the Inspectors General to the President’s Council on Integrity and Efficiency (PCIE); and (9) participating in the investigative qualitative assessment review process requirements of the Homeland Security Act of 2002 (Pub. L. 107-296.)

The OIG 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. The OIG may make these disclosures on a case-by-case basis or, if the OIG has met the requirements of the Computer Matching and Privacy Protection Act, under a computer matching agreement.

(1) Disclosure for Use by Other Law Enforcement Agencies. The OIG may disclose information from this system of records as a routine use to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility of the receiving entity.

(2) Disclosure to Public and Private Entities to Obtain Information Relevant to Department of Education Functions and Duties. The OIG may disclose information from this system of records as a routine use to public or private sources to the extent necessary to obtain information from those sources relevant to an OIG investigation, audit, inspection, or other inquiry.

(3) Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting Decisions.

(a) For Decisions by the Department. The OIG may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency maintaining civil, criminal, or other relevant enforcement or other pertinent records, or to another public authority or professional organization, if necessary to obtain information relevant to 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.

(b) For Decisions by Other Public Agencies and Professional Organizations. The OIG may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency, 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 letting of a contract, or the issuance or retention of a license, grant, or other benefit.

(4) Disclosure to Public and Private Sources in Connection with the Higher Education Act of 1965, as Amended (HEA). The OIG may disclose information from this system of records as a routine use to facilitate compliance with program requirements to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or school that is or was a party to an agreement with the Secretary of Education pursuant to the HEA; to any guaranty 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) Litigation Disclosure.

(a) Disclosure to the Department of Justice. If the disclosure of certain records to the Department of Justice (DOJ) is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the OIG may disclose those records as a routine use to the Department of Justice. The OIG may make such a disclosure in the event that one of the following parties 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 if the DOJ has agreed to represent the employee or in connection with a request for that representation; or

(iv) The United States, if the Department determines that the litigation is likely to affect the Department or any of its components.

(b) Other Litigation Disclosure. If 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, party, or potential witness is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the OIG may disclose those records as a routine use to the court, adjudicative body, individual or entity, counsel or other representative, party, or potential witness. The OIG may make such a disclosure in the event that one of the following parties 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 if the Department has agreed to represent the employee; or

(iv) The United States, if the Department determines that the litigation is likely to affect the Department or any of its components.

(6) Disclosure to Contractors and Consultants. The OIG may disclose information from this system of records as a routine use to the employees of any entity or individual with whom or with which the Department contracts for the purpose of performing any functions or analyses that facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. 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) Debarment and Suspension Disclosure. The OIG may disclose information from this system of records as a routine use to another Federal agency considering suspension or debarment action if the information is relevant to the suspension or debarment action. The OIG also may disclose information to another agency to gain information in support of the Department’s own debarment and suspension actions.

(8) Disclosure to the Department of Justice. The OIG may disclose information from this system of records as a routine use to the DOJ to the extent necessary for obtaining the DOJ’s advice on any matter relevant to Department of Education programs or operations.

(9) Congressional Member Disclosure. The OIG 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 Member’s right to the information is no greater than the right of the individual who requested it.

(10) Benefit Program Disclosure. The OIG may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the prevention or detection of fraud and abuse in benefit programs administered by any agency or public authority.

(11) Overpayment Disclosure. The OIG may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the collection of debts and overpayments owed to any agency or public authority.

(12) Disclosure to the Council of the Inspectors General on Integrity and Efficiency (CIGIE). The OIG may disclose records as a routine use to members and employees of the CIGIE for the preparation of reports to the President and Congress on the activities of the Inspectors General.

(13) Disclosure for Qualitative Assessment Reviews. The OIG may disclose records as a routine use to members of the CIGIE, the DOJ, the U.S. Marshals Service, or any Federal agency for the purpose of conducting qualitative assessment reviews of the investigative operations of the Department of Education, Office of Inspector General to ensure that adequate internal safeguards and management procedures are maintained.

(14) Disclosure to the Recovery Accountability and Transparency Board (RATB). The OIG may disclose records as a routine use to the RATB for purposes of coordinating and conducting oversight of American Recovery and Reinvestment Act funds to prevent fraud, waste, and abuse.

(15) Disclosure in the Course of Responding to Breach of Data. The OIG may disclose records from this system to appropriate agencies, entities, and persons when (a) the OIG suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the OIG has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the OIG’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

None.

Storage:

Electronic records are stored on a Web-based computer system. Hard-copy records are stored in bar-lock file cabinets.

The records are retrieved by manual or computer search of alphabetical indices or cross-indices. Indices list names, social security numbers, dates of birth, and other personal information of individuals. Indices also list names of companies and organizations.

Electronic records are maintained on computer databases that are kept on a secured server in combination-locked rooms. Authorized log-on codes and passwords prevent unauthorized users from gaining access to data and system resources. Hard copy records are maintained in secure rooms, in security-type safes or in bar-lock file cabinets with manipulation-proof combination locks.

Investigative files are retained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS), as approved by the National Archives and Records Administration. You may obtain a copy of the ED/RDS by writing to the System Manager at the following address.

Assistant Inspector General for Investigation Services, Office of Inspector General, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4200, Mary E. Switzer Building, Washington, DC 20202-1510.

See "SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT." As provided in 34 CFR 5b.11(b)(3) 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.11(b). The notification procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under these conditions, it is governed by 34 CFR 5b.5.

See "System exempted from certain provisions of the act." As provided in 34 CFR 5b.11(b)(3) 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.11(b). The record access procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under these conditions, it is governed by 34 CFR 5b.5.

See "System exempted from certain provisions of the act." As provided in 34 CFR 5b.11(b)(3) and (c)(1), the procedure for correction or amendment of records is not applicable to criminal and non-criminal investigative files.

Departmental and other Federal, State, and local government records; interviews of witnesses; and documents and other material furnished by non-governmental sources. Sources may include confidential sources.

Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(j)(2) (criminal investigative/enforcement files), the Secretary of Education has by regulations 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(c)(4)--notification to outside parties and agencies of correction or notation of dispute made in accordance with 5 U.S.C. 552a(d).

5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and correction or amendment of, records.

5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.

5 U.S.C. 552a(e)(2)--collection of information from the subject individual to the greatest extent practicable.

5 U.S.C. 552a(e)(3)--notice to an individual who is asked to provide information to the Department.

5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice regarding Department procedures on notification of, access to, correction of, or amendment of records.

5 U.S.C. 552a(e)(5)--maintenance of records with requisite accuracy, relevance, timeliness, and completeness.

5 U.S.C. 552a(e)(8)--service of notice on individual if a record is made available under compulsory legal process if that process becomes a matter of public record.

5 U.S.C. 552a(g)--civil remedies for violation of the Privacy Act.

Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(k)(2) (civil investigative files), the Secretary of Education has by regulations 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) through (4) and (f)--procedures for notification or access to, and correction or amendment of, records.

5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.

5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice regarding Department procedures on notification of, access to, correction of, or amendment of records.

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, J.W. McCormack Post Office and Courthouse, 5 Post Office Square, Suite 850, Boston, MA 02110-1491.

Office of Inspector General, U.S. Department of Education, 32 Old Slip, 26th Floor, New York, NY 10005-2500.

Office of Inspector General, U.S. Department of Education, The Wanamaker Building, 100 Penn Square East, Suite 502, Philadelphia, PA 19107-3323.

Office of Inspector General, U.S. Department of Education, 1000 Liberty Avenue, Room 1503, Pittsburgh, PA 15222-4004.

Office of Inspector General, U.S. Department of Education, Atlanta Federal Center, 61 Forsyth Street, Room 18T71, Atlanta, GA 30303-3104.

Office of Inspector General, U.S. Department of Education, 500 W. Madison Street, Suite 1414, Chicago, IL 60661-7204.

Office of Inspector General, U.S. Department of Education, 1999 Bryan Street, Suite 1430, Dallas, TX 75201-3136.

Office of Inspector General, U.S. Department of Education, 8930 Ward Parkway, Suite 2401, Kansas City, MO 64114-3302.

Office of Inspector General, U.S. Department of Education, One World Trade Center, Suite 2300, Long Beach, CA 90831-0023.

Office of Inspector General, U.S. Department of Education, Cesar E. Chavez Memorial Building, 1244 Speer Boulevard, Suite 604A, Denver, CO 80204-3582.

Office of Inspector General, U.S. Department of Education, Jacaranda Executive Court, 7890 Peters Road, Suite G-100, Plantation, FL 33324-4028.

Office of Inspector General, U.S. Department of Education, Federal Building and Courthouse, 150 Carlos Chardon Avenue, Room 747, Box 772, Hato Rey, PR 00918-1721.

18-10-02 The Office of Inspector General Data Analytics System (ODAS).

None.

The Office of Inspector General, Information Technology Audits and Computer Crimes Investigations (ITACCI), U.S. Department of Education, 550 12th Street, SW., room 8089, Washington, DC 20024-6122.

This system will include records on individuals that are obtained from the following other systems of records maintained by the Department:

Education Central Automated Processing System (18-03-02)

The categories of individuals included from this system are employees of the Department, consultants, contractors, grantees, advisory committee members, and other individuals receiving funds from the Department for performing services for the Department.

Federal Student Aid Application File (18-11-01)

The categories of individuals included from this system are students applying for Federal student financial assistance under Title IV of the Higher Education Act of 1965, as amended (HEA).

Recipient Financial Management System (the Department soon expects to amend this system and re-name it as the Common Origination and Disbursement System (COD)) (18-11-02)

The categories of individuals included from this system are records of individuals who apply for or receive a grant or loan which is made under (1) the Federal Pell Grant Program; (2) the Academic Competitiveness Grant (ACG) Program; (3) the National Science and Mathematics Access to Retain Talent Grant (National SMART Grant) Program; and (4) the William D. Ford Federal Direct Loan (Direct Loan) Program, Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, and Federal Direct PLUS Loans.

Title IV Program Files (18-11-05)

The categories of individuals included from this system are: individuals who apply for Federal financial student aid; recipients of Federal Pell Grants; recipients of Federal Direct Student Loans; and borrowers whose loan defaulted or borrower died, became disabled or had a loan discharged in bankruptcy under the Federal Direct Student Loan program.

National Student Loan Data System (NSLDS) (18-11-06)

The categories of individuals included from this system are:

(1) 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); and

(2) 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.

Student Financial Assistance Collection Files (18-11-07)

The categories of individuals included from this system are individuals who have student loans made under the FFEL Program: Stafford Loans (formerly the Guaranteed Student Loan Program (GSL), including Federally Insured Student Loans), 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 known as National Direct/Defense Student Loans (NDSL)) and those who are awarded grants under the Federal Pell Grant Program and the Supplemental Education Opportunity Grant Program (SEOG).

Postsecondary Education Participants System (PEPS) (18-11-09)

The categories of individuals included from this system are 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.

Department of Education (ED) PIN (Personal Identification Number) (18-11-12)

The categories of individuals included from this system are 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 systems, including the Free Application for Federal Student Aid (FAFSA), Access America and the Direct Loan Program.

Student Authentication Network Audit File (18-11-13)

The categories of individuals included from this system are individuals who have had, or attempted to have, their identity verified for the purpose of electronically completing and signing promissory notes and other documents in connection with applying for or obtaining aid, or carrying out other activities under the Student Financial Assistance Programs authorized by Title IV of the Higher Education Act of 1965, as amended.

This system will include records that are obtained from the following other systems of records maintained by the Department:

Education’s Central Automated Processing System (18-03-02)

The categories of records included from this system are 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.

Federal Student Aid Application File (18-11-01)

The categories of records included from this system are 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. Also included from this system will be information on the student’s prior Federal Pell Grant awards and student loan status from the NSLDS database is maintained in the system. Finally, included from this system will be information from an individual’s processed FAFSA form, such as Estimated Family Contribution, dependency status and post-secondary school identifier.

Recipient Financial Management System (the Department expects to amend this system soon and re-name it as the Common Origination and Disbursement System (COD)) (18-11-02)

The categories of records included from this system are records that are sent by institutions of higher education to the Department, and that include, but are not limited to, information such as an individual’s social security number, birth date, name, address, e-mail address, driver’s license number, telephone number, citizenship status, cost of attendance, enrollment information, type of financial aid award, and the amount and disbursement date of Federal financial aid awarded. In addition, this system contains collection referral amounts, loan repayment information, and promissory notes for loans made under the Federal Direct Loan program.

Title IV Program Files (18-11-05)

The categories of records included from this system are records regarding the amount of Pell Grant received; an applicant’s demographic background; loan and education 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 personal identification numbers assigned by the Department.

National Student Loan Data System (NSLDS) (18-11-06)

The categories of records included from this system are 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.

Student Financial Assistance Collection Files (18-11-07)

The categories of records included from this system are 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; closed 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.

Postsecondary Education Participants System (PEPS) (18-11-09)

The categories of records included from this system are records regarding the eligibility, administrative capability, and financial responsibility of postsecondary institutions that participate in the student financial aid programs, including the names, taxpayer identification numbers (social security numbers), business addresses, and phone numbers of the individuals with substantial ownership interests in, or control over, those institutions, and personal identification numbers assigned by the Department.

The Department of Education (ED) PIN (Personal Identification Number) Registration System (PIN) (18-11-12)

The categories of records included from this system are name, social security number, date of birth and address of prospective students and parents who apply for an ED PIN number.

Student Authentication Network Audit File (18-11-13)

The categories of records included from this system are related to individuals seeking to have their identity verified for the purpose of electronically completing and signing promissory notes and other documents in connection with applying for or obtaining aid. Records include the individual’s social security number; date of birth; first and last name; user code (i.e., the Department, lenders, schools, guarantee agencies and holders of Federal student loans) identifying the entity seeking to verify the individual’s identity; data provided by the user that may subsequently be used for auditing or other internal purposes of the user); an action code documenting the "affirmed" or "denied" verification response the system receives from the Department’s PIN database; a unique identifier comprising a system-generated sequence number; and, the date and time the individual’s identity is authenticated against the Department’s PIN database.

The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix.

This system of records is maintained for the general purpose of enabling OIG to fulfill the requirements of section (4)(a)(1) and (3) of the Inspector General Act of 1978, as amended, which requires OIG to provide policy direction for and to conduct, supervise, and coordinate audits and investigations relating to the programs and operations of the Department and to conduct, supervise and coordinate activities for the purpose of promoting economy and efficiency in the administration of, or preventing and detecting fraud and abuse in, the programs and operations of the Department. This system is maintained for the purpose of improving the efficiency, quality, and accuracy of existing data collected by the Department. Records in this system will be used to conduct data modeling for indications of fraud, abuse and internal control weaknesses concerning Department programs and operations. The result of that data modeling may be used in the conduct of audits, investigations, inspections or other activities as necessary to prevent and detect waste, fraud and abuse in Department programs and operations.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purpose for which the record was collected, under the following routine uses. OIG may make these disclosures on a case-by-case basis or, if OIG has met the requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, 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 regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial 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 an OIG investigation, audit, inspection, or other inquiry.

(3) Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting Decisions.

(a) 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.

(b) 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, 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 letting of a contract, or the issuance or retention of a license, grant, or other benefit.

(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 facilitate compliance with program requirements to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or school that is or was a party to an agreement with the Secretary of Education pursuant to the HEA; to any guaranty 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) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Disclosure to the Department of Justice. If the disclosure of certain records to the Department of Justice (DOJ) is relevant and necessary to litigation or ADR 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. The Department may make such a disclosure in the event that one of the following parties is involved in the litigation or ADR or has an interest in the litigation or ADR:

(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 if the DOJ has been asked or has agreed to provide or arrange for representation for the employee;

(iv) Any employee of the Department in his or her individual capacity if the Department has agreed to represent the employee or in connection with a request for that representation; or

(v) The United States, if the Department determines that the litigation or ADR proceeding is likely to affect the Department or any of its components.

(b) Other Litigation or ADR Disclosure. If 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, party, or potential witness is relevant and necessary to litigation or ADR 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, party, or potential witness. The Department may make such a disclosure in the event that one of the following parties is involved in the litigation or ADR or has an interest in the litigation or ADR:

(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 if the DOJ has been asked or has agreed to provide or arrange for representation for the employee;

(iv) Any employee of the Department in his or her individual capacity if the Department has agreed to represent the employee; or

(v) The United States, if the Department determines that the litigation or ADR is likely to affect the Department or any of its components.

(6) Disclosure to Contractors and Consultants. The Department may disclose information from this system of records as a routine use to the employees of any entity or individual with whom or with which the Department contracts for the purpose of performing any functions or analyses that facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. Before entering into such a contract, the Department must require the contractor to maintain Privacy Act safeguards, as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(7) 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 if the information is relevant to the suspension or debarment action. The Department also may disclose information to any Federal, State, or local agency to gain information in support of the Department’s own debarment and suspension actions.

(8) Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the DOJ to the extent necessary for obtaining the DOJ’s advice on any matter relevant to Department of Education programs or operations.

(9) Congressional Member Disclosure. The Department may disclose information from this system of records to a Member of Congress or to a congressional staff member in response to an inquiry from the congressional office made at the written request of the constituent about whom the record is maintained. The member’s right to the information is no greater than the right of the individual who requested the inquiry.

(10) Benefit Program Disclosure. The Department may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the prevention or detection of fraud and abuse in benefit programs administered by any agency or public authority.

(11) Collection of Debts and Overpayment Disclosure. The Department may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the collection of debts or to overpayments owed to any agency or public authority.

(12) Disclosure to the President’s Council on Integrity and Efficiency (PCIE). The Department may disclose records as a routine use to members and employees of the PCIE for the preparation of reports to the President and Congress on the activities of the Inspectors General.

(13) Disclosure for Qualitative Assessment Reviews. The Department may disclose records as a routine use to members of the PCIE, the DOJ, the U.S. Marshals Service, or any Federal agency for the purpose of conducting qualitative assessment reviews of the investigative or audit operations of the Department’s OIG to ensure that adequate internal safeguards and management procedures are maintained.

(14) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and, (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

Not applicable to this system of records.

Storage:

The records are maintained on encrypted magnetic disks and encrypted tape cartridges in a locked computer facility within the U.S. Department of Education’s OIG.

Records in this system of records are retrieved by name or other identifying information of an individual or institution.

Access to data in ODAS is restricted to authorized OIG staff members and is recorded in an access log. 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 buildings for his or her employee or visitor badge. All data contained in the system of records are kept on a secured and restricted private network and stored in a combination-locked computer laboratory. ODAS is housed within a secure and controlled computer lab. Access to the lab is by authorized OIG personnel only. The general public does not have access to ODAS.

All information stored in this system is secured by using database encryption technology and is resistant to tampering and circumvention by unauthorized users. Access to data by all users will be monitored using both automated and manual controls. The information is accessed by OIG staff on a "need-to-know" and intended systems usage basis.

OIG maintains ODAS in a secure and controlled facility. Access to the computer lab is by authorized OIG personnel only. The general public does not have access to ODAS. The information maintained in ODAS is secured in accordance with OMB M-03-22, OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002, September 26, 2003, the E-Government Act, Section 208, Attachment A, and NIST 800-53, Revision 1, Recommended Security Controls for Federal Information Systems, December 2006.

Contractors will not maintain this system, but under certain limited circumstances they may have access to the system. In accordance with the Department’s Administrative Communications System Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings," all Department personnel who have facility access and system access must undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals.

In addition to conducting security clearances, individuals with access to this system are required to complete security awareness training on an annual basis. Annual security awareness training is required to ensure that users are appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.

The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. All users of this system of records are given a unique user identification, and users are required to change their password at least every 90 days in accordance with the Department’s information technology standards.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules applicable to the aforementioned records. A new records retention and disposition schedule is under development for this system of records. Until NARA approves a retention and disposition schedule for these records, The Department will not destroy any records.

Roland Wong, Director, Computer Assisted Assessment Techniques, Information Technology Audits and Computer Crimes Investigations, Department of Education, Office of Inspector General, 400 Maryland Avenue, SW., PCP, Washington, DC 20202-1510.

This system is exempt from the notification procedures in 5 U.S.C. 552a(e)(4)(G) pursuant to 5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).

This system is exempt from the record access procedures in 5 U.S.C. 552a(e)(4)(H) pursuant to 5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).

This system is exempt from the contesting record procedures in 5 U.S.C. 552a(e)(4)(H) pursuant to 5 U.S.C. 552a(k)(2) and 34 CFR 5b.11(c)(1).

This system contains records taken from the following Department systems: Education’s Central Automated Processing System (EDCAPS) (System Number 18-03-02); Federal Student Aid Application File (System Number 18-11-01); Recipient Financial Management System (the Department expects to amend this system soon and re-name it as the Common Origination and Disbursement System (COD)) (System Number 18-11-02); Title IV Program Files (System Number 18-11-05); National Student Loan Data System (NSLDS) (System Number 18-11-06); Student Financial Assistance Collection Files (System Number 18-11-07); Postsecondary Education Participants System (PEPS) (System Number 18-11-09); The Department of Education (ED) PIN (Personal Identification Number) Registration System (System Number 18-11-12); and the Student Authentication Network Audit File (System Number 18-11-13).

Pursuant to 5 U.S.C. 552a(k)(2), the Secretary, through rulemaking, may exempt from a limited number of Privacy Act requirements a system of records that contains investigatory materials compiled for law enforcement purposes. The materials in this system fall within the scope of section 552a(k)(2) because they are investigatory materials compiled for purposes of enforcing Federal legal requirements. Therefore, the Secretary has issued final regulations published elsewhere in this issue of the Federal Register exempting the ODAS from the following Privacy Act requirements:

5 U.S.C. 552a(c)(3)--access to accounting of disclosure.

5 U.S.C. 552a(c)(4)--notification to outside parties and agencies of correction or notation of dispute made in accordance with 5 U.S.C. 552a(d).

5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and correction or amendment of, records.

5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information.

5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice regarding Department procedures on notification of, access to, correction of, or amendment of records.

18-10-03 Non-Federal Auditor Referral, Suspension, and Debarment File.

None.

Audit Services, Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4200, Switzer Building, Washington, DC 20202-1510.

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.

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.

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.

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.

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.

Storage:

Records are maintained in file folders and/or microcomputer disk.

Records are indexed and retrieved by name of individuals, firms or other professional associations.

Records are secured in file cabinets and are locked in offices after office hours.

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.

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.

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.

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.

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.

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 Hotline Complaint Files of the Inspector General.

None.

Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4116, Switzer Building, Washington, DC 20202-1510.

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.

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.

Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app. 3.

Pursuant to the Inspector General Act, this system is maintained for purposes of: (1) Maintaining a record of complaints and allegations received concerning Department of Education programs and operations and a record concerning the disposition of those complaints and allegations; and (2) reporting on American Recovery and Reinvestment Act of 2009 related complaints and allegations to the Recovery Accountability and Transparency Board.

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 facilitate compliance with program requirements to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA; to any educational institution or school that is or was a party to any agreement with the Secretary of Education pursuant to the HEA; to any guaranty 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.

(7) Disclosure to the Recovery Accountability and Transparency Board (RATB). The Department may disclose records as a routine use to the RATB for purposes of coordinating and conducting oversight of American Recovery and Reinvestment Act of 2009 funds to prevent fraud, waste, and abuse.

(8) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system to appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

None.

Storage:

The records are maintained in complaint files, computer mainframe files, and computer-printed listings.

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.

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.

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).

Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of Education, 400 Maryland Avenue, SW., room 8093, PCP building, Washington, DC 20202-1510.

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.

See Notification Procedure.

Not applicable. See Systems Exempted.

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 Federal Student Aid Application File.

None.

Virtual Data Center (VDC), 2300 W. Plano Parkway, Plano, TX 75075 (Electronic records).

Vangent, 901 South 42nd Street, Mt Vernon, IL 62864 (Paper, Free Application for Federal Student Aid (FAFSA) Applications Storage Facility).

The Federal Student Aid Application File (the system), which is part of the Department’s Central Processing System (CPS), contains records on students who apply for Federal student financial assistance programs authorized by Title IV of the Higher Education Act of 1965, as amended (HEA). This system also contains information on the parent(s) of a dependent applicant and the spouse of a married applicant. In addition, this system covers secondary school students about whom requesting entities, such as schools, local educational agencies (LEAs), and other local and State agencies, submit information (e.g., name, date of birth, and zip code) to the Department in order for the Department to provide these entities with the student’s Free Application for Federal Student Aid (FAFSA) completion filing status to promote and encourage the student to apply for Title IV, HEA program assistance, State assistance, and aid awarded by institutions of higher education.

This system of records contains information provided by applicants for Title IV, HEA program assistance, on the FAFSA, including, but not limited to, the applicant’s name, address, Social Security number (SSN), date of birth, telephone number, driver’s license number, e-mail address, citizenship status, marital status, legal residence, status as a veteran, educational status, and financial data. This system also contains information provided about the parent(s) of a dependent applicant, including, but not limited to, the parent’s highest level of schooling completed, marital status, SSN, last name and first initial, date of birth, e-mail address, number in household supported by the parent, and income and asset information. For an applicant who is married, this system of records also contains spousal income and asset information.

While using this system to analyze its student population data for verification selection via the Institutional Student Information Record (ISIR) Analysis Tools (IA Tools) product, postsecondary institution(s) attended by the applicant may create user defined fields with institutional data that are saved to the system. These data elements may consist of information that is privacy protected. Examples include, but are not limited to: The student’s grade point average or information about a student’s employment with the postsecondary institution.

The system determines an applicant’s expected family contribution (EFC). The EFC is used by institutions to determine the student’s eligibility for Federal and institutional program assistance, and by States to determine the student’s eligibility for State grants. The Department notifies the applicant of the results of his or her application via the Student Aid Report (SAR). The Department provides the institutions identified on the applicant’s FAFSA with the ISIR, which indicates whether there are discrepant or insufficient data, school adjustments, or CPS assumptions that affect processing of the FAFSA. Other information that the system includes, but is not limited to: Secondary EFC, dependency status, Federal Pell Grant Eligibility, duplicate SSN, selection for verification, Simplified Needs Test (SNT) or Automatic Zero EFC (used for extremely low family income), CPS processing comments, reject codes (explanation for applicant’s FAFSA not computing EFC), assumptions made with regard to the student’s data due to incomplete or inconsistent FAFSA data, financial aid administrator’s (FAA) adjustments including dependency status overrides, and CPS record processing information (application receipt date, transaction number, transaction process date, SAR Serial Number, Compute Number, Data Release Number (DRN), National Student Loan Database System (NSLDS) match results, a bar code, and transaction source).

Information from other Department systems, such as NSLDS, the Common Origination and Disbursement System (COD), and the Student Aid Internet Gateway (SAIG) Participation Management System, is added to this system of records. The Appendix contains a more detailed description of the data added to this system of records as a result of the exchanges of data with other Department systems and the Department’s computer matching programs with other Federal agencies.

Title IV of the Higher Education Act (HEA), as amended (20 U.S.C. 1001 et seq.).

The information contained in this system is maintained for the purposes of: (1) Assisting with the determination, correction, processing, tracking, and reporting of program eligibility and benefits for the Federal student financial assistance programs authorized by Title IV of the HEA; (2) making a loan, grant, or scholarship; (3) verifying the identity of the applicant, the spouse if applicable, and the parent(s) of a dependent applicant, and the accuracy of the information in this system; (4) reporting the results of the need analysis, Federal Pell Grant eligibility determination, and the results of duly authorized computer matching programs between the Department and other Federal agencies to applicants, postsecondary institutions, third-party servicers, State agencies designated by the applicant, and 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; (5) enforcing the terms and conditions of a Title IV, HEA loan or grant; (6) servicing and collecting a delinquent Title IV, HEA loan or grant; (7) initiating enforcement action against an individual involved in program fraud, abuse, or noncompliance; (8) locating a debtor; (9) maintaining a record of the data supplied by those requesting assistance; (10) ensuring compliance with and enforcing Title IV, HEA programmatic requirements; (11) acting as a repository and source for information necessary to fulfill the requirements of Title IV of the HEA; (12) evaluating Title IV, HEA program effectiveness; (13) enabling institutions of higher education designated by the applicant to review and analyze the financial aid data of their applicant population; (14) assisting students with the completion of the application for the Federal student financial assistance programs authorized by Title IV of the HEA; (15) determining the eligibility of applicants for the award of State postsecondary education assistance and for the award of aid by eligible institutions of higher education or other entities designated by the Secretary and administering those awards; and 16) promoting and encouraging application for Title IV, HEA program assistance, State assistance, and aid awarded by institutions of higher education or other entities designated by the Secretary.

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 of 1974, as amended (Privacy Act), under a computer matching agreement.

(1) Program Disclosures.

(a) To verify the identity of the applicant and the applicant’s spouse, if applicable, and the parent(s) of a dependent applicant; to determine the accuracy of the information contained in the record; to support compliance with Title IV, HEA statutory and regulatory requirements; and to assist with the determination, correction, processing, tracking, and reporting of program eligibility and benefits, the Department may disclose records to guaranty agencies and financial institutions participating in the Federal Family Education Loan (FFEL) Programs, institutions of higher education, third-party servicers, and Federal and State agencies;

(b) To provide an applicant’s financial aid history, including information about the applicant’s Title IV, HEA loan defaults and Title IV, HEA grant program overpayments, the Department may disclose records to institutions of higher education, guaranty and State agencies, financial institutions participating in the FFEL Programs, and third-party servicers;

(c) To facilitate receiving and correcting application data, processing Federal Pell Grants and Direct Loans, and reporting Federal Perkins Loan Program expenditures to the Department’s processing and reporting systems, the Department may disclose records to institutions of higher education, State agencies, and third-party servicers;

(d) To assist loan holders with the collection and servicing of Title IV, HEA loans, to support pre-claims/supplemental pre-claims assistance, to assist in locating borrowers, and to assist in locating students who owe grant overpayments, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL Programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(e) To facilitate assessments of Title IV, HEA program compliance, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL Programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(f) To assist in locating holders of loan(s), the Department may disclose records to student borrowers, guaranty agencies and financial institutions participating in the FFEL Programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(g) To assist in assessing the administration of Title IV, HEA program funds by guaranty agencies, financial institutions, institutions of higher education, and third-party servicers, the Department may disclose records to Federal and State agencies;

(h) To enforce the terms of a loan or grant or to assist in the collection of loan or grant overpayments, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(i) To assist borrowers in repayment, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL program, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(j) To initiate legal action against an individual involved in illegal or unauthorized Title IV, HEA program expenditures or activities, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(k) To initiate or support a limitation, suspension, or termination action, an emergency action, or a debarment or suspension action, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(l) To investigate complaints, update files, and correct errors, the Department may disclose records to guaranty agencies and financial institutions participating in the FFEL programs, institutions of higher education, third-party servicers, and Federal, State, and local agencies;

(m) To inform the parent(s) of a dependent applicant or a spouse of an applicant of information about the parent(s) or spouse in an application for Title IV, HEA funds, the Department may disclose records to the parent(s) or the spouse, respectively;

(n) To disclose to the parent(s) of a dependent applicant applying for a PLUS loan (to be used on behalf of a student), to identify the student as the correct beneficiary of the PLUS loan funds, and to allow the processing of the PLUS loan application and promissory note, the Department may disclose records to the parent(s) applying for the PLUS loan;

(o) To expedite the student application process, the Department may disclose information from this system, upon request by a third-party, provided that the third-party provides the Department with the applicant’s first and last name, SSN, date of birth, and DRN. A DRN is a four-digit number assigned to an application by Federal Student Aid;

(p) To encourage a student to complete a FAFSA or to assist a student with the completion of a FAFSA, the Department may disclose the FAFSA filing status of the student to a LEA, a secondary school where the student is or was enrolled, or other State, local, or private entity designated by the Secretary;

(q) To enable an applicant, should the applicant wish to do so, to obtain information from other Federal agencies’ records that will assist the applicant in completing the FAFSA online, the Department may disclose information from this system of records to other Federal agencies, such as the Internal Revenue Service; and

(r) To determine an applicant’s eligibility for the award of State postsecondary education assistance and for the award of aid by eligible institutions of higher education or other entities designated by the Secretary and to administer those awards, the Department may disclose information from this system of records to State agencies, eligible institutions of higher education, and other entities designated by the Secretary.

(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 prosecutorial responsibility within the receiving entity’s jurisdiction.

(3) Enforcement Disclosure. If information in the system of records, either alone or in connection with other information, indicates a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose records to an entity charged with investigating or prosecuting those violations or potential violations.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or arrange for representation of the employee.

(iv) Any Department employee 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 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) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, Counsel, Representatives, and Witnesses. If the Department determines that disclosure of certain records is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to the DOJ or to the Office of Management and Budget (OMB) if the Department determines that disclosure would help in determining whether records are required to be disclosed under the FOIA or the Privacy Act.

(6) Contracting Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to establish and maintain the safeguards required under 5 U.S.C. 552a(m) of the Privacy Act with respect to the records.

(7) Congressional Member Disclosure. The Department may disclose records to a member of Congress in response to an inquiry from the member made at the written request of the individual whose records are being disclosed. The member’s right to the information is no greater than the right of the individual who requested it.

(8) 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 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.

(9) 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.

(10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(11) Disclosure to the 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.

(12) Research Disclosure. The Department may disclose records to a researcher if 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. Further, the Department 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) Disclosure to the OMB for Federal Credit Reform Act (CRA) Support. The Department may disclose records 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.

(14) Disclosures to third-parties through computer matching programs. Any information from this system of records, including personal information obtained from other agencies through computer matching programs, may be disclosed to any third-party through a computer matching program in connection with an individual’s application or participation in any grant or loan program administered by the Department. Purposes of these disclosures may be to determine program eligibility and benefits, enforce the conditions and terms of a loan or grant, permit the servicing and collecting of a loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, or initiate legal action against an individual involved in program fraud or abuse.

(15) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer reporting agency regarding a valid overdue claim of the Department: (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).

Storage:

Paper applications are maintained in standard Federal Records Center boxes in locked storage rooms at the contractor facility in Mt. Vernon, Illinois, and then moved to the Federal archives where the records are maintained.

Computerized applicant records, which include optically imaged documents, are maintained on magnetic tape reels, cartridges, and hard disks in the computer facility and locked storage rooms within the Virtual Data Center. Microfiche records maintained in the Washington, DC office are stored in a locked fireproof file cabinet. Access is available only to authorized personnel.

Records are indexed and retrieved by the applicant’s SSN, name, and the academic year in which the applicant applied for Title IV, HEA program assistance.

Physical access to the data systems housed within the VDC is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during non-business 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. Paper applications are maintained in standard Federal Records Center boxes in a locked storage room at the contractor facility in Mount Vernon, Illinois, and then moved to the Federal archives where the records are maintained.

The Department will retain all identifiable CPS records for a period not to exceed 15 years after the end of the award year in accordance with the applicable Record Retention Schedule as approved by the National Archives and Records Administration. At the conclusion of the mandatory retention period, these records will be destroyed consistent with legal retention requirements established by the Department in conjunction with the National Archives and Records Administration.

Director, Application Processing Division, Program Management Systems, Federal Student Aid, U.S. Department of Education, 830 First St., NE., UCP, room 63C4, Washington, DC 20202.

If you wish to determine whether a record exists regarding you in the system of records, contact the system manager and provide your name, date of birth, and SSN 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.

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.

If you wish to contest the content of a record for the current processing year (which begins on January 1 of the calendar year and continues for 18 months until June 30 of the following calendar year) in the 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.

Applicants for Federal student financial aid, their spouses (if married), and the parent(s) of dependent applicants provide the information used in this system by filing a phone, paper, or electronic version of the FAFSA with the Department of Education. (The electronic FAFSA can be accessed at http://www.fafsa.ed.gov.)

Postsecondary institutions designated by the applicant or third-party servicers designated by the postsecondary institution may correct the records in this system as a result of documentation provided by the applicant or by a dependent applicant’s parents, such as Federal income return(s) (IRS Form 1040, IRS Form 1040A, or IRS Form 1040EZ), Social Security card(s), and Department of Homeland Security I-551 Resident Alien cards.

This system contains information added during CPS processing and information received from other Department systems, including NSLDS, COD, and the SAIG Participation Management System. For more information about the information received from these other Department systems, see the Appendix.

The results of computer matching programs with the following Federal agencies are also added to the student’s record during CPS processing: The Social Security Administration (SSA), the Department of Veterans Affairs (VA), the Selective Service System (SSS), the Department of Homeland Security (DHS), the Department of Justice (DOJ), and the Department of Defense (DoD). For more information about the information received from these computer matching programs, see the Appendix.

None.

Appendix to 18-11-01

Additional Information about Categories of Records in the System and Record Source Categories:

Data provided to the Department as a result of computer matching with other Federal agencies are added during CPS processing. These computer matches are with the SSA to verify the SSNs of applicants, and dependent applicants’ parent(s), and to confirm the U.S. citizenship status of applicants as recorded in SSA records and date of death (if applicable) of applicants, and dependent applicants’ parents, pursuant to sections 428B(f)(2), 483(a)(12), and 484(g) and (p) of the HEA (20 U.S.C. 1078-2(f)(2), 1090(a)(12), and 1091(g) and (p)); with the VA to verify the status of applicants who claim to be veterans, pursuant to section 480(c) and (d)(1)(D) of the HEA (20 U.S.C. 1087vv(c) and (d)(1)(D)); with the SSS to confirm the registration status of male applicants, pursuant to section 484(n) of the HEA (20 U.S.C. 1091(n)); with the DHS to confirm the immigration status of applicants for assistance as authorized by section 484(g) of the HEA (20 U.S.C. 1091(g)); with the DOJ to enforce any requirement imposed at the discretion of a court, pursuant to section 5301 of the Anti-Drug Abuse Act of 1988, Public Law 100-690, as amended by section 1002(d) of the Crime Control Act of 1990, Public Law 101-647 (21 U.S.C. 862), denying Federal benefits under the programs established by Title IV of the HEA to any individual convicted of a State or Federal offense for the distribution or possession of a controlled substance; and with the DoD to identify dependents of U.S. military personnel who died in service in Iraq and Afghanistan after September 11, 2001, to determine if they are eligible for increased amounts of Title IV, HEA program assistance, pursuant to sections 420R and 473(b) of the HEA (20 U.S.C. 1070h and 1087mm(b)).

During CPS processing, the Department’s COD system sends information to this system for students who have received a Federal Pell Grant. The CPS uses this information for verification analysis and for end-of-year reporting. These data include, but are not limited to: Verification Selection and Status, Potential Over-award Project (POP) indicator, Institutional Cost of Attendance, Reporting and Attended Campus Pell ID and Enrollment Date, and Federal Pell Grant Program information (Scheduled Federal Pell Grant Award, Origination Award Amount, Total Accepted Disbursement Amount, Number of Disbursements Accepted, Percentage of Eligibility Used At This Attended Campus Institution, and Date of Last Activity from the Origination or Disbursement table).

The CPS also receives applicant data from the Department’s NSLDS system each time an application is processed or corrected. This process assesses student aid eligibility, updates financial aid history, and ensures compliance with Title IV, HEA regulations. Some of these data appear on the applicant’s SAR and ISIR. Title IV, HEA award information is provided to NSLDS from several different sources. Federal Perkins Loan data and Federal Supplemental Educational Opportunity Grant (FSEOG) overpayment data are sent from postsecondary institutions or their third-party servicers; the Department’s COD system provides Federal Pell Grant and Direct Loan data; and State and guaranty agencies provide data on FFEL loans received from lending institutions participating in the FFEL programs.

Financial aid transcript data reported by NSLDS provides applicants, postsecondary institutions, and third-party servicers with information about the type(s), amount(s), dates, and overpayment status of prior and current Title IV HEA funds the applicant received. FFEL and William D. Ford Federal Direct Student Loan (DL) data reported by NSLDS include, but are not limited to: (1) Aggregate Loan Data, such as Subsidized, Unsubsidized; Combined Outstanding Principal Balances; Unallocated Consolidated Outstanding Principal Balances, Subsidized, Unsubsidized; Combined Pending Disbursements, Subsidized, Unsubsidized; Combined Totals; and Unallocated Consolidated Totals; (2) Detail Loan Data, such as Loan Sequence Number; Loan Type Code; Loan Change Flag; Loan Program Code; Current Status Code and Date; Outstanding Principal Balance and Date; Net Loan Amount; Loan begin and End Dates; Amount and Date of Last Disbursement; Guaranty Agency Code; School Code; Contact Code; and Institution Type and Grade Level; and (3) system flags for Additional Unsubsidized Loan; Capitalized Interest; Defaulted Loan Change; Discharged Loan Change; Loan Satisfactory Repayment Change; Active Bankruptcy Change; Overpayments Change; Aggregate Loan Change; Defaulted Loan; Discharged Loan; Loan Satisfactory Repayment; Active Bankruptcy; Additional Loans; DL Master Promissory Note; DL PLUS Loan Master Promissory Note; Subsidized Loan Limit; and the Combined Loan Limit. Federal Perkins Loan data reported by NSLDS include, but are not limited to: Cumulative and Current Year Disbursement Amounts; flags for Perkins Loan Change; Defaulted Loan; Discharged Loan; Loan Satisfactory Repayment; Active Bankruptcy; Additional Loans; and Perkins Overpayment Flag and Contact (School or Region). Federal Pell Grant payment data reported include, but are not limited to: Pell Sequence Number; Pell Attended School Code; Pell Transaction Number; Last Update Date; Scheduled Amount; Award Amount; Amount Paid to Date; Percent Scheduled Award Used; Pell Payment EFC; Flags for Pell Verification; and Pell Payment Change. Federal Teacher Education Assistance for College and Higher Education (TEACH) Grant Program data include, but are not limited to: TEACH Grant Overpayment Contact; TEACH Grant Overpayment Flag; TEACH Grant Loan Principal Balance; TEACH Grant Total; and Teach Grant Change Flag. The National Science and Mathematics Access to Retain Talent Grant (SMART Grant) data include, but are not limited to: SMART Grant Overpayment Flag; SMART Grant Overpayment Contact; and SMART Grant Change Flag. Iraq and Afghanistan Service Grants data include, but are not limited to: Total Award Amount. Academic Competitiveness Grant (ACG) data include, but are not limited to: ACG Award Amount; ACG Overpayment Flag; and ACG Payment Change Flag. FSEOG data include, but are not limited to: Overpayment Flag and contact information.

The Department obtains and exchanges information that is included in this system of records from institutions offering secondary level education, local educational agencies, other local agencies, postsecondary institutions, third-party servicers, State agencies, and lending institutions that participate in the FFEL programs. These eligible entities register with the SAIG system to participate in the information exchanges specified for their business processes.

18-11-02 Common Origination and Disbursement (COD) System.

None.

Total Systems Services, Inc. (TSYS), 1600 First Ave., P.O. Box 2567, Columbus, GA 31902-2567. (This is the Computer Center for the COD Application.) All electronic COD information is processed and stored here. This includes the William D. Ford Federal Direct Loan (Direct Loan) Program, the Federal Pell Grant Program, the Academic Competitiveness Grant (ACG) Program, the National Science and Mathematics Access to Retain Talent (National SMART) Grant Program, the Teacher Education Assistance for College and Higher Education (TEACH) Grant Program, and the Iraq and Afghanistan Service Grant Program.)

Affiliated Computer Services, Inc. (ACS), 2429 Military Road, Suite 200, Niagara Falls, NY 14304-1551. (This is the COD Customer Service Center.)

HP Enterprise Services, COD Ancillary Services, 201 TechnaCenter Dr., Suite 300, Montgomery, AL 36117-6044. (This center images and stores all of the Direct Loan promissory notes.)

Dell Perot Systems, 2300 W. Plano Parkway, Plano, TX 75075-8427. (The Direct Loan electronic promissory notes, TEACH Agreement to Serve promissory notes, Direct Loan Entrance Counseling, TEACH Entrance Counseling, and the COD archives are stored here.)

HP Enterprise Services, D5-2B-14, 6901 Windcrest Parkway, Plano, TX 75024-8427. (This is the data center for the paper promissory notes processed by COD Ancillary Services.)

This system contains records of individuals who apply for or receive a Federal grant or loan under one of the following programs authorized under title IV of the Higher Education Act of 1965, as amended (HEA): (1) The Federal Pell Grant Program; (2) the ACG Program; (3) the National SMART Grant Program; (4) the TEACH Grant Program; (5) the Iraq and Afghanistan Service Grant Program; and (6) the Direct Loan Program, which consists of Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, and Federal Direct PLUS Loans. COD also contains records of individuals who have completed Direct Loan Entrance Counseling.

Records in the COD system include, but are not limited to: (1) Recipient identifier information including name, social security number (SSN), and date of birth; (2) recipient demographic information such as address, e-mail address, driver’s license number, telephone number, citizenship status, dependency status, estimated family contribution, cost of attendance, post-secondary school identifier, and enrollment information; (3) Federal Pell Grant, ACG, SMART Grant, TEACH Grant, Iraq and Afghanistan Service Grant, and Direct Loan award amounts and dates of disbursements; (4) Federal Pell Grant, ACG, SMART Grant, and Iraq and Afghanistan Service Grant collection referral and payment amounts; (5) Direct Loan promissory notes; (6) TEACH Agreement to Serve documents; and, (7) Direct Loan and TEACH entrance counseling information, including the SSNs of the recipients and the dates that they completed the entrance counseling.

This system of records is authorized under title IV of the HEA, 20 U.S.C. 1070 et seq.

The information contained in this system is maintained for the following purposes related to students and borrowers: (1) To determine recipient eligibility and benefits for the title IV, HEA programs; (2) to store electronic data that support the existence of a legal obligation to repay funds disbursed under the title IV, HEA programs, including documentation such as promissory notes, and other agreements; (3) to identify whether an individual may have received a title IV, HEA Federal grant or loan at more than one educational institution for the same enrollment period in violation of title IV, HEA program regulations; and (4) to identify whether an individual may have exceeded the annual award limits under the title IV, HEA Federal grant or loan programs in violation of title IV, HEA program regulations.

The information in this system is also maintained for the following purposes relating to institutions participating in and administering the title IV, HEA programs: (1) To enable an educational institution to reconcile, on an aggregate and recipient-level basis, the amount of title IV, HEA Federal grant and Direct Loan funds that an institution received with disbursements it made to, or on behalf of, eligible students (including reconciling verification codes, reconciling the funds received with disbursements made by type of funds received, and making necessary corrections and adjustments); (2) to enable an institution of higher education to perform on-line credit checks to determine the credit worthiness of a borrower for title IV, HEA Federal Direct PLUS Loans; and (3) to assist an institution of higher education, a software vendor, or a third-party servicer with questions about a title IV, HEA Federal grant or loan.

The information in this system is also maintained for the following purposes relating to the Department’s oversight of the title IV, HEA programs: (1) To support the investigation of possible fraud and abuse and to detect and prevent fraud and abuse in the title IV, HEA Federal grant and loan programs; (2) to confirm that an institution of higher education, or a program offered by an institution of higher education, is eligible to receive title IV, HEA program funds; (3) to set and adjust program funding authorization levels for each institution; (4) to enforce institutional compliance with Department reporting deadlines; and (5) to apply appropriate title IV, HEA funding controls.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement.

(1) Program Purposes. The Department may disclose records from the system of records for the following program purposes:

(a) To verify the identity of the recipient involved or the accuracy of the record, or to assist with the determination of program eligibility and benefits, the Department may disclose records to institutions of higher education; financial institutions; third-party servicers; and Federal, State, or local agencies;

(b) To store electronic data that support the existence of a legal obligation to repay funds disbursed under the title IV, HEA programs, including documentation such as promissory notes and other agreements, the Department may disclose records to institutions of higher education, third-party servicers, and Federal agencies;

(c) To identify whether an individual may have received a title IV, HEA Federal grant or loan at more than one institution of higher education for the same enrollment period in violation of title IV, HEA regulations, the Department may disclose records to institutions of higher education; third-party servicers; and Federal, State, or local agencies;

(d) To identify whether an individual may have exceeded the annual award limits under the title IV, HEA Federal grant or Direct Loan Programs in violation of title IV, HEA regulations, the Department may disclose records to institutions of higher education, third-party servicers, and Federal agencies;

(e) To enable institutions of higher education to reconcile, on an aggregate and recipient-level basis, the amount of title IV, HEA Federal grant and Direct Loan funds that an institution received with disbursements it made to, or on behalf of, eligible students (including reconciling verification codes, reconciling the funds received with disbursements made by type of funds received, and making necessary corrections and adjustments), the Department may disclose records to institutions of higher education; third-party servicers; and Federal, State, or local agencies;

(f) To enable an institution of higher education to perform on-line credit checks to determine the credit worthiness of a borrower for title IV, HEA Federal Direct PLUS Loans, disclosures may be made to institutions of higher education, third-party servicers, credit reporting agencies, and Federal agencies;

(g) To assist an individual, institutions of higher education, third-party servicers, or software vendors with questions about a title IV, HEA Federal grant or loan, disclosures may be made to institutions of higher education; software vendors; third-party servicers; and Federal, State, or local agencies;

(h) To support the investigation of possible fraud and abuse and to detect and prevent fraud and abuse in the title IV, HEA Federal grant and loan programs, disclosures may be made to institutions of higher education; third-party servicers; and Federal, State, or local agencies.

(2) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff when necessary to respond 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) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(4) Enforcement Disclosure. In the event that information in this system of records indicates, either on its face or in connection with other information, a violation or potential violation of any applicable statute, regulation, or order of a competent authority, the Department may disclose the relevant records to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting that violation or charged with enforcing or implementing the statute, Executive order, rule, regulation, or order issued pursuant thereto.

(5) Litigation or Alternative Dispute Resolution (ADR) Disclosure.

(a) Introduction. In the event that one of the following parties listed below is involved in litigation or ADR, or has an interest in litigation or ADR, the Department may disclose certain records from this system of 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation of the employee.

(iv) Any Department employee in his or her individual capacity when the Department has agreed to represent the employee.

(v) The United States when 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) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to litigation or ADR to disclose certain records from this system of 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 or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(6) Employment, Benefit, and Contracting Disclosure.

(a) For Decisions by the Department. The Department may disclose information from this system of records to a Federal, State, or local agency 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 information from this system of 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 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 to the receiving entity’s decision on the matter.

(7) Employee Grievance, Complaint, or Conduct Disclosure. If a record is relevant and necessary to a grievance, complaint, or disciplinary proceeding involving a present or former employee of the Department, the Department may disclose a record from this system of records in the course of investigation, fact-finding, or adjudication to any party to the grievance, complaint, or action; to the party’s counsel or representative; to a witness; or to a designated fact-finder, mediator, or other person designated to resolve issues or decide the matter. The disclosure may only be made during the course of investigation, fact-finding, or adjudication.

(8) Labor Organization Disclosure. The Department may disclose a record from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(9) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records from this system of records to the DOJ or Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(10) Disclosure to the DOJ. The Department may disclose records from this system of 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 must require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(12) Research Disclosure. The Department may disclose records from this system of records to a researcher if 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 must be required to maintain Privacy Act safeguards with respect to the disclosed records.

(13) Disclosure to OMB for Credit Reform Act (CRA) Support. The Department may disclose records from this system of records to OMB as necessary to fulfill CRA requirements.

(14) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system of records to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

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 valid, overdue claim of the Department. Such information is limited to (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 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).

Storage:

The Department electronically stores origination and disbursement records on hard disk at TSYS in Columbus, Georgia. It stores electronic master promissory notes on hard disk at the Dell Perot Systems Data Center in Plano, Texas. Paper Direct Loan promissory notes are stored in locked vaults in Montgomery, Alabama and at a Federal Records Center near Atlanta, Georgia. Data obtained from the paper promissory notes are stored on hard disks at TSYS in Columbus, Georgia. This data is referred to as metadata and is used by the system to link promissory notes to borrower data. The Department also creates electronic images of the paper promissory notes at the HP facility in Montgomery, AL and stores the images at the HP facility in Plano, Texas.

Records in the system are retrieved by the individual’s SSN or name, or by the institution’s Office of Postsecondary Education identification number (OPEID).

All physical access to the sites of the Department’s contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.

In accordance with the Department’s Administrative Communications System Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings," all contract and Department personnel who have facility access and system access must undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals.

In addition to undergoing security clearances, contract and Department employees are required to complete security awareness training on an annual basis. Annual security awareness training is required to ensure that contract and Department users are appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.

The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need-to-know" basis and controls individual users’ ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department’s Federal Student Aid (FSA) Information Security and Privacy Policy requires the enforcement of a complex password policy. In addition to the enforcement of the complex password policy, users are required to change their password at least every 90 days in accordance with the Department’s information technology standards.

Federal Direct Loan Records:

Records are maintained and disposed of in accordance with ED 072 FSA Application, Origination, and Disbursement Records, Item b.2. Records are destroyed 15 years after final repayment or audit, or after relevant data is transferred to an alternate recordkeeping system (i.e., loan servicing system), whichever occurs first.

Grant Records:

Records are maintained and disposed of in accordance with ED 072 FSA Application, Origination, and Disbursement Records, Item b.2. Records are destroyed 15 years after final repayment or audit, or after relevant data is transferred to an alternate recordkeeping system (i.e., National Student Loan Data System), whichever occurs first.

System Manager, Common Origination and Disbursement System, FSA, U.S. Department of Education, UCP, 830 First Street, NE., 6th Floor, Washington, DC 20202-5454.

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 SSN. Requests must meet the requirements in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to a record in this system, provide the system manager with your name, date of birth, and SSN. Requests by an individual for access to a record must meet the requirements in 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record regarding you in the system of records, provide the system manager with your name, date of birth, and SSN. Identify the specific items to be changed, and provide a written justification for the change. Requests to amend a record must meet the requirements in 34 CFR 5b.7.

This system includes records on individuals who have received title IV, HEA program assistance. These records include information provided by recipients of title IV, HEA program assistance and the parents of dependent recipients. This system also includes information from Federal Grant and Direct Loan origination and disbursement records provided by institutions of higher education or their agents to the Department. The Central Processing System (CPS) (covered by the Department’s Privacy Act system of records notice entitled "Federal Student Aid Application File" (18-11-01)) electronically sends the COD system the Abbreviated Applicant File to validate all CPS-processed Free Application for Federal Student Aid (FAFSA) records with the Federal Grant and Direct Loan disbursement data processed through the COD system.

The Department’s Privacy Act system of records notice entitled "Common Services for Borrowers (CSB)" (18-11-16) sends COD booking acknowledgements, discharge information, and payments to servicer data.

None.

18-11-03 Student Financial Assistance Validation File.

None.

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.

This system contains records on applicants and recipients of student financial assistance.

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.

Title IV of the Higher Education Act of 1965.

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.

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).

Storage:

Records are maintained in standard file cabinets.

Records are indexed by name.

Access is restricted to authorized staff only and files are maintained in locked cabinets.

Records are maintained until resolved and then transferred to the Federal Records Center.

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.

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.

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.

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.

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).

None.

Users will be granted access to their own record via the http://www.studentaid.ed.gov Web site when they are able to provide their User ID and password. Otherwise, users wishing to gain access to records in this system of records must contact the system manager at fsa.portals@ed.gov e-mail address or at the above address and follow the steps outlined in the Notification procedure. Request to access a record must also reasonably specify the record contents sought and otherwise meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record in this system of records, you may gain access to the system and alter the record via the http://www.studentaid.ed.gov Web site and using the system edits and update function. Otherwise, you must contact the system manager at fsa.portals@ed.gov e-mail address or at the above address and follow the steps outlined in the Notification procedure. Requests to amend a record must also reasonably identify the record, specify the information being contested, and otherwise meet the regulations at 34 CFR 5b.7.

Information in this system is obtained from customers who use the http://www.studentaid.ed.gov Web site and complete the optional web site personalization referred to as "My FSA" . The "My FSA" personalization form provides the information contained within the system.

None.

Appendix--FSA Students Portal Fields

18-11-05 Title IV Program Files.

None.

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.

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.

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..

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).

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.

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).

Storage:

The records are maintained in either hard copy, microfilm, magnetic tape, or other electronic media.

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.

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.

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.

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.

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.

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.

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.

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.

None.

18-11-06 National Student Loan Data System (NSLDS).

None.

Dell Perot Systems, 2300 West Plano Parkway, Plano, TX 75075-8247. (This is the computer center for the NSLDS Application Virtual Data Center.)

Iron Mountain, P.O. Box 294317, Lewisville, Texas 75029-4317. (This is the location where back-up tapes for NSLDS are maintained.)

This system contains records on borrowers under the title IV, Higher Education Act of 1965, as amended (HEA) loan programs. This system contains records on borrowers who have applied for and received loans under the William D. Ford Federal Direct Loan (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, and Perkins Expanded Lending and Income Contingent Loans) (Perkins Loans). The NSLDS also contains records on recipients of Federal Pell Grants, Academic Competitiveness Grants (ACG), National Science and Mathematics Access to Retain Talent (National SMART) Grants, and Teacher Education Assistance for College and Higher Education (TEACH) Grants, the Iraq and Afghanistan Service Grants, as well as on persons who owe an overpayment on a Federal Pell Grant, an ACG Grant, a National SMART Grant, a Federal Supplemental Educational Opportunity Grant (FSEOG), Iraq and Afghanistan Service Grant, or a Federal Perkins Loan. NSLDS contains student enrollment information for those who have received an FFEL Loan, an FISL Loan, a Direct Loan, or a Perkins Loan. NSLDS contains Master Conduit Loan Program Data, Master Loan Participation Program (LPP) Data, and loan-level detail on FFEL Subsidized, Unsubsidized, and PLUS loans funded through those programs. The system also contains records on students (both title IV, HEA recipients and students who do not receive title IV aid) who, during an award year, begin attendance in a program that is at least one-academic-year training program that leads to a certificate, or other non-degree recognized credential and that prepares students for gainful employment in a recognized occupation, or who begin an eligible program provided by a proprietary institution of higher education or a postsecondary vocational institution. The system also contains records on students who complete a program that prepares students for gainful employment in a recognized occupation.

Records in NSLDS include, but are not limited to: (1) Borrower identifier information including Social Security Number (SSN), name, date of birth, and driver’s license; (2) information on the borrower’s loan(s) covering the period from the origination of the loan through final payment, cancellation, consolidation, discharge, or other final disposition including details such as loan amount, disbursements, balances, loan status, collections, claims, deferments, refunds, and cancellations; (3) student identifiers including the student’s SSN, date of birth, and name, student enrollment information including the Office of Postsecondary Education identification number (OPEID number) of the institution where the student began a program of study that prepares students for gainful employment in a recognized occupation pursuant to sections 1001 and 1002 of the HEA ("gainful employment program"), the Classification of Instructional Program (CIP) code for the program in which the student enrolled, and if the student completed the program, the completion date, and CIP code of the completed program, the level of study, the amount of the student’s private educational loan debt, the amount of institutionally provided financing owed by the student, whether the student matriculated to a higher credentialed program at the same institution or another institution, aggregated income information on graduates of the particular gainful employment program, and the median loan debt incurred by students who completed the gainful employment program; (4) student demographic information such as dependency status, citizenship, veteran status, marital status, gender, income and asset information, expected family contribution, and address; (5) information provided by the parent(s) of a dependent recipient, including, but not limited to: name, date of birth, SSN, marital status, e-mail address, highest level of schooling completed, and income and asset information; (6) information about the spousal income and asset information of a married borrower who is repaying a title IV, HEA loan under an income-based repayment plan; (7) Federal Pell Grant, ACG Grant, National SMART Grant, TEACH Grant, and Iraq and Afghanistan Service Grant amounts and dates of disbursement; (8) Federal Pell Grant, ACG Grant, National SMART Grant, Iraq and Afghanistan Service Grant, FSEOG, and Federal Perkins Loan Program overpayment amounts; (9) demographic and contact information on the guaranty agency that guarantees the borrower’s FFEL loan and the lender(s), holder(s), and servicer(s) of the borrower’s loan(s); (10) NSLDS user profiles that include name, SSN, date of birth, employer, and NSLDS user name; (11) information concerning the date of any default on loans and the aggregated loan data to support cohort default rate calculations for educational institutions, financial institutions, and guaranty agencies; (12) pre- and post-screening results used to determine a student or parent’s aid eligibility; and, (13) information on financial institutions participating in the loan participation and sale programs established by the Department under the Ensured Continued Access to Student Loan Act of 2008 (ECASLA), including the collection of: ECASLA loan-level funding amounts, dates of ECASLA participation for financial institutions, dates and amounts of loans sold to the Department under ECASLA, and the amount of loans funded by the Department’s programs but repurchased by the lender.

The authority under which the system is maintained includes sections 101, 102, 485, and 485B of the HEA (20 U.S.C. 1001, 1002, 1092, and 1092B). The collection of SSNs of borrowers who are covered by this system is authorized by 31 U.S.C. 7701 and Executive Order 9397 (November 22, 1943), as amended by Executive Order 13478 (November 18, 2008).

The information contained in this system is maintained for the following purposes relating to students and borrowers: (1) To determine student/borrower eligibility for title IV, HEA programs by NSLDS pre- and post-screening processes; (2) to report changes in student/borrower enrollment status and enrollment in programs subject to the Program Integrity regulations published in the Federal Register on October 29, 2010 (75 FR 66832) that address gainful employment reporting via the Gainful Employment Reporting Process; (3) to track loan borrowers and students who owe grant overpayment amounts (debtors); (4) to provide an Exit Counseling tool for Teach Grants, FFEL, and Direct Loan programs that provides various calculators, requires students to complete a quiz to ensure understanding of their repayment obligations, and collects information to assist in the activity of skip-tracing for loan holders; (5) to provide Web-based access for borrowers/students to their loan, grant, and enrollment data; (6) to maintain information on the status of student loans; (7) to maintain information on Federal Pell, ACG, National SMART, TEACH, and Iraq and Afghanistan Service Grant awards to students; and (8) to provide borrowers and NSLDS users with loan refund/cancellation details. The information maintained in this system is also maintained for the following purposes relating to institutions participating in and administering the title IV, HEA programs: (1) To permit Department staff, Department contractors, guaranty agencies, eligible lenders, and eligible institutions of higher education to verify the eligibility of a student, potential student, or parent for loans; (2) to provide student aggregate loan calculations to educational institutions; (3) to track loan transfers from one entity to another; (4) to determine default rates for educational institutions, guaranty agencies, and lenders; (5) to prepare electronic financial aid histories on students or borrowers for educational institutions, guaranty agencies, Department staff, and Department contractors; (6) to alert educational institutions of changes in financial aid eligibility of students via the Transfer Student Monitoring process; (7) to assist Department staff, Department contractors and agents, guaranty agencies, educational institutions, lenders, and servicers in collecting debts arising from receipt of title IV, HEA funds; (8) to assess title IV, HEA program administration of guaranty agencies, educational institutions, lenders, and servicers; (9) to display organizational contact information provided by educational institutions, guaranty agencies, lenders, and servicers; (10) to provide reporting capabilities for educational institutions, guaranty agencies, lenders, and servicers for use in title IV, HEA administrative functions and for the Department for use in oversight and compliance; (11) to provide financial institutions, servicers, Department staff, and Department contractors with contact information on loan holders for use in the collection of loans; (12) to provide schools and servicers with information to resolve overpayments of Pell, ACG, National SMART, TEACH, Iraq and Afghanistan Service Grants, and FSEOG grants; (13) to assist Department staff, contractors, guaranty agencies, and the Department of Justice in the collection of debts owed to the Department under title IV of the HEA; (14) to obtain data on and to report on students in a gainful employment program and whether these students complete the program or matriculate to a higher credentialed program at the same institution or at another institution for the purposes of establishing whether a particular gainful employment program is successfully preparing students who complete the program to be gainfully employed and making this information available to the institution; and (15) to obtain information on and to report on the amounts that students who complete a gainful employment program borrow in private educational loans and receive from institutionally provided financing plans, as well as the total number of students enrolled in each gainful employment program at an institution at the end of the award year and the median loan debt incurred by students who complete a gainful employment program, for the purposes of establishing whether a particular gainful employment program is successfully preparing students who complete the program to be gainfully employed and making this information available to the institution. The information maintained in this system is also maintained for the following purposes relating to the Department’s oversight and administration of the title IV, HEA programs: (1) To assist audit and program review planning; (2) to support research studies and policy development; (3) to conduct budget analysis and program review planning; (4) to provide information that supports the Department’s compliance with the Federal Credit Reform Act of 1990, as amended (CRA); (5) to ensure only authorized users access the database and to maintain a history of the student/borrower information reviewed; (6) to track the Department’s interest in loans funded through ECASLA; (7) to track TEACH grants that have been converted to loans; (8) to track eligibility for and participation in Public Service Loan Forgiveness; (9) to capture data to support compliance and to obtain and distribute performance metrics related to gainful employment programs; and (10) to provide data for program oversight and strategic decision-making in the administration of higher education programs.

The Department may disclose information contained in a record in this system of records under the routine uses listed in this system of records 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 Privacy Act of 1974, as amended, under a computer matching agreement.

(1) Program Disclosures.

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, as well as institutional program eligibility, the Department may disclose records to the applicant, guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies;

(b) To support default rate calculations and/or provide information on borrowers’ current loan status, the Department may disclose records to guaranty agencies, educational institutions, financial institutions, servicers, and State agencies;

(c) To obtain data on and to report on students enrolled in a gainful employment program, students who complete a gainful employment program, information on the amounts of private educational loans and institutionally provided financing plans that students have incurred as a result of completing their gainful employment program, whether students in a gainful employment program matriculate to a higher credentialed program at the same institution or another institution, the total number of students in each gainful employment program at an institution at the end of the award year, and the median debt incurred by students who complete a gainful employment program, the Department may disclose records to educational institutions;

(d) To provide financial aid history information to aid in their administration of title IV, HEA programs, the Department may disclose records to financial aid professionals, guaranty agencies, loan holders, or servicers;

(e) To support auditors and program reviewers in planning and carrying out their assessments of title IV, HEA program compliance, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State, and local agencies;

(f) To support governmental researchers and policy analysts, the Department may disclose records to Federal, State, and local agencies using safeguards for system integrity and ensuring compliance with the Privacy Act;

(g) To support Federal budget analysts in the development of budget needs and forecasts, the Department may disclose records to Federal and State agencies;

(h) 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 Federal agencies;

(i) To assist analysts in assessing title IV, HEA program administration by guaranty agencies, educational institutions, and financial institutions and servicers, the Department may disclose records to Federal and State agencies;

(j) To assist loan holders in locating borrowers, the Department may disclose records to guaranty agencies, educational institutions, financial institutions that hold an interest in the loan and their servicers, and to Federal agencies;

(k) To assist with meeting requirements under the CRA, the Department may disclose records to Federal agencies;

(l) To assist program administrators with tracking refunds and cancellations of title IV, HEA loans, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies;

(m) To enforce the terms of a loan, assist in the collection of a loan, or assist in the collection of an aid overpayment, the Department may disclose records to guaranty agencies, loan servicers, educational institutions and financial institutions, to the Department of Justice and private counsel retained by the Department of Justice, and to other Federal, State, or local agencies; and

(n) To assist the Department in tracking loans funded under ECASLA, the Department may disclose records to Federal agencies.

(2) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, or local or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(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 following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or arrange for representation of the employee; or

(iv) Any Department employee in his or her individual capacity where the Department 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, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, and Witnesses. If the Department determines that disclosure of certain records is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure. The Department may disclose records to the DOJ or the Office of Management and Budget (OMB) if the Department seeks advice regarding whether records maintained in this system of records are required to be disclosed under the FOIA or the Privacy Act.

(6) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.

(7) Congressional Member Disclosure. The Department may disclose records to a Member of Congress in response to an inquiry from the Member made at the written request of the individual whose records are being disclosed. The Member’s right to the information is no greater than the right of the individual who requested it.

(8) 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 Departmental 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 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.

(9) 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, or disciplinary or competency determination proceedings. The disclosure may only be made during the course of the proceeding.

(10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. 71 when relevant and necessary to their duties of exclusive representation.

(11) Disclosure to the 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.

(12) Disclosure to the OMB for CRA Support. The Department may disclose records 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.

(13) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer reporting agency regarding a valid overdue claim of the Department: (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 in 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3).

Storage:

The records are maintained electronically.

In order for users to retrieve student/borrower information they must supply the student/borrower SSN, name, and date of birth.

Physical access to this system housed within the Virtual Data Center is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during non-business 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.

Records are retained for 15 years after an account is paid in full, and then destroyed in accordance with the Department’s records retention and disposition schedule 051.

Director, National Student Loan Data System, FSA, U.S. Department of Education, UCP, 830 First Street, NE., 4th Floor, Washington, DC 20202-5454.

If you wish to determine whether a record exists regarding you in this system of records, contact the system manager and provide your name, date of birth, SSN, and the name of the school or lender from which the loan or grant was obtained. Requests for notification about whether the system of records contains information about an individual must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

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.

If you wish to contest 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 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.

Information is obtained from guaranty agencies, educational institutions, and financial institutions and servicers, and the Free Application for Federal Student Aid completed by students and parents. Information is also obtained from other Department systems such as the Direct Loan Servicing System (covered by the system of records entitled "Common Services for Borrowers"); Debt Management Collection System (covered by the system of records entitled "Common Servicers for Borrowers"); Common Origination and Disbursement System; Financial Management System; Student Aid Internet Gateway, Participant Management System (covered by the system of records entitled "Student Aid Internet Gateway Enrollment"); Postsecondary Education Participants System (covered by the system of records entitled "Postsecondary Education Participants System"); and Central Processing System (covered by the system of records entitled "Federal Student Aid Application File").

None.

18-11-07 Student Financial Assistance Collection Files.

None.

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.

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).

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.

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).

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.

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).

Storage:

The records are maintained in either hardcopy, microfilm, magnetic tape, or other electronic media.

Records are retrievable by Social Security number.

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.

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.

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.

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.

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.

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.

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.

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 Student Account Manager System.

None.

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.

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.

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.

Higher Education Act of 1965, Title IV-A through IV-H, as amended, (20 U.S.C. 1092b).

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.

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).

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.

Each student and/or borrower’s file is indexed by social security number and the first two characters of their last name.

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.

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.

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.

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.

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.)

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.

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).

None.

18-11-09 Postsecondary Education Participants System (PEPS).

None.

Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450.

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.

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.

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).

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.

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).

Storage:

The records are maintained on electronic data files on a server.

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.

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.

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).

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.

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.

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.

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.

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.

None.

18-11-10 Student Aid Internet Gateway (SAIG), Participation Management System.

None.

Pearson, PLC, 2510 N. Dodge, Iowa City IA 52245-0030. (This facility hosts the database for the Participation Management System.)

Vangent, Inc., 2450 Oakdale Boulevard, Coralville IA 52241-9728. (This facility stores paper documents that are held for less than 12 months.)

Iron Mountain, 4437 121st Street, Urbandale, IA 50323-2313. (This facility stores paper documents for documents that are held for more than 12 months.)

Virtual Data Center (VDC), Dell Perot System, 2300 West Plano Parkway, Plano, TX 75075-8427. (This facility hosts the SAIG Enrollment Web site (titled FSAWebEnrollment.ed.gov) through which users enroll for electronic access to the Department’s Title IV Federal Student Aid Systems.)

This system contains records on those individuals who are eligible to participate in the Department’s Title IV Federal Student Aid Systems--to participate in the electronic exchange of data with the Department of Education via the SAIG, or enroll in the Participation Management System for access to the Department’s Central Processing System (CPS) Online, eCampus-Based (eCB) System, National Student Loan Data System (NSLDS) Online, Common Origination and Disbursement (COD) System, Financial Management System (FMS), Debt Management and Collections System (DMCS), Title IV Additional Servicers (TIVAS), and Access Information Management System (AIMS). Those individuals eligible to participate include: student financial aid administrators, authorized employees or representatives of postsecondary institutions, authorized employees or representatives of third-party servicers, authorized employees or representatives of lenders, authorized employees or representatives of guaranty agencies, authorized employees or representatives of State scholarship programs, authorized employees or representatives of States, authorized employees or representatives of LEAs, and authorized employees or representatives of secondary schools.

This system consists of contact information that individuals affiliated with an authorized entity (i.e., postsecondary institutions, third party servicers, lenders, guaranty agencies, State scholarship programs, States, LEAs and secondary schools that the Department authorizes to access the Department’s Title IV Federal Student Aid Systems) provide to request electronic access to the Department’s Title IV Federal Student Aid Systems. This contact information includes the individual’s name, address, and other authentication information (mother’s maiden name, user’s Social Security number, and the user’s date of birth).

Title IV of the Higher Education Act of 1965, as amended (HEA); 20 U.S.C. 1070 et seq. The collection of Social Security numbers of users of this system is authorized by 31 U.S.C. 7701 and Executive Order 9397, as amended by Executive Order 13478 (November 18, 2008).

The information in this system is maintained for the purposes of: (1) Processing stored data from the SAIG Enrollment Forms (Web and paper versions); (2) maintaining the SAIG Enrollment Web site (titled FSAWebEnrollment.ed.gov); (3) managing the assignment of individual electronic SAIG mailbox numbers, known as "TG numbers"; and (4) authenticating users of the CPS Online, eCB System, NSLDS Online, COD System, FMS, DMCS, TIVAS, and AIMS.

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 of 1974, as amended (Privacy Act), under a computer matching agreement.

(1) Program Disclosures. The Department may disclose records maintained in the SAIG, Participation Management System for the purpose of allowing authorized users who are eligible to participate in the electronic exchange of data with the Department to transmit files to and from the following Department databases and access the Department’s Web sites online, based on the approved program functions of each of the Department’s systems that include, but are not limited to the following:

(a) COD System;

(b) CPS, under the Federal Student Aid Application File;

(c) eCB System;

(d) NSLDS;

(e) FMS;

(f) DMCS, under Common Services for Borrowers (CSB);

(g) TIVAS; and

(h) AIMS.

(2) Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) or the Office of Management and Budget (OMB) if the Department seeks advice regarding whether records maintained in this system of records are required to be disclosed under the FOIA or the Privacy Act.

(3) Disclosure to the 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.

(4) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to establish and maintain the safeguards required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the records in the system.

(5) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components;

(ii) Any Department employee in his or her official capacity;

(iii) Any Department employee in his or her individual capacity where the DOJ agrees to or has been requested to provide or arrange for representation of the employee;

(iv) Any Department employee 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 DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, Counsel, Representatives and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

(6) 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.

(7) Congressional Member Disclosure. The Department may disclose records to a Member of Congress in response to an inquiry from the Member made at the written request of the individual whose records are being disclosed. 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 any Federal, State, or local authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(9) 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.

(10) 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.

(11) 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 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.

(12) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance process or to officials of a labor organization recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(13) Disclosure in the Course of Responding to a Breach of Data. The Department may disclose records from this system to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result for the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer-reporting agency regarding a valid overdue claim of the Department: (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(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).

Storage:

Records are maintained in a computer database as well as in hard copy. All hard copy forms are loaded into an imaging system accessible through internal systems only. Paper documents less than 12-months old are stored in locked file cabinets at the Vangent, Inc. facility in Coralville, Iowa. Paper documents older than 12 months are stored at Iron Mountain secure storage facility. Documents are stored for three years after final contract payment. After the three-year period, documents are subsequently sent to the Federal Records Center for storage.

All individuals affiliated with authorized entities that have been granted access ("users of the SAIG, Participant Management System") to the Department’s Title IV Federal Student Aid Systems whose information is included in this system of records have a unique user identification (ID) with a password. Records are retrieved by the names of the individual user and/or their unique system User ID.

All users of the SAIG, Participation Management System will have a unique user ID with a password.

All physical access to the data housed at the Pearson location and within the VDC, and the locations 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 interactions by users of the SAIG, Participation Management System are recorded.

Documents are stored for 3 years after a user of the SAIG, Participation Management System’s individual enrollment account is terminated or closed. Thereafter, documents are sent to the Federal Records Center for storage. These records are covered by the General Records Schedule (GRS) 24, Item 6(a). The retention requirement is to destroy/delete the record 6 years after the user account is terminated or password is altered, or when no longer needed for investigative or security purposes, whichever is later.

Director, Application Processing Division, Program Management Systems, 830 First Street, NE., room 63C4, Union Center Plaza (UCP), Washington, DC 20202-5454.

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, and Social Security number. Requests for notification about whether the system of records contains information about an individual must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

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, including proof of identity.

If you wish to contest or change the content of a record about you in the system of records, you must contact the system manager with the information described in the notification procedures. Requests to amend a record must meet the requirements of the Department’s Privacy Act regulations at 34 CFR 5b.7.

Information in this system is obtained from the following entities: student financial aid administrators, postsecondary institutions, third-party servicers, lenders, guaranty agencies, State scholarship programs, States, LEAs, and secondary schools.

None.

18-11-11 Office of the Student Loan Ombudsman Records.

None.

Office of the Student Loan Ombudsman, Student Financial Assistance, 400 Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC 20202.

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.

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)

20 U.S.C. 1018(f) (1998).

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.

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.

Storage:

These records will be maintained either in hard copy or in an electronic database.

Records are indexed by Social Security number, name, date of birth and case tracking number.

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.

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.

Ombudsman, Office of Student Financial Assistance, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC 20202.

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.

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.

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.

Information is obtained from the individuals (e.g. borrowers) schools, lenders, and guaranty agencies.

None.

18-11-12 The Department of Education (ED) PIN (Personal Identification Number) Registration System.

None.

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).

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.

This system contains identification information such as name, Social Security Number (SSN), date of birth and address.

The Higher Education Act of 1965, as amended, 20 U.S.C. 1092b.

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.

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).

Storage:

Records are stored electronically on magnetic tape.

The file is indexed by social security number or name.

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.

Records will be retained 3 years after payment of loan, or after audit resolution.

PIN Web Site Development Manager, Program System Services, Office of Student Financial Assistance, 400 Maryland Avenue, SW, ROB-3, room 4640, Washington, DC 20202.

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.

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.

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.

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.

None.

18-11-13 Student Authentication Network Audit File.

None.

The Student Authentication Network Audit File is located at NCS Pearson, 2510 North Dodge Street, Iowa City, Iowa 52245.

This system contains records (i.e., an audit file) on individuals who have had, or attempted to have, their identity verified for the purpose of electronically completing and signing promissory notes and other documents in connection with applying for or obtaining aid, or carrying out other activities under the Student Financial Assistance Programs authorized by Title IV of the Higher Education Act of 1965, as amended.

This system contains records including an individual’s Social Security Number; date of birth; first and last names; user code (i.e., the Department, lenders, schools, guarantee agencies and holders of Federal student loans) identifying the entity seeking to verify the individual’s identity; data provided by the user that may subsequently be used for auditing or other internal purposes of the user); an action code documenting the "affirmed" or "denied" verification response the system receives from the Department’s Personal Identification Number (PIN) database; a unique identifier comprising a system-generated sequence number; and, the date and time the individual’s identity is authenticated against the Department’s PIN database.

The Higher Education Act of 1965, as amended, (20 U.S.C. 1092b).

The information contained in the records maintained in this system is used for the purposes of verifying the identity of the individual, enforcing the conditions and terms of the loan, permitting the servicing and collecting of the loan, investigating possible fraud and verifying compliance with program regulations, initiating legal action against an individual involved in program fraud, abuse, or noncompliance, and enforcing Title IV requirements against schools, lenders, and guaranty agencies.

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, contractors and hearing officials for the following purposes:

(a) To verify the identity of the individual;

(b) To enforce the conditions or terms of the loan;

(c) To permit servicing, collecting, or accepting the loan;

(d) To investigate possible fraud and verify compliance with program regulations;

(e) To prepare for litigation or to litigate collection service and audit;

(f) To initiate a limitation, suspension, and termination (LS&T) or debarment or suspension action;

(g) To ensure Title IV requirements are met by schools, lenders, and guaranty agencies; and

(h) To investigate complaints, update files, and correct errors.

(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.

The records are maintained on magnetic tape or other electronic media.

Records are retrievable by Social Security Number and all or part of an individual’s last name.

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 non-business hours. The computer systems offer 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 identification (ID) with personal identifiers. All interactions by individual users with the system are recorded.

The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 1.c. This schedule provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to log-in files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the Department determines they are no longer needed for administrative, legal, audit, or other program purposes.

General Manager, Students Channel, Student Financial Assistance, Department of Education, 7th and D Streets, SW., Washington, DC, 20202.

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.

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.

If you wish to contest a record in the system of records, contact the system manager with the information described in the notification procedure, identify the specific items you are contesting, and provide a written justification for each item. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7.

Information is obtained from individuals who have had or seek to have their identity authenticated, except that user codes and user-provided data are obtained specifically from the entity (the Department, lenders, schools, guarantee agencies and holders of Federal student loans) that seeks to verify the individual’s identity.

None.

18-11-14 FSA Students Portal.

None.

(1) Virtual Data Center (VDC) (operated by CSC, Inc.), Meriden Data Center, 71 Deerfield Lane, Meriden, CT 06450.

(2) Students Portal Database (operated by XAP Corp.) 3534 Hayden Ave., Culver City, CA 90232.

Any user with Internet accessibility that is interested in exploring financial aid information and chooses to personalize the "Students Portal" an Internet Portal web site (hereafter "the Web site" ). The personalization functionality is referred to as "My FSA" (http://www.studentaid.ed.gov).

Records will include the information listed below. It is optional for the user to enter this information. This list is not all-inclusive, but it is a sample of the types of information that may be entered by the user. (See Appendix at the end of the Notice for a listing of the types of records collected). Some of the information requested in the Web site includes such information as: User’s name; User’s address(es); User’s e-mail; User’s personal information, such as social security number, date of birth, marital status, and telephone number; User’s high school information such as current grade level, courses taken, grades, and activities; User’s educational information, such as educational level, degree, etc.; User’s interests such as job interests, values, and college preferences; Scores from User’s standardized tests such as SAT or ACT; Parent’s information such as address and veteran status; Spouse’s information such as name and address; User’s employment/work history; and User’s bookmarks (URL’s) Students will have the option of choosing the data to enter into the text fields. The Web site also includes a short survey where information about user experiences and opinions of the FSA Students Portal is stored for future Web site enhancement. While the surveys are not intended to be able to identify a particular user, some users may choose to include personally identifiable information in some text fields. (For instance if they have a question that requires a response.)

Title IV of the Higher Education Act of 1965, as amended, 40 U.S.C. 1425 (b), and 44 U.S.C. Chapter 35.

The primary reason for storing the records of users of the Web site is to provide them with better service. The information stored by the Web site will be used for the following reasons:

• To allow the Web site to provide information relevant and targeted to the user (information about schools, loans, organizations, etc.)

To assist with filling out applications to colleges and universities (i.e., enter the information only once)

To "prepopulate" the electronic Free Application for Federal Student Aid (FAFSA)

To store personal information so that it can be retrieved later without having to start over (such as schools, programs, majors, loan information of interest to a specific user)

Some fields are used to help indicate which of the records are active (such as last modified date)

Some fields are used for security reasons (e.g. User ID, password, and password expiration).

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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and the Office of Management and Budget if the Department seeks advice regarding whether records maintained in the system of records are required to be released under the FOIA and the Privacy Act of 1974.

(2) Disclosure to the 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.

(3) 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.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her official capacity where the Department of Justice (DOJ) is requested to provide or arrange for representation of the employee;

(iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee; or

(v) The United States where the Department determines that the litigation is likely to affect the Department or any of its components.

(b) Disclosure to the Department of Justice (DOJ). If the Department determines that disclosure of certain records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

(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) 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 for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or other agencies responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility within the entity’s jurisdiction.

(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) 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 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.

(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) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(12) Disclosure to Providers of Web-based Postsecondary Education Admissions Applications. The Department may disclose records in this system of records to providers of Web-based postsecondary educational institution admissions applications so that users of the Web site may "pre-populate" their college or university admissions applications with their own registration information that was previously saved on the Web site. (See Appendix at the end of the Notice where registration information is identified as "Data Collected in Students Portal Modules" ).

Disclosure to consumer reporting agencies:

Not applicable to this system of records.

Storage:

A majority of the Student data will be stored in a database (SQL Server 2000) maintained at XAP Corp. The student data is also stored in an Oracle database at the Virtual Data Center (VDC). Each location includes safeguards, including physical security of the server room, firewalls, etc.

Each record in this system is indexed and retrieved by a user name and password that is created by the user of the http://www.studentaid.ed.gov Web site.

All users of this system will have a unique user ID with a personal identifier.

This system does not use persistent cookies (data that a web server causes to be placed on a user’s hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public.

All physical access to the U.S. Department of Education web 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 U.S. Department of Education 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.

FSA Students Portal customers can remove any information about their web preferences (i.e., the subjects, levels of education, types of resources, and audience-targeted materials in which they are interested), as well as any bookmarks or saved searches they have stored on the Department’s web pages. U.S. Department of Education customers, however, cannot delete their names, zip codes, or e-mail addresses from the system (although they can replace it with other information). The system, however, automatically will purge any unused accounts after a certain period of disuse. National Archives and Records Administration General Records Schedule 20, Item 1.c provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to, log-in files, password files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes.

General Manager, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Washington, DC 20202.

If you wish to determine whether a record exists regarding you in this system of records, you may gain access to the system by entering your user name and password to the http://www.studentaid.ed.gov Web site. Individuals may also present their requests in writing or in person by contacting the system administrator through the fsa.portals@ed.gov e-mail address or at the above address. If you wish to determine whether a record exists about you in the system of records, provide the system manager with your name, date of birth and social security number. Your request for notification must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

Attribute (Description)

Profile

User Name

First Name

Last Name

email address

Password

Password Hint

Fax Number

Prefix

Suffix

Social Security Number

Affiliation

Telephone Number

Date Created

Date Modified

Date Password Expires

Date of Birth

Education Level

State Residence

State School

School Name

Major

Country

Modified By

Password Hint Question

Password Hint Answer

Edpack (Edpack stores favorites for the user)

Applications List (List of College Applications in process/submitted)

College List (Store a list of Colleges the user is interested in from College Search/Wizard)

Career List (Store List of interesting Careers from the Self Assessment Tool)

Financial Aid List (Store Scholarships, Loans, and Cost of attendance Info for schools in the Edpack)

Calendar Events (See Calendar Events Section Below)

User Profile (Access User data from Applications)

Bookmarks list (Stores a list of links/bookmarks for the user (some generated by the system, others entered by the user))

Self Assessment

JobInterest (Stores a list of jobs the user finds interesting, the list is dynamic (database driven)

These describe how it applies to me

MeTools (like to work with animals, tools, or machines)

MeMath (study math or science)

MeCreate (creative activities)

MeHelpOthers (Helping others)

MeLeadership (Lead and pursuade)

MeOrdered (work in an orderly way)

These describe how I compare to others my age

CompTools (like to work with animals, tools, or machines)

CompMath (study math or science)

CompCreate (creative activities)

CompHelp (Helping others)

CompLeadership (Lead and pursuade)

CompOrdered (work in an orderly way)

To what extent do I value

ValueTools (like to work with animals, tools, or machines)

ValueScience (study math or science)

ValueCreate (creative activities)

ValueHelp (Helping others)

ValueLeadership (Success in politics,leadership, or business)

ValueSuccess (success in business)

How do I see myself

AmPractical (like to work with animals, tools, or machines)

AmPrecise (study math or science)

AmArtistic (creative activities)

AmHelpful (Helping others)

AmAmbitious (Lead and pursuade)

AmOrderly (work in an orderly way)

These are true of me

TruePractical (like to work with animals, tools, or machines)

TruePrecise (study math or science)

TrueArtistic (creative activities)

TrueHelpful (Helping others)

TrueAmbitious (Lead and pursuade)

TrueOrderly (work in an orderly way)

Career Finder Interest Areas

Realistic

Investigative

Artistic

Social

Enterprising

Conventional

Industry (Pick an Industry of interest from a list)

General Work Activities (Pick from a list)

Abilities

Knowledge-Based

Physical Dexterity

Physical Strength

Sensory Abilities

Work Environment (Indoor/Outdoor)

College Finder/College Matching Wizard

CollegeType (2 year/4year/trade)

CollegePublic (Public or Private)

CollegePublicWeight (How important is this factor)

CollegeState1 (Location)

CollegeState2

CollegeState3

CollegeZip

CollegeCityType (Small Town/Big City)

CollegeCityTypeWeight (How important is this factor)

CollegeSize

CollegeSizeWeight (How important is this factor)

ClassSizeFr (Class size freshman year)

ClassSizeUpper (Class size for upper division courses)

StudentFacultyRatio

Major1 (Pick from a list)

Major2

Major3

GPArange

ACTscoreRange

SATscoreRange

InStateCost (Pick from a range of costs)

OutStateCost

HelpOffCampHousing

OnCampusHousing

OCHweight (How important is this factor)

Sport1 (Sports that interest the user)

Sport2

Sport3

FratSorority (Does the campus have

Fraternities/Sororities)

Fsweight (How important is this factor)

StActivity (Choose from a list)

Coed

ReligousAffiliation

HBC (Historically Black college)

Scholarship Search

A majority of the fields used here are already captured in the college application (Personal Info, Address Info, HS Info, College Info, Testing Info, Parents Info)

MaritalStatus

Heritage1 (Choose up to 4 from a list)

Heritage2

Heritage3

Heritage4

CurrentGradeLevel

EnrollmentStatus

Activities List (Pick from a number of activities grouped by category (Business/Corp., Club Affiliation, Disability, Hobbies, Military Affiliation, National Merit, Athletics, Union Affiliation, Misc., Career Objective, or Programs of Study))

ParentVeteran? (Is either parent a Veteran)

ParentDisabledInMilitary?

ParentKilledInMilitary?

HouseholdIncome (Annual)

Financial Aid Wizard For each School tracked in the user’s EDpack

Tuition

RoomBoard

Fees

Books

OtherExpense

Used in the EFC calculation

StOfResidence

Veteran?

SchoolsOfAttendance

ChildSupport?

OtherDependants?

Orphan?

PeopleInHousehold

CollegeStudentIn House

CompletedTaxReturn?

1040EZ Able to file 1040A or 1040EZ)

AGI (Adjusted Gross Income)

IncomeTax

Exemptions

YouWages

SpouseWages

WorksheetA

WorksheetB

WorksheetC

CurrentSavings

NetWorthInvestments

NetWorthFarms

EFC (Expected Family Contribution)

For each School tracked in Edpack

Scholarship (Amount available in outside scholarships)

PellGrant (Amount available from Pell Grant)

StScholarshipGrant

InstitutionalGrant

Perkins

DirectLoan

WorkStudy

Events/Calendar

Title

Detail

Category

StartDate

StartTime

EndDate

EndTime

18-11-15 Return of Title IV Funds on the Web.

None.

Application Processing Division, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First St. NE., Washington, DC 20202-5454.

Virtual Data Center (VDC), Meriden Data Center, 71 Deerfield Lane, Meriden, Connecticut 06450.

The system includes records on individuals who were enrolled at a postsecondary institution, have received or are eligible to receive assistance under a Title IV, HEA program for a payment period or period of enrollment, and have withdrawn prior to the planned completion date of school during that period.

This system of records contains personally identifiable information provided by the school from which a student has withdrawn that may include, but is not limited to, a student’s name, permanent and local addresses, social security number, date of birth, driver’s license number and state, permanent and local phone numbers, and student identification (ID). This system also contains information provided by the institution from which the student has withdrawn that is necessary to compute the earned and unearned amounts of Title IV funds. This information may include, but is not limited to, the student’s: Federal school code, award year, grade level, program type (i.e. credit hour or clock hour), school calendar (that maintains the term start and end dates and institutionally scheduled breaks of five or more consecutive days), a description and amount of each institutional charge (a charge for tuition and fees, a charge for room, a charge for board, and charges for other educationally-related costs), and the total institutional charges for a program, program title, or program type, whether the R2T4 calculation is based upon a payment period or period of enrollment, the total clock hours or number of days in the payment period or period of enrollment, the withdrawal date, the net number of days in the payment period or period of enrollment, the date the institution determined the student withdrew (as reported by the institution), a description of the type of withdrawal, the number of days of an approved leave of absence, whether an outside entity requires the school to take attendance, the clock hours scheduled, the clock hours completed, the date the student provided the institution with written authorization to credit Title IV aid to the student’s account, the date the institution notified the student of the amounts and types of Title IV funds that must be returned, the date and response of the student, the types and amounts of Title IV aid disbursed and that could have been disbursed, the types and amounts of Title IV aid that must be returned to each program by the student and the institution, the types and amounts of aid that the student and the institution may retain, post-withdrawal disbursement information (i.e., the amount of outstanding charges, the dates notices were sent informing the student that a credit was applied and/or that a disbursement was available and the dates and responses of the student, the amount and the date the student accepted a post-withdrawal disbursement, and the date the post-withdrawal disbursement was completed), the date the R2T4 procedure was completed, the user defined field data provided by the institution such as grade point average, major in college, overpayment status, withdrawal reason, leave of absence reason, and contemporaneous notes regarding the student’s return process.

The information maintained in the R2T4OTW system is authorized under section 484B of the HEA. Under section 484B of the HEA (20 U.S.C. 1091b), if a recipient of Title IV grant or loan assistance withdraws from an institution during a payment period or period of enrollment in which the student began attendance, a participating institution must determine the amount of grant and loan assistance to be returned to the Title IV programs.

Information contained in this system is maintained for the purposes of: (1) Allowing postsecondary institutions to calculate the treatment of Title IV funds when a student withdraws from a postsecondary institution, (2) allowing institutions to track students’ statuses and responses to institutional notifications, and (3) generating listings and reports, allowing institutions to establish compliance with the applicable statutory and regulatory requirements in the HEA for the treatment of Title IV funds when a student ceases his or her enrollment before the planned end date. (Note: The use of this software is not required.)

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) Program Disclosures. The Department may disclose records to the postsecondary institution that input the information into the R2T4OTW system, in order to simplify the current process, provide institutions and their agents with consolidated information about the Federal loans and grants they administer for students, and enable them to provide students with accurate required information when a student withdraws.

(2) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, or local agency responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law if that information is relevant to any authorized enforcement, investigative, or prosecutorial effort.

(3) Enforcement Disclosure. If information in the system of records either alone or in connection with other information indicates a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose records to an entity charged with investigating or prosecuting those violations or potential violations.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or arrange for representation of the employee; or

(iv) Any Department employee in his or her individual capacity where the Department 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 DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, 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.

(b) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(c) Parties, counsel, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, 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 DOJ or the OMB if the Department determines that disclosure would help in determining whether records are required to be disclosed under the FOIA or the Act.

(6) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to establish and maintain the safeguards required under the Act (5 U.S.C. 552a(m)) with respect to the records.

(7) Congressional Member Disclosure. The Department may disclose records to a Member of Congress in response to an inquiry from the Member made at the written request of the individual whose records are being disclosed. The Member’s right to the information is no greater than the right of the individual who requested it.

(8) 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 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.

(9) 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: a complaint, grievance, discipline or competence determination proceeding. The disclosure may only be made during the course of the proceeding.

(10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

(11) Disclosure to 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 any program covered by this system.

(12) Research Disclosure. The Department may disclose records to a researcher if 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. Further, the Department 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 safeguards with respect to the disclosed records as required by the Act.

Disclosure to consumer reporting agencies:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer reporting agency regarding a valid overdue claim of the Department: (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 in 31 U.S.C. 3701(a)(3).

R2T4OTW records are backed up and maintained on magnetic tape at the Department’s Virtual Data Center (VDC), located at 71 Deerfield Lane, Meriden, CT 06450, and locked storage rooms within the VDC.

Records for R2T4OTW are indexed and can be retrieved by only the institution that created the record at the VDC and the Department. The institution accesses its own student R2T4OTW records through a secure log-in process and subsequently entering the institution’s unique Federal school code and the student’s Social Security Number.

Physical access to the data systems housed within the VDC facility is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during non-business hours. This computer system 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 staff, participating institutions, 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. Users are only able to access and alter records created with their unique identifiers. All interactions by individual users with the system are recorded. The systems manager annually updates and sends the Department the Central Processing System Security Plan, documenting the VDC’s detailed security systems, including the physical location of the data stored at the VDC. This system does not use persistent cookies (data that a web server causes to be placed on a user’s hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public.

The Department will retain all identifiable records received from schools with identifying information for a period not to exceed three years after the repayment or cancellation of the loan in accordance with the Education Comprehensive Schedule, ED-RDS--Part 10, Item 16(d) for applicants with federally insured loans. For applicants without federal insured loans, the Department will retain all identifiable records received with identifying information for a period not to exceed fifteen years after the final Pell Grant payment or audit, whichever is first in accordance with the Education Comprehensive Schedule, ED-RDS--Part 10, Item 17(a) and (b). At the conclusion of the mandatory retention period, these records will be destroyed. This procedure is consistent with legal retention requirements established by the Department in conjunction with the National Archives and Records Administration.

Deputy Director, Application Processing Division, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First St., NE., UCP room 32E2, Washington, DC 20202-5454.

If you wish to determine whether a record exists regarding you in this system of records, contact the system manager and provide the name of the system (R2T4OTW), your name, date of birth, and Social Security Number or call 1-800-4-FED-AID (1-800-433-3243) and provide the identifiers indicated above when requesting information contained in this system of records. Requests for notification about whether this system of records contains information about an individual must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to a record in this system, contact the system manager and provide the information described in the Notification Procedure. Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record in the system of records for the current processing year R2T4OTW, contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed, the institution and period of time the student was enrolled, and provide a justification for the change. The Department will contact the institution, which will make the change to the student’s record, as applicable. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7.

The institution from which a student receiving Title IV aid for the payment period or period of enrollment has withdrawn provides the information used in this system by manually entering it in the web product on the Department’s web site. For institutions that have access to the Internet, R2T4OTW is available on the Department of Education web site located at: http://www.fafsa.ed.gov/FOTWWebApp/faa/faa.jsp.

Systems exempted from certain provisions of the act:

None.

18-11-16 Common Services for Borrowers (CSB).

None.

Computer Sciences Corporation, 17 Deerfield Lane, Meriden, CT 06450.

See the Appendix to this notice for additional system locations.

This system contains records on those individuals who received a loan, or who are otherwise obligated to repay a loan, grant, or scholarship held and collected by the Department of Education (Department), which was made under (1) the Federal Family Education Loan (FFEL) Program (formerly the Guaranteed Student Loan Program (GSL), including Stafford Loans, Federal Insured Student Loans (FISL), Supplemental Loans for Students (SLS), PLUS Loans (formerly Parental Loans for Undergraduate Students), and Consolidation Loans); (2) the William D. Ford Federal Direct Loan (Direct Loan) Program (formerly known as the Federal Direct Student Loan Program (FDSLP), Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, Federal Direct Consolidation Loans, and Federal Direct PLUS Loans); (3) the Federal Perkins Loan Program (formerly known as National Direct/Defense Student Loans (NDSL)); (4) the Federal Pell Grant Program; (5) the Federal Supplemental Educational Opportunity Grant Program (FSEOG); (6) the Leveraging Educational Assistance Partnership (LEAP) Program; (7) the Special Leveraging Educational Assistance Partnership (SLEAP) Program; (8) the Paul Douglas Teacher Scholarship Program; and (9) the Teacher Quality Recruitment Scholarship Program. This system also contains records on individuals who apply for, but do not receive a Direct Loan, as well as individuals identified by the borrower or recipient of the loan, grant, or scholarship as references or as household members whose income and expenses are considered in connection with the making or enforcement of the grant, scholarship or loan.

This system of records will consolidate the system of records for all activities the Department carries out with regard to making and servicing loans, including collecting or otherwise resolving obligations owed by an individual under the Higher Education Act of 1965, as amended (HEA). The system contains records including such information as the employment information, educational status, family income, social security number, address, e-mail address, and telephone numbers of those individuals obligated on the debt or whose income and expenses are included in a financial statement submitted by the individual. This system also contains records regarding the application for, agreement to repay, and disbursements on the loan, and loan guaranty, if any; the repayment history, including deferments and forbearances; claims by lenders on the loan guaranty; cancellation or discharges on grounds of qualifying service, bankruptcy discharge, disability (including medical records submitted to support application for discharge by reason of disability), death, or other statutory or regulatory grounds for relief.

Additionally, this system contains records regarding the amount, terms, and period of scholarships, the entity that awarded the scholarship, the amount and percentage of time the recipient spends teaching, and information about the employing school and the school district. For grant overpayments, the system contains records about the amount disbursed, the school that disbursed the grant, and the basis for overpayment; for all debts, the system contains demographic, employment, and other data on the individuals obligated on the debt or provided as references by the obligor, and the collection actions taken by any holder, including write-off and compromise.

Titles II, IV-A, IV-B, IV-D, IV-E and V-C of the HEA (20 U.S.C. 1024, 1070a, 1070b-1070b-4, 1070c-1070c-4, 1070c-3a, 1071-1087-4, 1087a-1087j, and 1087aa-1087ii, and 1104 (1998); 31 U.S.C. Chapter 37).

The information contained in the records maintained in this system is used for the following reasons:

• To verify the identity of an individual.

• To determine program eligibility and benefits.

• To facilitate default reduction efforts by program participants.

• To enforce the conditions or terms of a loan, grant, or scholarship.

• To make, service, collect, assign, adjust, or discharge a loan or collect a grant or scholarship obligation.

• To counsel a debtor in repayment efforts.

• To investigate possible fraud and verify compliance with program regulations.

• To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan, grant, or scholarship.

• To prepare a debt for litigation, provide support services for litigation on a debt, litigate a debt, and audit the results of litigation on a debt.

• To prepare for, conduct, or enforce a limitation, suspension, termination, or debarment action.

• To ensure that program requirements are met by educational and financial institutions and guaranty agencies.

• To verify whether a debt qualifies for discharge or cancellation.

• To conduct credit checks and respond to inquiries or disputes arising from information on the debt already furnished to a credit-reporting agency.

• To investigate complaints, update information, and correct errors contained in Department records.

• To refund credit balances back to the individual or loan holder.

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 information in 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. The Department may disclose records for the following program purposes:

(a) To verify the identity of the individual whom the records indicate has applied for or received the loan, grant, or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; to adjudicative bodies; and to the individual whom the records identify as the party obligated to repay the debt.

(b) To determine program eligibility and benefits, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies.

(c) To facilitate default reduction efforts by program participants, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to consumer reporting agencies; and to adjudicative bodies.

(d) To enforce the conditions or terms of the loan, grant or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies.

(e) To permit making, servicing, collecting, assigning, adjusting, or discharging a loan, or collecting a grant or scholarship obligation, disclosures may be made to guaranty agencies, educational institutions, or financial institutions that made, held, serviced, or have been assigned the debt, and to their authorized representatives; to a party identified by the debtor as willing to advance funds to repay the debt; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies.

(f) To counsel a debtor in repayment efforts, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; and to Federal, State, or local agencies.

(g) To investigate possible fraud and verify compliance with program regulations, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to consumer reporting agencies; and to adjudicative bodies.

(h) To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan, grant or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies.

(i) To prepare a debt for litigation, to provide support services for litigation on a debt, to litigate a debt, and to audit the results of litigation on a debt, disclosures may be made to guaranty agencies and their authorized representatives; to Federal, State, or local agencies; and to adjudicative bodies.

(j) To prepare for, conduct, or enforce a limitation, suspension, and termination (LS&T) or a debarment action, disclosures may be made to guaranty agencies, educational or financial institutions, and to their authorized representatives; to Federal, State, or local agencies; and to adjudicative bodies.

(k) To ensure that HEA program requirements are met by educational institutions, financial institutions, and guaranty agencies, disclosures may be made to guaranty agencies, educational or financial institutions, to their authorized representatives, and to auditors engaged to conduct an audit of a guaranty agency or an educational or financial institution; to Federal, State, or local agencies or accrediting agencies; and to adjudicative bodies.

(l) To verify whether a debt qualifies for discharge or cancellation, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to consumer reporting agencies; and to adjudicative bodies.

(m) To conduct credit checks and to respond to inquiries or disputes arising from information on the debt already furnished to a credit reporting agency, disclosures may be made to credit reporting agencies; to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; and to adjudicative bodies.

(n) To investigate complaints, to update information and correct errors contained in Department records, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to credit reporting agencies; and to adjudicative bodies.

(o) To refund credit balances that are processed through the Department’s systems, as well as the Department of Treasury’s payment applications, back to the individual or loan holder, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; and to private parties such as relatives, present and former employers and creditors, and business and personal associates.

(2) Feasibility Study Disclosure. The Department may disclose information from this system of records to other Federal agencies and to guaranty agencies, and to their authorized representatives, to determine whether computer matching programs should be conducted by the Department regarding an individual’s application for student financial assistance or compliance with the terms of such assistance, under a program administered by the Department. These computer matching programs may be used 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 prosecutorial responsibility within the receiving entity’s jurisdiction.

(4) Enforcement Disclosure. In the event that information in this system of records indicates, either on its face or in connection with other information, a violation or potential violation of any applicable statute, regulation, or order of a competent authority, the Department may disclose the relevant records to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting that violation or charged with enforcing or implementing the statute, executive order, rule, regulation, or order issued pursuant thereto.

(5) Litigation and Alternative Dispute Resolution (ADR) 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 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 of its components; 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 been requested to or has agreed to provide or arrange for representation for the employee;

(iv) Any Department employee in his or her individual capacity where the Department 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) Adjudicative 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 an entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, Counsels, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(6) Employment, Benefit, and Contracting Disclosure.

(a) For Decisions by the Department. The Department may disclose a record to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement or other pertinent records, or to another public authority or professional organization, if necessary to obtain information relevant to a Department decision concerning the hiring or retention of an employee or other personnel action, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.

(b) For Decisions by Other Public Agencies and Professional 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. 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.

(8) Labor Organization Disclosure. The Department may disclose a record from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation.

(9) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the DOJ and the OMB 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 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 the Chief of Staff of Borrower Services 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 the records of an individual to a member of Congress and his/her staff 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 the inquiry.

(14) Disclosure to 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:

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 that is determined to be valid and overdue; such information is limited to: (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 in 31 U.S.C. 3701(a)(3).

Storage:

The records are maintained in hardcopy, microfilm, magnetic storage and optical storage media, such as tape, disk, etc.

Records in this system are retrievable by social security number or name of the borrower.

All physical access to the Department’s site, and the sites of the Department’s 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.

In accordance with the Department’s Administrative Communications System Directive OM: 5-101 entitled "Contractor Employee Personnel Security Screenings," all contract and Department personnel who have facility access and system access are required to undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals.

In addition to conducting security clearances, contract and Department employees are required to complete security awareness training on an annual basis. Annual security awareness training is required to ensure that contract and Department users are appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III.

The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need-to-know" basis, and controls individual users’ ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department’s Federal Student Aid Information Security and Privacy Policy requires the enforcement of a complex password policy. In addition to the enforcement of the complex password policy, users are required to change their password at least every 60 to 90 days in accordance with the Department’s information technology standards.

At the principal site of the Department’s contractor in Meriden, Connecticut, additional physical security measures are in place and access is monitored 24 hours per day, 7 days a week.

Records are retained for five years after the debt is paid in full or otherwise closed out, and thereafter disposed of.

General Manager, Borrower Services, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Union Center Plaza, 4th Floor, Washington, DC 20202-5345.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to a record in this system, provide the system manager with your name, date of birth, and social security number. Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record regarding you in the system of records, contact the system manager with your name, date of birth, and social security number, 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 in 34 CFR 5b.7.

The system includes information that the Department obtains from applicants and those individuals and their families who received a loan, or who are otherwise obligated to repay, a loan, grant, or scholarship held and collected by the Department. The Department also obtains information from references, guaranty agencies, educational and financial institutions, and their authorized representatives, Federal, State, or local agencies, private parties such as relatives, business and personal associates, and present and former employers; creditors, consumer reporting agencies, and adjudicative bodies.

None.

Appendix to 18-11-16 Additional System Locations

Additional System Locations

U.S. Department of Education, 830 First Street, NE., UCP, Washington, DC 20202-5345.

U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102.

U.S. Department of Education, 111 North Canal Street, Chicago, IL 60606.

U.S. Department of Education, 61 Forsyth Street, Atlanta, GA 30303.

Pearson Government Solutions, 3833 Greenway Drive, Lawrence, KS 66046-5441.

Pearson Government Solutions, 2400 Oakdale Boulevard, Coralville, IA 52241.

ACS Education Services, Inc., 501 Bleecker Street, Utica, NY 13501.

ACS Education Services, Inc., 401 34th Street, Bakersfield, CA 93301.

ACS Education Services, Inc., 2277 East 220th Street, Long Beach, CA 90810.

ACS Education Services, Inc., 2505 S. Finley Road, Suite 100, Lombard, IL 60148-4866.

ACS Education Solutions, LLC, 12410 Milestone Center Drive, Germantown, MD 20876.

ACS Education Solutions, LLC, 1 Curie Court, Rockville, MD 20850.

Electronic Data Systems Corporation, 5th Floor, 10100 Linn Station Road, Louisville, KY 40223.

Electronic Data Systems Corporation, 5th Floor, 474 South Court Street, Montgomery, AL 36104.

Raytheon Company, 6201 I-30, Greenville, TX 75403.

Affiliated Computer Services, Inc., 2828 N. Haskell Avenue, Building 5, 2nd Floor, Dallas, TX 75204.

ABR Services, Inc., 14847 Persistence Drive, Woodbridge, VA 22191.

ACS Print and Mail Services (Data Direct), 11475 Reeck Road, Southgate, MI 48195.

EU Services, 649 North Horners Lane, Rockville, MD 20850.

ACS State Healthcare Solutions, 9040 Roswell Road, Suite 700, Atlanta, GA 30350.

18-11-17 Financial Management System (FMS).

None.

(1) Financial Management Group, Office of the Chief Financial Officer (OCFO), Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Union Center Plaza (UCP), room 54C3, Washington, DC 20202-5345.

(2) Perot Systems Corporation, 2300 W. Plano Parkway, Plano, TX 75075-8427.

(3) ACS Education Services, Inc., 501 Bleecker Street, Utica, NY 13501-2401.

(4) ACS Education Solutions, LLC, 12410 Milestone Center, Germantown, MD 20876-7101.

This system contains records on those individual borrowers who are eligible for refunds of loan overpayments received by the Department’s Office of Federal Student Aid under Title IV of the Higher Education Act of 1965, as amended.

The FMS system contains personally identifiable information about individual borrowers who are entitled to a refund of an overpayment or discharge, or both. The system includes a borrower’s social security number, name and address, amount of overpayment to be refunded, and name of the loan holder.

Title IV of the Higher Education Act of 1965, as amended (HEA), (20 U.S.C. 1070 et seq.).

Information in this system is maintained for the purpose of processing refunds to borrowers or loan holders (lenders and guaranty agencies) for overpayments and discharges of Title IV Federal student aid. When a loan overpayment or loan discharge occurs and FMS receives loan refund information, FMS sends refund transaction data (the borrower’s name and other identifiers) to the Department of Education’s Central Automated Processing System (EDCAPS) for posting to the general ledger and subsequent payment by the Department of the Treasury to the borrower or loan holder (lenders and guaranty agencies).

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected.

These disclosures may be made on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Program Disclosure. In order to refund loan overpayments back to the borrower or loan holder and to answer questions that may arise about the refund payments, the Department may disclose information from this system to the Department of the Treasury via Treasury’s Electronic Certification System (eCS) or to the loan holder.

(2) 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.

(3) Research Disclosure. The Department may disclose records to a researcher if the Director, Financial Management Group, Office of Chief Financial Officer, Federal Student Aid, 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 Director may disclose records from this system of records to that researcher solely for the purpose of carrying out 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.

(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 prosecutorial 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, Executive order, regulation, or rule 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, order, regulation, or rule, issued pursuant thereto.

(6) Litigation and Alternative Dispute Resolution (ADR) Disclosure.

(a) Introduction. In the event that one of the following 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 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) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to a party, counsel, representative, or witness.

(7) Freedom of Information Act (FOIA) or Privacy Act Advice Disclosure. The Department may disclose records to the DOJ or the OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or Privacy Act.

(8) Disclosure to the DOJ. The Department may disclose records to the DOJ to the extent necessary to obtain DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system.

(9) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.

(10) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system of records to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of information in the FMS has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of the FMS or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and, (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Storage:

Records are maintained in hardcopy, microfilm, magnetic storage and optical storage media, such as tape, disk, etc.

Records in this system are retrievable by social security number or name of borrower.

This system of records limits data access to Department and contract staff on a need-to-know basis and controls individual users’ ability to access and alter records within the system. All users of this system of records are given a unique user identification and are required to establish a password that adheres to the Federal Student Aid Information Security and Privacy Policy requiring a complex password that must be changed every 60-90 days in accordance with Department information technology standards. Annually, all users of FMS must acknowledge the completion of FMS-specific security awareness training before they can obtain or renew their access to this system of records. An automated audit trail documents the identity of each person and device having access to FMS.

FMS’ records retention and disposal schedule is in compliance with the Department’s Records Retention and Disposition Schedule (RRDS) policy and the guidance specified in the National Archives and Records Administration (NARA) General Records Schedule (GRS) 7 entitled "Expenditure Accounting Records."

(1) Financial Management System (FMS)--Director, Financial Management Group, OCFO, Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington, DC 20202-5345.

(2) Direct Loan Servicing System (DLSS)--Director, Servicing Group, Borrower Services, Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington, DC 20202-5345.

(3) Direct Loan Consolidation System (DLCS)--Director, Consolidation Group, Borrower Services, Federal Student Aid, U.S. Department of Education, 830 1st Street, NE., UCP, Washington, DC 20202-5345.

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 requests must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to a record in this system of records, provide the system manager with your name, date of birth, and social security number. Your requests for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record regarding you in the system of records, contact the system manager. Your request to correct or amend a record must meet the requirements of the regulations in 34 CFR 5b.7, including proof of identity, specification of the particular record that you are seeking to have changed, and the written justification for making such a change.

Information in this system is obtained from other Department and contractor-managed systems, such as the Direct Loan Servicing, Direct Loan Consolidation System, Conditional Disability Discharge Tracking System, Campus Based Student Loan System, as well as manual and electronic processes internal to Federal Student Aid.

None.

18-11-18 Electronic Cohort Default Rate Appeals (eCDR Appeals).

None.

(1) Default Prevention and Management, Portfolio Performance Management Staff, Federal Student Aid, U.S. Department of Education, Union Center Plaza, 830 First Street, NE., room 84B2, Washington, DC 20202-5353.

(2) Perot Systems, 2300 W. Plano Parkway, Plano, TX 75075.

The eCDR Appeals system contains records on borrowers who have received loans under the William D. Ford Federal Direct Loan (Direct Loan) Program and the Federal Family Education Loan (FFEL) Program. Although the eCDR Appeals system contains information about institutions associated with individuals, this system of records notice pertains only to individuals protected under the Privacy Act of 1974, as amended.

The eCDR Appeals system contains records regarding: (1) Student/borrower identifier information including Social Security number and name; (2) loan information (e.g., last date of attendance, date entered repayment, default date) for each student/borrower loan counted in the cohort default rate of the institution of higher education submitting the cohort default rate challenge or adjustment request; and (3) documentation submitted by an institution of higher education or data manager to support its data allegation (e.g., enrollment verification, copies of cancelled checks, etc.).

20 U.S.C. 1082, 1085, 1094, 1099c.

The information contained in the records maintained in this system is used for the following purposes:

(1) To allow institutions of higher education to electronically challenge their draft cohort default rate data, and electronically request an adjustment to their official cohort default rate data via an uncorrected data adjustment or new data adjustment request;

(2) To allow data managers to electronically view and respond to cohort default rate challenges and adjustment requests from institutions of higher education. Note: Data managers are determined on the basis of the holder of the loan. For FFEL Program loans held by the lender or its guaranty agency, the guaranty agency is the data manager for the purpose of the appeal. If the Department is the holder of the FFEL Program loan, then the Department is the data manager. For Direct Loans, the Direct Loan servicer is the data manager; and

(3) To allow Federal Student Aid to electronically view and respond to cohort default rate challenges and adjustment requests from institutions of higher education.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Program Disclosures. The Department may disclose records to the institution of higher education or data manager responsible for entering the loan information into the eCDR appeals system, in order to obtain clarification or additional information to assist in determining the outcome of the allegation.

(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 prosecutorial 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 statutory, regulatory, or legally binding requirement, 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) 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 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or the OMB if the Department concludes that disclosure would help in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(6) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, 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) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.

(8) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or confidentiality of information in the eCDR Appeals system has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of the eCDR Appeals system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.

Disclosures to consumer reporting agencies: None.

Storage:

Records are maintained in a database on the Department’s secure servers and in other electronic storage media.

Records are retrieved by a unique institution of higher education code number provided by the Department to participating institutions and the borrower’s Social Security number.

Access to the records is limited to authorized personnel only. All physical access to the Department’s site and to the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.

The computer system employed by the Department and by the Department’s contractors 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 an individual user’s ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department’s Federal Student Aid Information Security Privacy Policy requires the enforcement of a complex password policy. In addition, users are required to change their password at least every 60 to 90 days in accordance with the Department’s information technology standards. At the principal site of the Department’s contractor in Plano, Texas, additional physical security measures are in place and access is monitored 24 hours per day, 7 days a week.

The records associated with an institution of higher education’s cohort default rate challenge or adjustment request are currently unscheduled pending National Archives and Records Administration (NARA) approval of a records retention schedule. Until a NARA-approved records schedule is in effect, no records will be destroyed.

Appeals Team Lead, Default Prevention and Management, Portfolio Performance Management Staff, U.S. Department of Education, Federal Student Aid, Union Center Plaza, 830 First Street, NE., room 84B2, Washington, DC 20202-5353.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under, SYSTEM MANAGER AND ADDRESS. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is obtained from institutions of higher education and data managers, and the National Direct Student Loan Data System.

None.

18-12-01 Title VI Foreign Language and Area Studies Fellowships (FLAS).

None.

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.

Graduate Students, who have been nominated for FLAS fellowships by grantee institutions of higher education.

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.

The Higher Education Act of 1965, as amended, Part A, Title VI, Section 602(b).

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.

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).

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.

Hardcopy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements.

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.

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.

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.

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.

Contact the system manager.

Contact the system managers.

Information is obtained from the individual and grantee institutions on approved forms in hardcopy or electronic format.

None.

18-12-02 Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows.

None.

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.

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.

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.

The Mutual Educational and Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451-2458).

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.

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).

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.

Hardcopy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements.

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.

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.

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.

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.

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.

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.

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.

None.

18-12-03 Jacob K. Javits Fellowship System.

None.

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.

This system contains records on individuals who apply for fellowships under the Jacob K. Javits Fellowship Program.

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.

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.

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.

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).

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.

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.

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.

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.

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.

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.

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.

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.

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 Title VI International Research and Studies Program (IRS).

None.

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.

This system contains records on individual researchers who have been selected to be recipients of International Research and Studies (IRS) awards.

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.

The Higher Education Act of 1965, as amended, Part A, Title VI, section 605(a).

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.

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).

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.

Hard copy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements.

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.

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.

Director, International Education and Graduate Programs Service, Office of Postsecondary Education, US Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-5247.

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.

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.

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.

Information is obtained from the individuals and institutions on approved application forms and from field readers.

None.

18-12-05 Graduate Assistance in Areas of National Need (GAANN) Program Assessment System.

None.

U.S. Department of Education, Office of Postsecondary Education, Program Monitoring and Information Technology Service, 1990 K St., NW, Washington, DC 20006.

This system contains records on individuals who apply for fellowships and receive admission to a GAANN project.

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.

20 U.S.C. 1135C (1993).

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.

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).

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.

Records in this system can be retrieved by name and Social Security number.

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.

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.

Director, Program Monitoring and Information Technology Service, Office of Postsecondary Education, U.S. Department of Education, 1990 K St., NW, Washington, DC 20006.

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.

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.

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.

Information contained in this system is obtained from the institutions the fellows attend.

None.

18-12-06 Teacher Quality Recruitment Scholarship System.

None.

Teacher Quality Enhancement Grants Program, Office of Policy, Planning, and Innovation, Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., room 6151, Washington, DC 20006-8525.

This system contains records on individuals who have been awarded scholarships with funds provided under Title II of the Higher Education Act by States or partnerships to prepare to become kindergarten through twelfth-grade teachers.

This system consists of information about scholarship recipients, including the amount and period of their scholarships and the institution that awarded them; information about former recipients, including data about the amount and percentage of time the teacher spends teaching; information about the awarding entity; information about the terms of the scholarship; the amount of the scholarship and information about the employing school and the school district, including a certification by the employing school or school district that it meets the regulatory definition of high-need.

Title II, sec. 204(e) of the Higher Education Act of 1965, as amended by the 1998 Higher Education Amendments, and 31 U.S.C. Chapter 37.

The information in this system will be used to ensure that recipients of scholarships provided with funds under Title II of the Higher Education Act who complete teacher education programs subsequently (1) teach in a high-need school of a high-need local educational agency for a period of time equivalent to the period for which the recipient received scholarship assistance; or (2) repay the amount of the scholarship. The information, therefore, is a tracking mechanism that will be used to carry out the statutory requirement found in Title II, Section 204(e). In addition the system information will be used to determine the success of the Teacher Recruitment component of the Teacher Quality Enhancement Grant Programs in preparing new teachers for employment in high-need schools and school districts.

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 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 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).

Storage:

The records are maintained in hard copy, filed in standard filing cabinets; on access controlled personal computers; and on personal computer diskettes that are stored in filing cabinets.

Hardcopy files are retrieved by individual names, institutions of higher education and employing school districts. Electronic files may be accessed by using an individual’s social security number, individual’s name, name of institution of higher education, or name of employing school district.

All physical access to the program location where this system of records is maintained is controlled and monitored by security personnel. The computers used by program staff to store any system data offer a high degree of resistance to tampering and circumvention. This security system limits data access to program staff and any contract staff that may be hired in the future. The system is available on a "need to know" basis. Controls are in place on individual’s ability to access and alter records within the system. All users of this system are given unique user IDs with personal identifiers. All interactions by individual users with the system are recorded.

Disposition: Destroy five years after audit or ED’s determination either that the scholarship recipient fulfills the service obligation or the indebtedness has been repaid or forgiven, whichever is later. (ED/RDS, Part 10, Item 3a)

Director, Teacher Quality Enhancement Grant Programs, Office of Postsecondary Education, 1990 K Street, NW., room 6150, Washington, DC 20006-8525.

If you wish to determine if you have a record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record, contact the system manager. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.

Information is obtained from individual scholarship recipients, institutions of higher education attended by the recipients, and school districts that have employed the recipients.

Systems exempted from certain provisions of the act:

None.

18-12-07 TRIO Programs Annual Performance Report (APR) System (TRIO APR).

None.

(1) Federal TRIO Programs, Office of Postsecondary Education, U.S. Department of Education, 1990 Street, NW., suite 7000, Washington, DC 20006-8510.

(2) Computer Business Methods, Inc. (CBMI), 2750 Prosperity Avenue, suite 100, Fairfax, VA 22031-4312. CBMI annually collects records from grantees, prepares databases of records by program, and transfers the data to the analysis contractor.

(3) National Opinion Research Center (NORC) at the University of Chicago, 1155 East 60th Street, Chicago, IL 60637-2745. NORC maintains the system of records for data analysis.

The TRIO APR system contains records on participants served by the following Federal TRIO Programs: Upward Bound (which includes regular Upward Bound, Upward Bound Math-Science, and Veterans Upward Bound); Student Support Services; and the Ronald E. McNair Postbaccalaureate Achievement programs. Although the TRIO APR system contains some information about institutions, agencies, and organizations that receive grants under these programs, this system of records notice pertains only to individuals protected under the Privacy Act of 1974, as amended.

The TRIO APR system contains records regarding: (1) Participant identifier information including SSN, name, and date of birth; (2) participant eligibility for services and demographic information such as gender, race, ethnicity, and secondary or postsecondary school attended; and (3) academic information such as grade level, grade point average, and high school (postsecondary or graduate school) graduation.

Title IV, Part A, Subpart 2 of the Higher Education Act of 1965, as amended (20 U.S.C. 1070 et seq.) and the Government Performance and Results Act of 1993 (Pub. L. 103-62).

The information contained in the records maintained in this system is used for the following purposes:

(1) To monitor each funded project’s compliance with the program requirements;

(2) To assess the progress of each funded project (grantee) in meeting its goals and objectives and to award "prior experience" points for meeting approved objectives;

(3) To determine program outcomes and areas for program improvement in response to the requirements of the Government Performance and Results Act of 1993 (GPRA) and the OMB’s Program Assessment Rating Tool (PART) process; and

(4) To produce program and grantee-level data for annual reporting and program profile reports.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Program Disclosures. The Department may disclose records to an institution of higher education, agency, or organization responsible for entering the information into the TRIO APR system in order to obtain clarification or additional information about the data submitted.

(2) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, 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.

(3) Research Disclosure. The Department may disclose records from this system 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 and purposes of this system of records. The official may disclose information from this system of records to that researcher solely for the purpose of carrying out research related to the functions or purposes of this system of records. The researcher will be required to maintain Privacy Act safeguards with respect to the disclosed records.

(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 prosecutorial 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 statutory, regulatory, or legally binding requirement, 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) 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 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(7) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or the OMB if the Department concludes that disclosure would help in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(8) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.

(9) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) the Department suspects or confirms that the security or confidentiality of information in the TRIO APR system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of the TRIO APR system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and to prevent, minimize, or remedy such harm.

Disclosures to consumer reporting agencies:

None.

Storage:

The Department’s data collection contractor, CBMI, annually collects records from grantees via a secure Web site and prepares databases of the records by program. CBMI transfers the data via a secure File Transfer Protocol site to NORC that maintains the system of records and is responsible for analyzing the data. Archival and analysis copies of the databases are maintained on NORC’s secure servers and in other electronic storage media. The data are submitted electronically and stored electronically; paper records of the individual student data are not collected.

The records are indexed by the grant number(s) assigned to each project. The following data elements are used for matching participant records with prior year’s data and with other data sources: SSN, first and last name, and date of birth. Electronic files on participants can be accessed through these data elements.

Access to the records is limited to authorized personnel only. All physical access to the Department’s site and to the sites of the Department’s contractors where the data is collected and this system of records maintained is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.

The computer systems employed by the Department and by the Department’s contractors offer a high degree of resistance to tampering and circumvention. The data reside in secured facilities on secured servers behind a Department-approved firewall system that continuously monitors for intrusion and unauthorized access. Access to the data is permitted only for contractor staff who support the data collection or data analysis and a small number of Department staff who have a need for the data to perform their responsibilities. Contractor staff have appropriate security clearances and also sign confidentiality and non-disclosure agreements to protect against unauthorized disclosure of confidential information.

The retention and disposal of records associated with the TRIO APR system is currently unscheduled pending National Archives and Records Administration (NARA) approval of a records retention schedule. Until a NARA-approved records schedule is in effect, no records will be destroyed.

Team Leader, Program Management and Development, Federal TRIO Programs, Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., room 7059, Washington, DC 20006-8510.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under, System Manager and Address. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is obtained from institutions of higher education and non-profit agencies and organizations that are recipient of grants under one or more of the following Federal TRIO programs: Upward Bound (including Upward Bound Math-Science and Veterans Upward Bound), Student Support Services, and Ronald E. McNair Postbaccalaureate Achievement. The system of records will also include information obtained from data matching with the Federal Student Aid Application File and the Recipient Financial Management System.

None.

18-12-08 Erma Byrd Scholarship Program (EBSP).

None.

Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., 6th Floor, Washington, DC 20006-8510.

This system contains records on students who apply for EBSP scholarships to pursue a course of study that will lead to a career in industrial health and safety occupations, including mine safety. To be eligible for EBSP scholarships, applicants must be United States citizens, nationals, or permanent residents who are enrolled or planning to enroll in an accredited institution of higher education in a degree program that will prepare them for a career in industrial health and safety occupations, including mine safety. Individuals must be enrolled or planning to enroll in an associate’s degree program, or be within two years of completing a degree at the bachelor’s or graduate level.

In selecting undergraduate applicants to receive an EBSP scholarship, the Department will give priority first to students who are eligible to receive a Federal Pell Grant. The Federal Pell Grant Program provides need-based grants to low-income undergraduate and certain postbaccalaureate students to promote access to postsecondary education. In addition, the Department will evaluate eligibility for the EBSP scholarships based on an applicant’s course of study.

The EBSP system contains a variety of information relating to a student’s application for, and participation in, the EBSP. Information on an applicant in the system includes the student’s name, the student’s Social Security number, the student’s address, the student’s phone number, the student’s e-mail address, the student’s course of study, and the name of the institution of higher education in which the student is enrolled or intends to enroll. The Department is collecting the student’s Social Security number in order to verify the Federal Pell Grant eligibility of EBSP undergraduate applicants through the U.S. Department of Education’s National Student Loan Data System. If the applicant receives an EBSP scholarship, the system also includes information about the amount and period of the student’s scholarship, the student’s agreement to the terms of the scholarship, verification of the institution’s agreement to disburse the scholarship, and verification of the student’s employment in a career related to industrial health and safety occupations, including mine safety, for a period of at least one year, beginning no more than six months after completion of the degree. The Department is also collecting the student’s Social Security number in order to facilitate conversion of the scholarship into a Federal Direct Loan should the recipient fail to comply with the terms and conditions of the scholarship.

Division F, Title III of the Omnibus Appropriations Act, 2009 (Pub. L. 111-8) and the Government Performance Results Act of 1993 (Pub. L. 103-62).

The Department is establishing this system of records for the following purposes:

(1) To determine the qualifications and eligibility of EBSP scholarship applicants, including the determination of Pell eligibility (for undergraduates).

(2) To ensure compliance with program requirements.

(3) To demonstrate program effectiveness.

(4) To ensure that an EBSP scholarship recipient fulfills the service obligation associated with this program by obtaining employment in a career related to industrial health and safety occupations, including mine safety, for at least one year after completion of the degree.

(5) To ensure the repayment of the amount of the scholarship if the student is not employed in a career related to industrial healthy and safety occupations, including mine safety, for at least one year after completion of the degree.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Program Disclosures. The Department may disclose records to an institution of higher education to verify that the scholarship recipient is enrolled in an eligible program at that institution and to facilitate the disbursement of scholarship funds under this program. In addition, the Department may disclose records to the scholarship recipient’s employer to verify that the scholarship recipient is employed in a career position related to industrial health and safety, including mine safety, for at least one year after completion of the degree.

(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 prosecutorial 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 statutory, regulatory, or legally binding requirement, 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) 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 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or OMB if the Department concludes that disclosure would help in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(6) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, 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) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry.

(8) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of information in the EBSP system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of the EBSP system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosure to consumer reporting agencies:

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 the preceding sentence in accordance with 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 in 31 U.S.C. 3701(a)(3).

Storage:

The hard copy records will be stored in locked filing cabinets, and the electronic copy records will be maintained in a database on the Department’s secure servers and in other electronic storage media.

Records are retrieved using an individual’s name, Social Security number, or institution of higher education in which the applicant is enrolled.

Access to the records is limited to authorized personnel only. All physical access to the Department’s site where the data is collected and this system of records is maintained is controlled and monitored by security personnel who check each individual entering the buildings 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 an individual user’s ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department’s Privacy Policy requires the enforcement of a complex password policy. In addition, users are required to change their passwords at least every 60 to 90 days in accordance with the Department’s information technology standards.

In accordance with the Department’s Records Disposition Schedules, part 10, Item 3a, records will be destroyed five years after final payment to grantee, or after audit, whichever is sooner.

Lauren Kennedy, Erma Byrd Scholarship Program Office, Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., 6th Floor, Washington, DC 20006-8510.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under System Manager and Address. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is obtained from applicants, institutions of higher education, and employers of scholarship recipients. In addition, information from the U.S. Department of Education’s National Student Loan Data System will be used to verify information maintained in this system of records.

None.

18-13-01 National Center for Education Statistics Longitudinal Studies and the School and Staffing Surveys.

None.

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.

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.

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.

20 U.S.C. 1221e-1.

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.

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.

Storage:

The research files will be stored on computer tapes and diskettes. The location files will be kept on computer tapes.

The records are retrievable by title of survey and name of person.

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.

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.

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.

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.

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.

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.

Information in the records comes form responses to survey instruments.

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 National Center for Education Statistics Affidavits of Nondisclosure.

None.

See the Appendix to this system notice.

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.

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.

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)).

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.

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.

Storage:

Information will be kept in file folders and on computer diskettes or computer tapes.

The records will be retrievable by name, date, and place of work of the individual.

The records will be kept in locked files. The computer tapes and diskettes will be accessible by authorized personnel through identification number and password.

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.

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.

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.

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.

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.

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 National Center for Education Statistics’ National Assessment of Educational Progress.

None.

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.

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)).

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.

20 U.S.C. 9010.

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.

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.

Storage:

The records are maintained on magnetic tape and computer disk media.

Records are retrievable by assessment year, subject area, age or grade at the school or individual respondent level.

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.

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.

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.

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.

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.

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.

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 Outcomes of Diversity in Higher Education Study.

None.

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.

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.

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.

20 U.S.C. 6031 (h) (Supp. 1998).

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.

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.

Storage:

The research and location files will be stored on separate computer diskettes.

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.

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.

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.

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.

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.

Same as Notification Procedure.

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.

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.

18-13-06 What Works Clearinghouse (WWC) Database.

None.

Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.

This web-based system will maintain a national registry of educational interventions--educational programs, products, and practices that are claimed to enhance important student outcomes. In particular, the WWC will assess and report on the strength of research-based evidence of the effectiveness of these educational programs.

There are two categories of individuals covered by the system. First, the WWC will be collecting identifying information from members of the public if the public voluntarily and anonymously suggests studies, interventions, and topics for WWC review, and provides optional contact information. The WWC will also collect information from the public if an individual voluntarily subscribes to receive e-mail updates about new information on the WWC Web site.

Second, evaluators--individuals and organizations--may use the Web site to voluntarily submit contact information and information about their services and experience in evaluating educational programs. The purpose of this information is to create a public listing to assist people in identifying those evaluators who are potentially qualified to conduct rigorous studies of the effectiveness of education programs.

For members of the public who suggest a study, intervention, or topic for WWC review, and choose to provide contact information, the form will include name, title, organization, mailing address, e-mail address, phone number, URL and comments. The individual will be able to choose whether or not to submit any contact information at all, provide just a contact name and e-mail address, or give more detailed contact information, including title, organization, mailing address, phone number, URL, or comments.

For members of the public who voluntarily subscribe to receive e-mail updates from the WWC Web site, an automated system will collect and retain the e-mail addresses of subscribers.

Finally, evaluators may use the Web site to voluntarily submit contact information--name, work mailing and e-mail addresses, phone number--together with information about their services and experience, if they would like this information to be included in the public-access, web-based registry of evaluators.

This notice does not cover records, including but not limited to letters, e-mails, and facsimiles, sent by individuals to the Secretary, Deputy Secretary, Senior Officers, such as the Director of IES, for whom the Department controls responses to these inquiries. Further, this notice does not cover the official correspondence files of IES, specifically the hard copies of official documents and electronic images of certain incoming and outgoing documents.

Education Sciences Reform Act of 2002, Pub. L. 107-279 (2002), sections 172(a)(2) and (3).

This system of records is maintained to provide the WWC with the means to:

1. Contact members of the public who suggest a study, intervention, or topic for review and who choose voluntarily to provide optional contact information, if their suggestions need clarification.

2. Send e-mail updates about new information on the WWC Web site to subscribers.

3. Provide contact information for evaluators who wish to have their services, experience, and contact information included in the public-access, web-based registry of evaluators.

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. Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA.

2. Disclosure to the 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.

3. 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 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.

4. Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the parties described in (a)(i) through (v) 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her official capacity if the DOJ has agreed or been requested to provide or arrange for representation for the employee; or

(iv) Any Department employee in his or her individual capacity if the Department 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 DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsel, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

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. 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.

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 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.

Disclosures to consumer reporting agencies:

Not applicable to this system of records.

The information in the tracking system will be stored on a server maintained by the WWC subcontractor staff. Records generated by the system will be maintained electronically on the server.

The public will have access to the searchable, web-based registry of evaluators, containing information voluntarily submitted by evaluators about their services and experience, as well as contact information, after the evaluators have signed a letter giving their written permission for this information to be used in the registry.

The data are retrieved by searching by record number, type of suggestion, study author, title, reference type, publisher, topic, type of intervention, and organization.

The data for the evaluator registry will be searchable on the WWC public-access Web site by topic, type of research, geographic area, study title, intervention title, years of experience, and contact information.

Access to this system will be restricted to authorized WWC contractors, subcontractors, consultants, and ED employees on a need-to-know basis. Authorized users of this system will enter a unique user ID as well as a password to enter the system. They will be required to change their passwords periodically, and they will not be allowed to repeat old passwords. Any individual who attempts to log in to the system three times and fails will be locked out of the system. Access after that time requires intervention by the system manager.

The computer system employed by the WWC offers a high degree of resistance to tampering and circumvention. This security system limits data access to authorized WWC staff and controls individual users’ ability to access and alter records within the system.

All file servers, routers/hubs, tape back-up stations, and communications servers are located in secure rooms at the subcontractor’s Headquarters site, and only authorized personnel have access via key or magnetic card.

All files will be password-protected and back-up files will be secured in a locked area. Access to the data files and software on the WWC site are controlled through the Microsoft NT Server operating system by providing all staff with user accounts (user IDs). All secure user accounts will require passwords that must be changed every six months. Passwords for ongoing data processing will be changed frequently, and users will be blocked from gaining access to certain types of data and programs based on their IDs and passwords.

Records in this system will be retained in accordance with the National Archives and Records Administration (NARA) General Records Schedule 20, Item 1.c which provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes.

System manager and address:

Contracting Officer’s Representative (COR), What Works Clearinghouse, U.S. Department of Education, Institute of Education Sciences, 555 New Jersey Avenue, NW., suite 504, Washington, DC 20208.

If you wish to determine whether a record exists about you in the system of records, provide the system manager with your name or e-mail address. Your request for notification must also meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. You may also present your request in person or make your request in writing to the system manager at the above address.

Request to access a record also must reasonably specify the record contents sought and otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record in this system of records, you must contact the system manager at the above address and follow the steps outlined in the NOTIFICATION PROCEDURE section. Requests to amend a record must also reasonably identify the record, specify the information being contested, provide in writing your reasons for requesting the change, and otherwise meet the regulations in 34 CFR 5b.7.

Information in this system is obtained from members of the public and evaluators who voluntarily provide information. The primary way for the public and evaluators to contact the WWC is electronically through the WWC Web site, although they also could contact the WWC by telephone, by mail, or in person.

None.

18-13-07 DC Choice Program Evaluation.

None.

Westat, 1650 Research Boulevard, Rockville, MD, 20850.

There are two categories of individuals who are covered by this system. The system will contain records on DC Choice Program applicants (students), their parents and other adults living with these students. The system will also contain information on all DCPS non-applicant students from K thru 12.

This system consists of the names, addresses, telephone numbers, social security numbers, demographic information--such as race/ethnicity, age, marital status, disability, language spoken in the home, educational background, and income--and the results of academic assessments. The system will collect information about parents’ satisfaction with their children’s current schools and the reasons for seeking a new school. The system will also collect scores on academic achievement examinations for applicants who may not have participated in Spring, 2004 DCPS testing. In addition, the system will also contain academic achievement data and other student performance measures, including attendance and disciplinary records, from existing DCPS school records for all students in grades K thru 12.

DC School Choice Incentive Act of 2003, Pub. L. 108-199, Division C, Title III, Section 309(a)(3) and (4).

This statute is intended to provide low-income parents residing in the District of Columbia (the District) with expanded opportunities for enrolling their children in higher-performing private schools in the District. The information in this system will be used to fulfill the requirements of the DC School Choice Incentive Act of 2003 (D.C. Choice Act), especially section 309, which calls for a detailed evaluation of the program. In particular, section 309 directs the Department to evaluate the performance of students participating in the program by comparing them with the students in the same grade at DCPS as well as students in DCPS who applied for the program but were not selected.

ED may disclose information contained in a record in this system of records under the routine use listed in this system without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of: (A) Section 183 of the Education Sciences Reform Act of 2002 (ESRA), Pub. L. 107-279, providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES); (B) if applicable, Title V of the E-Government Act of 2002 (E-Gov Act), Pub. L. 107-347, governing any pledges of confidentiality given to the public for statistical purposes; and (C) Section 309(a)(5) of the D.C. Choice Act, prohibiting the disclosure of personally identifiable information to the public regarding the results of the measurements used for the evaluations.

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 and to agree in writing to comply with all other provisions of law that affect the disclosure of the information, including section 183 of the ESRA, Title V of the E-Gov Act, and section 309(a)(5) of the D.C. Choice Act.

Disclosure to consumer reporting agencies:

Not applicable to this system notice.

The contractor will maintain data for this system on its computers and in hard copy.

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.

Individual access to the offices of Department contractor, Westat, that maintains the system of records is controlled and monitored by security personnel. The contractor has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. Westat will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry.

Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the Westat system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services and additional security features that the network administrator establishes for projects as needed.

Records are maintained and disposed of in accordance with ED’s record disposition schedules (ED/RDS). In particular, ED will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

There are three principal record source categories in this system. Information will be obtained from applications submitted by potential scholarship winners. Information will also be obtained directly from applicants who have to take academic assessment examinations administered directly by the contractor. Finally, information will be gathered from the education records of DCPS students in grades K thru 12.

Systems exempted from certain provisions of the act:

None.

18-13-08 Early Reading First National Evaluation.

None.

Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098.

Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540.

Center for Improving the Readiness of Children for Learning and Education, University of Texas-Houston Health Sciences Center Medical School, 7000 Fannin Street, Houston, TX 77030.

This system contains records on Early Reading First children and their parents and project staff from Early Reading First programs participating in the national evaluation. In addition, the system contains records for children, parents, and staff in some preschools not receiving Early Reading First funds. The evaluation will obtain a sample of sites from the universe of applicants that applied for Early Reading First (ERF) grants that were awarded in 2003. The treatment group consists of 28 grantees that received ERF funds. The comparison group consists of 37 applicants that did not receive ERF funds and that received average scores from peer reviewers in the interval below the average score of the lowest-scoring funded application. A random sample of three to five preschool classrooms was selected from each ERF grantee in the treatment group and each unfunded applicant site in the comparison group. In each site, up to 33 children were randomly selected from those whose parents have given consent for them to participate in the study. Parents of children in those classrooms were asked to sign a consent form with contact information.

This system consists of the names and addresses of children in the evaluation and their parents as well as demographic information--such as race/ethnicity, age, educational background, and family income; names of preschool staff in the evaluation; parent and preschool staff responses to survey questions, children’s results from early literacy and language assessments and teacher reports of children’s social and emotional outcomes. Information collected will include the following: Names; addresses; demographic information such as race/ethnicity, age, educational background, and family income for children in the sample and their parents; and preschool staff answers to interview questions. Specific data collection activities will include direct in-person assessments of children, telephone surveys of parents, self-administered teacher surveys and teacher ratings of children, self-administered preschool director surveys, informal grantee director in-depth interviews, classroom observations, and extraction of records on children.

20 U.S.C. 6376, 9561(b) and 9563.

The information in this system is used for the following purposes: (1) To fulfill the requirements under section 1226 of the Elementary and Secondary Education Act (ESEA), for an evaluation of the Early Reading First program; and (2) to provide information on effective practices in Early Reading First for the purpose of improving the program.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the Education Sciences Reform Act (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by the Institute of Education Sciences.

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 notice.

Storage:

The Department maintains records on CD-ROM and the contractors maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

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. 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.

The contractor, Decision Information Resources, Inc. (DIR), and its subcontractors Mathematica Policy Research, Inc. (MPR) and the Center for Improving the Readiness of Children for Learning and Education (CIRCLE) at University of Texas-Houston Health Sciences Center have established a set of procedures to ensure confidentiality of data. All employees sign a pledge that emphasizes the importance of confidentiality and describes their obligations. Access to sample selection data is limited to those who have direct responsibility for providing the sample and maintaining the sample-locating information. At the conclusion of the research, these data are destroyed. Identifying information is maintained on separate forms and files, which are linked only by sample identification numbers. Access to the file that links sample identification numbers with the respondents’ identification and contact information is limited to a small number of individuals who have a need to know this information. Access to the hardcopy documents is strictly limited. Documents are stored in locked files and cabinets. Discarded material is shredded. Computer data files are protected with passwords, and access is limited to specific users. Especially sensitive data are maintained on removable storage devices that are kept physically secure when not in use. An Institutional Review Board (IRB) has reviewed and approved the data collection protocol and the procedures used to ensure confidentiality. The parent consent form required for children’s participation in the study states that information collected about the child will be kept confidential. The interviewers’ introductory comments given at the beginning of each parent and grantee director interview includes all the information that respondents need for deciding to give informed consent (verbal) for that interview.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 regulations in 34 CFR 5b.7, including proof of identity.

Information is obtained from interviews with parents of Early Reading First participants and with Early Reading First staff, and from direct assessments of children attending Early Reading First preschools. In addition, information will be obtained from interviews with parents of children attending non-Early Reading First preschools and with non-Early Reading First preschool staff, and from direct assessments of children enrolled in non-Early Reading First preschools.

None.

18-13-09 Even Start Classroom Literacy Interventions and Outcomes (CLIO) Study.

None.

Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208.

Westat, 1650 Research Boulevard, Rockville, MD 20850.

This system contains records on adults and children in the William F. Goodling Even Start Family Literacy Programs (Even Start) program who participate in the CLIO study, on project staff from Even Start grantees participating in the CLIO study, and on the kindergarten and first grade teachers of CLIO children.

This system consists of: (1) The names and addresses of adults and children in the Even Start program who participate in the CLIO study; (2) demographic information such as race/ethnicity, age, and educational background for adults and children participating in the Even Start CLIO Study, for Even Start staff in programs participating in the CLIO study, and for the kindergarten and first grade teachers of CLIO children; (3) responses of adults participating in the Even Start CLIO study and project staff and teachers to interview questions; and (4) and the results of literacy assessments on adults and children participating in the Even Start CLIO study.

The evaluation being conducted is authorized under: (1) Sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563)); and (2) sections 1232(b)(1)(A) and 1239 of the ESEA, as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 6381a(b)(1)(A) and 638lh).

The information in this system is used for the following purposes: (1) To fulfill the requirements of the Even Start legislation for an evaluation of Even Start programs; and (2) To provide information on the effectiveness of specific family literacy interventions in those programs for use in improving the Even Start 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences.

Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department must require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

Disclosure to consumer reporting agencies:

Not applicable to this system notice.

Storage:

The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy.

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.

All physical access to the Department’s site, and the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer 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. The contractor, Westat, has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. Westat will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the Westat system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department of Education’s Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records) of ED/RDS.

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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 regulations at 34 CFR 5b.7, including proof of identity.

Information is obtained from interviews with Even Start CLIO study participants, staff, and kindergarten and first grade teachers of CLIO children and direct assessments of Even Start CLIO study participants. Even Start programs participating in CLIO also provide information to the CLIO study on who is participating in the program at each data collection point and their attendance in the program’s services.

None.

18-13-10 Impact Evaluation of Teacher Preparation Models.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

(2) Mathematica Policy Research, Inc. (MPR), 600 Alexander Park, Princeton, NJ 08540.

This system contains records on teachers who have taken traditional and alternative routes to certification programs and who are participating in the Impact Evaluation of Teacher Preparation Methods. The system contains information about teachers from selected teacher preparation programs and their students. The selected teacher preparation programs are a sample of 10 programs with low entrance requirements--5 of which also have minimal course requirements and 5 of which also have substantial course requirements. To identify the 10 programs, the contractor selected from 165 programs in 12 states with low entrance selectivity requirements. The study sample consists of teachers in districts and schools where there is both an alternatively certified teacher and a traditionally certified teacher with similar amounts of prior teaching experience who teach in the same grade. A pair of new teachers in the same grade was formed at each of 80 schools included in the study, with 1 teacher having taken the traditional route and 1 the alternative route to certification. Participation of both teachers and their students in the evaluation is voluntary.

The system includes the teachers’ social security numbers; the teachers’ demographic information--such as race/ethnicity, age, and educational background; information from two classroom observations (e.g., lesson content; student and teacher activities during the lesson; student engagement, nature of teacher/student interactions, learning environment); and the results of the teachers’ standardized test scores (e.g., existing SAT or ACT scores) as well as the teachers’ students’ standardized test scores.

The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and section 9601 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7941). The authority for using ESEA funds to support the underlying teacher preparation programs that are being evaluated is Title II, Part A, subparts 1 and 2 of ESEA (20 U.S.C. 6611-6623).

The information in this system is used for the following purposes: (1) To support evaluation and research of teacher quality; and (2) to provide information on effective practices in teacher pre-service for the purpose of improving teacher preparation programs.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES).

(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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site, and the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer 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.

The contractor, Mathematica Policy Research, Inc. (MPR), has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. MPR will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the MPR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor employees who maintain (collect, maintain, use or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS) in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 regulations in 34 CFR 5b.7, including proof of identity.

The system includes information that is taken from teachers directly, such as the teachers’ social security numbers; the teachers’ demographic information--such as race/ethnicity, age, and educational background. It also includes information obtained from two classroom observations of the teachers from trained researchers; the results of the teachers’ standardized test scores (e.g., existing SAT or ACT scores), which are obtained from the College Board or ACT with the teachers’ consent; and the standardized test scores of the teachers’ students, which are obtained directly from the students in the teachers’ classes.

None.

18-13-11 Evaluation of the Impact of Teacher Induction Programs.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 500, Washington, DC 20208-0001.

(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540.

This system contains records on teachers participating in the Evaluation of the Impact of Teacher Induction Programs. The goal of this evaluation is to evaluate the impact of a high intensity model of teacher induction on novice elementary school teachers’ retention rates and classroom performance. Twenty high-poverty school districts will participate in the evaluation. Selected districts will be those that do not already offer a high intensity induction program and that agree to assign 20 elementary schools within the district by lottery to either the high intensity model of teacher induction or the teacher induction program that the district normally provides. Teachers’ participation in the evaluation will be voluntary.

This system consists of a baseline teacher survey (which will cover the teacher’s professional credentials, the teacher’s perceptions of the teaching profession, and the teacher’s personal background characteristics, many of which may affect retention), the teacher’s college SAT or ACT examination results, a classroom observation protocol, a teacher induction activities survey (which will ask questions about the kinds of induction activities in which the novice teacher participated, as well as the intensity and duration of those activities), a teacher retention survey (items will include the teacher’s place of employment, pursuit of continuing education, the timing of any change in the teacher’s employment, the teacher’s job satisfaction, and, if applicable, the reasons that the teacher left an original school or the teaching profession), and aggregated student test score data which will be linked to the teacher.

Information on study participants in this system will include, but not be limited to the following data: Names; home addresses; home phone numbers; cell phone numbers; e-mail addresses; social security numbers; race/ethnicity; age; income; marital status; household composition; home ownership; educational background and credentials; and ACT or SAT college examination results.

The evaluation being conducted is authorized under: (1) sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 9601 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7941). The authority for the underlying teacher induction programs, the impact of which the Department of Education (Department) is evaluating, is sections 2121 through 2123 of the ESEA, as amended by NCLB (20 U.S.C. 6621-6623).

The information in this system is used for the following purposes: (1) To fulfill the requirements of the ESEA, as amended by the NCLB, for evaluation and research of teacher quality; and (2) to provide information on the effectiveness of teacher induction programs in increasing teacher retention and improving teacher performance.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES.

(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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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 notice.

Storage:

The Department maintains records on CD-ROM and the contractor maintains data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the site of the Department’s contractor, where this system of records is maintained, is controlled and monitored by security personnel. 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.

The contractor, Mathematica Policy Research, Inc. (MPR), has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. MPR will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the MPR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. MPR shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records) of ED/RDS.

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 500, Washington, DC 20208-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 regulations in 34 CFR 5b.7, including proof of identity.

Information is obtained from surveys of teachers from schools participating in the Evaluation of the Impact of Teacher Induction Programs study. Information is also obtained from the teacher’s college entrance exams, pursuant to the teacher’s written consent, the workshop observation protocol, and the classroom observation protocol. Additionally, the study involves the collection of data from student records aggregated by classrooms and the collection of program documents, such as training agenda and materials, curriculum guides, and assessment tools, that will be supplied by two high-intensity induction program providers.

None.

18-13-12 Evaluation of the Impact of Supplemental Literacy Interventions in Freshman Academies (The Adolescent Literacy Project).

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

(2) MDRC, 16 East 34th Street, New York, NY 10016.

(3) American Institutes for Research, 1000 Thomas Jefferson Street, NW., Washington, DC 20007.

This system contains records on adolescents, teachers, and project staff participating in the literacy interventions in the Adolescent Literacy Project. The goal of this study is to establish and evaluate the effects of two supplemental literacy programs for students who enter ninth grade with reading skills well below grade level. A distinctive aspect of this project is that the schools mounting the literacy programs will be ones that already operate Smaller Learning Communities (SLCs) that address the transition freshman students are making into high school, sometimes referred to as "Freshman Academies." Freshman Academies should provide a more supportive environment within which the supplemental literacy interventions can be implemented and sustained for this study.

This system consists of information about two cohorts of approximately 3,200 high school freshmen each, one in the 2005-2006 school year and the other in the 2006-2007 school year, in SLC in eight to twelve school districts yet to be determined. Half of these students will be participants in supplemental literacy program, and half will be in a control group. The system will include these students’ names, addresses, demographic information such as race/ethnicity, age, gender, and educational background, their results on literacy assessments, some of their school records data such as attendance, state test results, course performance, and classes taken, and their attitude toward reading and their reading and writing activities during the school year. The system will also include responses to survey and interview questions from teachers of these students, and possibly other school staff working with the literacy classes. These surveys and interviews will request information about the teachers’ backgrounds, professional experience, and training, as well as their observations and impressions of the supplemental literacy interventions.

The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). The SLC program is authorized under Title V, Part D, Subpart 4 of the Elementary and Secondary Education Act of 1965 (ESEA) (20 U.S.C. 7249), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110).

The information in this system is used for the following purpose: To study promising organizational and instructional strategies that will be used in the SLC program, as authorized by the ESEA, as amended. In particular, this system is necessary to provide information for analyses of the effectiveness of specific literacy interventions for ninth graders that will be used in SLCs.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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.

(2) 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.

(3) 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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor, MDRC, and its subcontractor, AIR, have established similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure that information identifying individuals is in files physically separated from other research data. They will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the MDRC or AIR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services and additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules, Part 3, Items 2b and 5a.

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

This system consists of information about two cohorts of approximately 3,200 high school freshmen each in SLCs in eight to twelve school districts yet to be determined. The system will include information taken directly from the students. It will also include information from the students’ education records, such as attendance, State test results, course performance, and classes taken. The system will also include responses to survey and interview questions from teachers of these students, and possibly other school staff working with the literacy classes.

None.

18-13-13 Impact Evaluation of Academic Instruction For After-School Programs.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

(2) MDRC, 16 East 34th Street, New York, NY 10016.

(3) Private/Public Ventures (P/PV), 2000 Market Street, Suite 600, Philadelphia, PA 19103.

(4) Survey Research Management, 1495 Yarmouth Avenue, Suite A, Boulder, Colorado 80304.

The impact evaluation is being conducted by MDRC in collaboration with the Bloom Associates, P/PV, and Survey Research Management. Bloom Associates will not maintain records from this system of records.

The system will contain information about approximately 4,000 elementary school students and their teachers (approximately 600 teachers--12 teachers in each of the studied centers) in 40 to 50 after-school centers in 20 to 25 school districts yet to be determined. One quarter of these students will be participants using a mathematics curriculum, one quarter will be participants using a reading curriculum, and half will be in a control group. Participation in the study is voluntary. The goal of this study is to establish and evaluate the effects of two supplemental academic programs (a reading program developed by Success For All and a mathematics program developed by Harcourt Publishers) for students with reading and math skills below grade level who participate in after-school programs. Study sites will include, but not be limited to, after-school programs funded by the 21st Century Community Learning Centers program.

The system will include the students’ names, demographic information such as race/ethnicity, age, gender, and educational background, their results on standardized achievement tests, and some of their school records data, such as attendance and academic history. The system will also include responses to survey questions from the students and from the teachers of these students. These surveys will request information about the teachers’ backgrounds, professional experience, and training, as well as information about the academic interventions. The student surveys will request information about the students’ participation in after-school activities and other supplemental reading and mathematics activities.

The evaluation being conducted is authorized under: (1) Sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 4202(a)(2) of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7172(a)(2)).

The information in this system will be used for the following purpose: to test innovative instructional strategies to be implemented in the after-school programs selected for the study. In particular, this system is necessary to provide information for analyses of the effectiveness of specific reading and mathematics interventions on elementary school students who participate in after-school programs.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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.

(2) 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 requires the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(3) 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 must maintain Privacy Act safeguards with respect to the disclosed records.

Disclosure to consumer reporting agencies:

Not applicable to this system notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractors, where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a "need-to-know" basis and controls individual users" ability to access and alter records within the system. The contractor, MDRC, and its subcontractors, P/PV, and Survey Research Management, have established similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure that information identifying individuals is in files physically separated from other research data. They will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hard-copy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the MDRC, P/PV, or Survey Research Management system only to access specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department of Education’s Records Disposition Schedules, Part 3, Items 2b and 5a.

Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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 regulations at 34 CFR 5b.7, including proof of identity.

The system will include information obtained from the students, including names, demographic information such as race/ethnicity, age, gender, and educational background, and their results on standardized achievement tests. The system will also include responses to survey questions from the students and from the teachers of these students. These surveys will request information about the teachers’ backgrounds, professional experience, and training, as well as information about the academic interventions. The student surveys will request information about the students’ participation in after-school activities and other supplemental reading and math activities. This system also consists of information obtained from the student’s school, such as data about the student’s attendance and academic history.

None.

18-13-14 Impact Evaluation of the U.S. Department of Education’s Student Mentoring Program.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

(2) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138.

This system contains records on students who obtain mentoring services through mentoring programs funded by the Department of Education and who are participating in the Impact Evaluation of the U.S. Department of Education’s Student Mentoring Program. The purpose of the impact evaluation is to determine the effectiveness of the Department’s student mentoring program using a rigorous research design. The study sample consists of approximately 1,400 students at 30 of the mentoring programs funded by the Department. Approximately half of these students will be paired with a mentor and the other half of the students will not be paired with a mentor. Data will also be collected from these students’ mentors. Participation of students and their mentors in the evaluation is voluntary.

The system will include the students’ names, demographic information, such as date of birth and race/ethnicity, as well as self-reported attitudes about school, delinquent behaviors, personal responsibility, and the quality of their relationships with peers and adults. The system will also include information gathered from school records (e.g., grades, standardized test scores, and disciplinary actions taken by the school). The system will include mentors’ demographic information, their self-reported experiences with the training and support provided by the mentoring program, and activities in which mentors and students are engaged.

The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and Title IV, Part A, sections 4121(a)(2) and 4130 of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA) (20 U.S.C. 7131(a)(2) and 7140).

The information in this system will be used for the following purposes: (1) to support an impact evaluation of the Department’s student mentoring program as requested by the Office of Management and Budget (OMB); and (2) to provide information for improvement of the Department’s student mentoring program.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences.

(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 must maintain Privacy Act safeguards with respect to the disclosed records.

(3) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. Department of Justice and OMB 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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each student that is cross referenced by the student’s name on a separate list. After students are randomly assigned to the treatment (mentoring) group, a list of those students will be sent to each mentoring program participating in the study, asking for the name of the mentor for each student, along with the contact information for each mentor. This information is entered into a Microsoft Access data base for purposes of tracking. In addition, on the survey form sent out to mentors in the spring, mentors will be asked to update their contact information if necessary.

All physical access to the Department’s site, and the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a "need to know" basis, and controls individual users ability to access and alter records within the system.

The contractor, Abt Associates, Inc. (Abt), has established a set of procedures to ensure confidentiality of data. Abt’s system ensures that information identifying individuals is in files physically separated from other research data. Abt will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours and work on hardcopy data will take place in a single room except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the Abt system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

Ricky Takai, Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 regulations in 34 CFR 5b.7, including proof of identity.

The system will include the students’ names, demographic information, such as date of birth and race/ethnicity, as well as self-reported attitudes about school, delinquent behaviors, personal responsibility, and the quality of their relationships with peers and adults. The system will also include information gathered from school records (e.g., grades, standardized test scores, and disciplinary actions taken by the school). The system will also include mentors’ demographic information, their self-reported experiences with the training and support provided by the mentoring program, and activities in which mentors and students are engaged.

None.

18-13-15 Impact Evaluation of a School-based Violence Prevention Program.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208-0001.

(2) RTI International, 3040 Cornwallis Road, Research Triangle Park, NC 12194.

(3) Tanglewood Research, Inc., 7017 Albert Pick Road, Suite D, Greensboro, NC 27409.

(4) Pacific Institute for Research and Evaluation (PIRE), 1516 Franklin Street, Chapel Hill, NC 27514.

This system contains records on students, school teachers, and other school staff members who are participating in the Impact Evaluation of a School-based Violence Prevention Program. The purpose of the impact evaluation is to determine the effectiveness of a violence prevention program for middle schools using a rigorous research design. Currently, there is lack of rigorous research concerning school-based violence prevention in middle schools. Through an open competition with advisement from a panel of experts in the field of violence prevention, the Department’s contractor, RTI, selected two violence prevention interventions and combined them into a single program for the purpose of this evaluation. The program has the following two components: (1) A curriculum-based model to facilitate students’ social competency, problem solving, and self-control skills, and (2) a whole-school model that targets school practices and policies usually through classroom management or teaching strategies, or through systemic reorganization and modification of school management, disciplinary policies, and enforcement procedures. The RiPP intervention will provide the curriculum-based component of the program and the Best Behavior intervention will provide the whole-school component of the program.

The study sample consists of approximately 20,000 students and approximately 3,000 teachers and other school staff members drawn from approximately 40 middle schools over 3 years. Participation of students, teachers, and other school staff members in the evaluation is voluntary.

The system includes students’ names, demographic information (such as date of birth and race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported victimization, and self-reported violent and delinquent behaviors. The system also will include information from school records such as records of students’ attendance, suspensions, expulsions, and school policy violations. The system also will include teachers’ and other staff members’ self-reported victimization at school as well as their experiences with training and technical assistance related to their schools’ violence prevention efforts.

The evaluation being conducted is authorized under sections 4111(a)(2)(A) and 4122(a) of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA) (20 U.S.C. 7111(a)(2)(A) and 7132(a)), which limits the amount of funds available for program evaluation to $2,000,000 during each fiscal year. Implementation of the violence prevention program being evaluated is authorized under section 4121(a)(2) of the ESEA (20 U.S.C. 7131(a)(2)). The evaluation is also authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).

The information in this system will be used for the following purposes: (1) To support an impact evaluation of a violence prevention program for middle schools; and (2) to provide information for improvement of programs within the Department’s Office of Safe and Drug-free Schools.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES).

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each student, each teacher or other school staff member that is cross-referenced by the individual’s name on a separate list. A list of names of the students whose parents have consented to their participation in the impact evaluation, as well as a list of names of participating teachers and other school staff members will be entered into a Microsoft Access database for purposes of tracking over the three years of the study.

All physical access to the Department’s site, and the site of the Department’s contractor and subcontractors where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a "need to know" basis, and controls individual users’ ability to access and alter records within the system.

The Department’s contractor, RTI, and its subcontractors, Tanglewood and PIRE, have established a set of procedures to ensure confidentiality of data. The systems of RTI, Tanglewood, and PIRE ensure that information identifying individuals is in files physically separated from other research data. RTI and its subcontractors will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours and work on hardcopy data will take place in a single room except for data entry. Physical security of electronic data also will be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the system of records but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor and subcontractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

Ricky Takai, Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 regulations in 34 CFR 5b.7, including proof of identity.

The system includes students’ names, demographic information (such as date of birth and race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported victimization, and self-reported violent and delinquent behaviors. The system also will include information from school records such as records of students’ attendance, suspensions, expulsions, and school policy violations. The system also will include teachers’ and other school staff members’ self-reported victimization at school as well as their experiences with training and technical assistance related to the violence prevention program.

None.

18-13-16 Impact Evaluation of Mandatory-Random Student Drug Testing.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

(2) RMC Research Corporation, 111 SW Columbia Street, Suite 1200, Portland, OR 97201.

This system contains records on high school students attending a high school in school districts that receive grants for School-Based Student Drug-Testing Programs. The goal of this study is to determine if students in high schools with mandatory-random drug testing policies report less use of tobacco, alcohol, and illicit substances compared to comparable students in high schools without mandatory-random student drug testing policies.

The system will contain information about two cohorts of approximately 200 high school students each of (i) 26 high schools operating the mandatory-random drug testing program, and (ii) 26 high schools that will not operate the program but that will serve as control high schools for this evaluation. The total number of high school students included in this system of records will be approximately 10,400 for each of school years 2006-07 and 2007-08. The 52 participating high schools will be from school districts that are recipients of the grants for School-Based Student Drug-Testing Programs that were announced in September, 2006 by OSDFS. The system of records will include information about the high school students participating in the evaluation, including the students’ names; addresses; demographic information such as race/ethnicity, gender, age, educational background; and attitudes and beliefs concerning substance use, and substance use itself.

The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). The grants for School-Based Student Drug-Testing Programs are authorized under section 4121 of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 7131).

The information in this system is used for the following purposes: To study the impact of mandatory-random drug testing policies in high schools and to determine if mandatory-random drug testing policies result in less reported use of tobacco, alcohol, and illicit substances among a group of students in participating high schools compared to a comparable group of students in high schools that do not operate a mandatory-random drug testing program.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor and subcontractor will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the contractor’s and subcontractor’s systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrators will establish for projects as needed. The contractor and subcontractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (Section Ed/RDS, Part 3, Item 2b and Part 3, Item 5a).

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

The system will contain information about two cohorts of approximately 200 high school students each of (i) 26 high schools operating the mandatory-random drug testing program and (ii) 26 high schools that will not operate the program but that will serve as control high schools for this evaluation. The total number of high school students included in this system of records will be approximately 10,400 in each of school years 2006-07 and 2007-08. The 52 participating high schools will be from school districts that are recipients of the grants for School-Based Student Drug-Testing Programs that were announced in 2006 by OSDFS.

The system of records will include information about the high school students participating in the evaluation including the students’ names; addresses; demographic information such as race/ethnicity, gender, age, and educational background; and attitudes and beliefs concerning substance use, and substance use itself.

None.

18-13-17 Impact Evaluation of Upward Bound’s Increased Focus on Higher-Risk Students.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 500J, Washington, DC 20208-0002.

(2) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138-1168, and 4550 Montgomery Avenue, Suite 800 North, Bethesda, MD 20814-3343.

(3) The Urban Institute, 2100 M Street, NW., Washington, DC 20037-1264.

(4) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5012.

The system will contain information about approximately 3,600 students applying for admission at approximately 90 Upward Bound grantees for the 2007-2008 academic year, of which approximately 1,800 will have been offered admission to Upward Bound and 1,800 will serve as a control group for the purposes of this evaluation. These students will be in either 9th or 10th grade during the 2007-2008 academic year. The Upward Bound grantees included in the evaluation will be a sample of all Upward Bound grantees.

The system of records will include information about sampled students, including their names, addresses, demographic information such as race/ethnicity, gender, age, and educational background, attitudes toward school, and educational aspirations.

This evaluation is authorized under: (1) Section 402H of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-18; and (2) sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA), 20 U.S.C. 9561(b) and 9563. Section 402H of the HEA explicitly authorizes the Secretary of Education to enter into contracts with organizations to evaluate the effectiveness of Upward Bound and other Federal TRIO programs.

The information in this system is used for the following purpose: To study, as authorized by section 402H of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-18, the impacts of Upward Bound on eligible students’ preparation for, and success in, postsecondary education. In particular, this system is necessary to provide information for analyses of the impacts of the Upward Bound programs on higher-risk students as well as on other eligible students. The system is also needed for analyses of variations in impacts on students according to the characteristics of Upward Bound projects and control group students’ access to, and receipt of, services similar to those offered through Upward Bound.

The Department of Education (Department) may disclose information contained in a record in this system of records under the routine use 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 of 1974, as amended (Privacy Act), under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES.

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site, to the sites of the Department’s contractor, and to the sites of the subcontractors where this system of records is maintained, will be controlled and monitored by security personnel. 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.

The contractor selected for this evaluation has been required to establish similar sets of procedures at its sites and at subcontractor sites to ensure confidentiality of data. Their systems will be required to provide reasonable assurance that information identifying individuals is in files physically separated from other research data. The contractor and subcontractors are required to maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the contractor’s and subcontractors’ information systems but only to access specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and, additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

In safeguarding personally identifiable information (PII), the contractor and its subcontractors also are subject to the Department’s requirements contained in the Department of Education’s Handbook for the Protection of Sensitive But Unclassified Information, OCIO-15, and the Department’s policy that the transmission of sensitive but unclassified information, including PII, through an e-mail requires that the contents be password protected in a ZIP file.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0002.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

This system will consist of records obtained on eligible students applying to Upward Bound projects at approximately 90 host institutions. The records will consist of parental consent and student consent forms, responses from a baseline survey of students, and information provided by Upward Bound projects on each student. At a later point in time, school records (from school, district, or state databases) and College Board and ACT records will be merged onto the system of records, as will responses from a survey of Upward Bound project coordinators and a follow-up survey of the students. Records in this system of records will be matched with other data solely for research purposes, to study the impacts of Upward Bound on students’ preparation for college. The specific matched data will NOT be used to make decisions concerning the rights, benefits, or privileges of the students who participate in this study. After students turn 18 and give their own consent to participate in the study, additional data merges from Federal Student Aid files, National Student Clearing House data, school records, College Board and ACT records, and additional follow-up surveys of students may occur, again solely for research purposes, to study the impacts of Upward Bound on students’ postsecondary outcomes. The individual identifiers that would be used to merge the different sources of data would be removed from the data files before the files are used for data analysis.

None.

18-13-18 Evaluation of Conversion Magnet Schools.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208.

(2) American Institutes for Research, 1070 Arastradero Road, Suite 200, Palo Alto, CA 94304.

(3) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5085.

This system contains records on elementary school students attending an elementary school in school districts that are recipients of Magnet Schools Assistance Program (MSAP) grants in 2004 and/or 2007. The system will contain information about students who attend approximately (i) 50 conversion magnet schools and (ii) 100 elementary schools that are not magnet schools that will serve as comparison elementary schools for the purposes of this study. The total number of elementary school students included in this system of records will be approximately 15,000 per year for the years 2004-2005 through 2009-2010 and approximately 7,500 per year for the years 2001-2002 through 2003-2004. The 50 magnet schools in the study are drawn from school districts that were awarded MSAP grants by the U.S. Department of Education’s Office of Innovation and Improvement in 2004 and/or 2007. For each conversion magnet school and its comparison schools, data will be collected for the three years before or for at least the three years after the conversion date.

The system of records will include information about the elementary school students participating in the evaluation including student demographic information (such as race/ethnicity, gender, age, and language status); attendance zone; grade level; and annual English language arts (ELA) and mathematics test scores.

The MSAP, the program being evaluated, is authorized under the Elementary and Secondary Education Act of 1965, as amended, Title V, Part C; 20 U.S.C. 7231-7231j. Sections 5301-5311 of the No Child Left Behind Act of 2001 (NCLB) most recently amended this program. Section 5310 of the NCLB statute authorizes the Secretary of Education to use MSAP monies to evaluate the program. The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).

The goal of this study is to assess the relationship between magnet school conversion and student outcomes at the elementary school level. In particular, this system is necessary to provide information about whether and how students’ educational achievement and minority group isolation change when elementary schools convert to magnet schools.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES.

Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department must require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

Disclosure to consumer reporting agencies:

Not applicable to this system notice.

The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor and subcontractor will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the contractor’s and subcontractor’s systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor and subcontractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (Section Ed/RDS, Part 3, Item 2b and Part 3, Item 5a).

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

The system will contain records that are obtained from (i) 50 conversion magnet schools and (ii) 100 elementary schools that are not magnet schools that will serve as comparison elementary schools for the purposes of this study. These data, including students’ annual English language arts and mathematics test scores, will be collected from school district databases.

None.

18-13-19 Adult English as a Second Language (ESL) Literacy Impact Study.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

(2) American Institutes for Research, 1000 Thomas Jefferson Street, Washington, DC 20007-3839.

(3) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5012.

(4) Mathematica Policy Associates, 600 Alexander Park, Princeton, NJ 08540-6346.

This system contains records on adult ESL students and teachers who are participating in an evaluation of the effectiveness of a literacy workbook and teacher training in improving the English reading and speaking skills of adult ESL learners who have low levels of literacy in their native language. Teachers and adult ESL learners at recruited sites will volunteer to participate in the study.

The system will contain information about 40 adult ESL teachers and two cohorts of approximately 900 adult ESL learners per cohort. The system of records will include information about the adult learners participating in the evaluation, including the learners’ names; addresses; demographic information such as race/ethnicity, gender, age, educational background; and scores on literacy assessments. The system of records will also include information about the teachers participating in the evaluation, including the teachers’ names; demographic information such as race/ethnicity, gender, educational background; and teaching experience.

The evaluation being conducted is authorized under section 243 of the Adult Education and Family Literacy Act (20 U.S.C. 9253), as well as sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).

The information in this system is used for the following purpose: To study the effectiveness of a literacy workbook and teacher training in improving the English reading and speaking skills of adult ESL learners who have low levels of literacy skills in their native language.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor (American Institutes for Research) and subcontractors (Berkeley Policy Associates and Mathematica Policy Associates) maintain data for this system on computers and in hard copy.

Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractors, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor and subcontractors will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractors will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the contractor’s and subcontractors’ systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor and subcontractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

The system of records will include information collected from adult learners and from teachers participating in the evaluation. Data collected from the learners will include learners’ names; addresses; demographic information such as race/ethnicity, gender, age, educational background; and scores on literacy assessments. Data collected from the teachers will include the teachers’ names; demographic information such as race/ethnicity, gender, educational background; and teaching experience.

None.

18-13-20 Impact Evaluation of Title I Supplemental Educational Services.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502E, Washington, DC 20208-0001.

(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540-2393 and 955 Massachusetts Avenue, Suite 801, Cambridge, MA 02139-3226.

This system contains records on third-to eighth-grade students who are participating in an evaluation of the effectiveness of Title I Supplemental Educational Services (SES). Parents will apply to their school districts for their child to participate in SES. For students whose parents apply for them to participate in SES, the districts will provide to the Department’s contractor demographic data, data on student achievement, and will report on whether or not students were selected to participate in SES. SES providers will provide information to the Department’s contractor on the services provided to students.

The system will contain information about approximately 50,000 third- to eighth-graders. In up to twelve school districts, approximately 50,000 students are expected to apply to participate in Title I SES provided by the district, private providers, or both.

The system of records will include individually identifying information about the student applicants participating in the evaluation, including names; demographic information such as race, ethnicity, gender, age, and educational background; level of participation in SES programs; scores on State reading or mathematics achievement tests, or both; and, for each student participating in SES, the name and characteristics of SES provider organizations such as type of provider (district, private for profit, non-profit, community-based organization), location (at student’s school or not at student’s school), delivery method (teacher, technology, distance learning), and delivery group size (one-on-one, small group, large group).

The evaluation is authorized under section 1501(a)(2) of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (20 U.S.C. 6491(a)(2)), as well as sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).

The information in this system is used for the following purpose: To evaluate the effectiveness of Title I SES in improving the reading or mathematics achievement, or both, of students in Title I schools that have failed to make adequate yearly progress for three years.

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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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 will 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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor (Mathematica Policy Research, Inc.) maintains data for this system on computers and in hard copy.

Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor where this system of records is maintained is controlled and monitored by security personnel. 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. The contractor will establish similar sets of procedures at its sites to ensure confidentiality of data. The contractor’s system is required to ensure that information identifying individuals is in files physically separated from other research data. The contractor will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. At each contractor site, all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical and cyber security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the contractor’s systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor employees who "maintain" (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Items 4b and 5a).

Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502E, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

The system of records will include individually identifying information collected from school districts on third-to eighth graders applying to participate in Title I SES and the SES provider organization for each student participating in SES. Data collected will include information about the student applicants participating in the evaluation, including names; demographic information such as race, ethnicity, gender, age, and educational background; level of participation in SES programs; scores on State reading or mathematics achievement tests, or both; and, for each student participating in SES, the name and characteristics of SES provider organizations such as type of provider (district, private for profit, non-profit, community-based organization), location (at student’s school or not at student’s school), delivery method (teacher, technology, distance learning), and delivery group size (one-on-one, small group, large group).

None.

18-13-21 Evaluation of Moving High-Performing Teachers to Low-Performing Schools.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502E, Washington, DC 20208-0001.

(2) Mathematica Policy Research, Inc., 600 Maryland Avenue, SW., Suite 550, Washington, DC 20024-2512 (contractor).

(3) Optimal Solutions Group, 8100 Professional Place, Suite 312, Hyattsville, MD 20785-2229 (subcontractor).

(4) The New Teacher Project, 186 Joralemon Street, Suite 300, Brooklyn, NY 11201-4326 (subcontractor).

This system contains records on elementary and middle school students and teachers in approximately 10 school districts participating in an evaluation of the impact on improving student achievement of placing high-performing teachers in low-performing schools. In these 10 school districts, data will be collected on approximately 200 teachers and 3680 students in their classrooms.

The evaluation will contain information about 10 school districts where linked student-teacher school records, including test score data, are available for the last four years for all enrolled students. The system of records will include personally identifying information about elementary and middle school students participating in the evaluation, including demographic information such as race, ethnicity, gender, age, educational background, English language proficiency, disability status, eligibility for school lunch programs and mobility status; and scores on State reading and mathematics achievement tests. The system of records will also include personally identifying information about teachers participating in the evaluation, including demographic information such as race, ethnicity, and educational background; and teaching experience.

The evaluation is authorized under: (1) Sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 9601(a) of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7941(a)). The grant programs that are the subject of this evaluation are authorized under Part A of Title II of the ESEA, as amended by the NCLB (20 U.S.C. 6601-51).

The central purpose and reason why the Department is establishing this system of records is to evaluate the impact on improving student achievement of high-performing teachers who are placed in low-performing schools. We seek to study the following additional research questions that are important for policymaking:

(1) What is the overlap between high-performing teachers and low-performing schools? In other words, how serious is the unequal distribution of teacher talent?

(2) How responsive to incentives are high-performing teachers?

(3) What factors influence career decisions of high-performing teachers?

(4) Who fills teaching vacancies in low-performing schools in the absence of incentives for high-performing teachers to move to low-performing schools?

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. Any disclosure of individually identifying information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor (Mathematica Policy Research, Inc.) and subcontractors (Optimal Solutions Group and the New Teacher Project) maintain data for this system on computers and in hard copy.

Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractors, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor and subcontractors will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractors will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the contractor’s and subcontractors’ systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor’s and subcontractors’ employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).

Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502E, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

This system contains records on elementary and middle school students and teachers in school districts participating in an evaluation of the impact on student achievement of high-performing teachers who are placed in low-performing schools. Districts have databases (school records) that contain all the student information that the Department will use. As part of the evaluation, a district is providing the Department’s contractor with data files that contain the information on each student assigned to a teacher participating in the evaluation. Data collected from teachers will be collected from surveys that they fill out.

None.

18-13-22 Teacher Survey Response Incentive System.

None.

(1) National Center for Education Statistics, Institute of Education Sciences, 1990 K Street, NW., Washington, DC 20006-1103.

(2) SRI International, 333 Ravenswood Ave., Menlo Park, CA 94025-3493 (contractor).

The Teacher Survey Response Incentive System contains records of respondents to the Teacher Survey being administered as part of the National Study on Alternate Assessments Teacher Survey.

The Teacher Survey Response Incentive System contains records, including name and contact information, necessary for mailing incentive checks to survey respondents.

The Teacher Survey is part of the National Study on Alternate Assessments, which is authorized by section 664(c) of the Individuals with Disabilities Education Act (20 U.S.C. 1464(c)). This Study is also authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563).

The information contained in the records maintained in this system is used for the following purpose: To allow the Department’s contractor administering the National Study on Alternate Assessments (NSAA) Teacher Survey to mail response incentive checks to respondents who complete the survey.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES.

Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor’s employees, 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 notice.

Storage:

Records are maintained in a database on the Department’s and the contractor’s secure servers and in other electronic storage media.

Records are retrieved by respondent name.

Access to the records is limited to authorized personnel only. All physical access to the Department’s site and to the site of the Department’s contractor where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.

The computer system employed by the Department and by the Department’s contractor 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 an individual user’s ability to access and alter records within the system.

Source records for Teachers Survey Response Incentive System input are destroyed after the information has been entered into the system and verified, in accordance with the National Archives and Records Administration General Records Schedules (GRS) 20, Item 2a(4). System records are destroyed/deleted when 2 years old, in accordance with GRS 23, Item 8.

Contracting Officer’s Representative (COR), National Study on Alternate Assessments, National Center for Special Education Research, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Washington, DC 20208-5550.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under, SYSTEM MANAGER AND ADDRESS. Your request should contain your full name, address, and telephone number. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information, including name and contact information, maintained in this system of records is taken from teachers who respond to the Teacher Survey, which is being administered as part of the National Study on Alternate Assessments.

None.

18-13-23 National Longitudinal Transition Study-2 (NLTS2)

None.

(1) SRI International, 333 Ravenswood Ave., Menlo Park, CA 94025-3493. (Contractor)

(2) Research Triangle Institute (RTI), 3040 Cornwallis Rd., Ragland Building, Research Triangle Park, NC 27709-2194. (Subcontractor to SRI)

The NLTS2 system contains records of a sample of more than 11,000 youth from the population of 13 through 16 year olds receiving special education services in seventh grade or above in December of 2000. The sample is nationally representative of the types of disabilities, as defined by the 12 Federal special education disability categories, in this population.

This system of records contains responses to surveys and interviews administered to students, parents, guardians, administrators, and teachers. The responses may include a student’s background and demographic data (e.g., ethnicity, primary language spoken in the student’s home), educational experiences, employment experiences, finances, aspirations, plans and goals, family variables (e.g., household income, number of adults living in the household, parental expectations for youth to attend postsecondary school), school characteristics, school programs, classroom experiences, adult services and supports, and early adult outcomes in employment, education, independence, and social domains. Records in this system of records also may include the student’s achievement test scores and high school transcript data.

The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and section 664(e) of the Individuals with Disabilities Education Act (20 U.S.C. 1464(e)).

The information contained in the records maintained in this system is used for the following purpose:

To describe the critical influences, contexts, and educational and post-high school experiences for students with disabilities as they complete secondary education and transition to adulthood. Specifically, this study will examine the sample group of secondary students in special education and: (a) Describe the characteristics of these students and their households; (b) describe these students’ secondary school experiences in special education, including their experiences in school, school programs, related services, and extracurricular activities; (c) describe the experiences of these students once they leave secondary school, including their experiences in adult programs and services and social activities; (d) measure the secondary school and post-school outcomes of these students in the education, employment, social, and residential domains; and, e) identify factors in these students’ secondary school and post-school experiences that contribute to more positive outcomes.

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. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collection, reporting and publication of data by IES.

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 only those employees. Before entering into such a contract, the Department will 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:

None.

Storage:

Records are maintained in a database on the contractors’ secure servers and in other electronic storage media. Respondent name and contact information is stored separately from the rest of the data collected in this system.

Records in this system are indexed by a unique number assigned to each individual, which is cross-referenced by the individual’s name. Records are retrieved by the individual’s name or by the unique number.

Access to the records is limited to authorized personnel who are briefed regarding confidentiality of the data, are required to sign a written statement attesting to their understanding of the significance of the confidentiality requirement, and have received Department of Education security clearances.

All physical access to the contractor and subcontractor sites where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the buildings for his or her employee or visitor badge.

The computer systems employed by the contractor and subcontractor offer a high degree of resistance to tampering and circumvention. Security systems limit data access to contract staff on a "need to know" basis, and control each individual user’s ability to access and alter records within the system.

The contractor and subcontractor employees who "maintain" (including collect, maintain, use, or disseminate) data in this system of records must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

In accordance with Part 3, Item 4.b (NC-12-75-1, Item 10b) of the Department’s Records Disposition Schedules, records are destroyed upon verification of transfer to electronic format or upon completion of the report.

Contracting Officer’s Representative (COR), National Longitudinal Transition Study-2 (NLTS2), National Center for Special Education Research, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Washington, DC 20208-5550.

If you wish to determine whether a record exists regarding you in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record regarding you in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of the regulations in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is collected from a variety of sources, including parents, guardians, teachers, principals, school records, and students themselves. Records in this system may be collected through methods such as: (a) Telephonic interviews with parents or guardians of students that focus on student and family characteristics, non-school activities, satisfaction with school programs, and activities after high school; (b) telephonic interviews or written questionnaires from students about their experiences and outcomes; (c) teacher surveys about classroom practices and student performance in the classroom; (d) surveys of school programs completed by teachers knowledgeable about the overall program and student performance in a broader context (e.g., instructional settings that comprise a student’s whole experience, vocational education, transition planning experiences, and accommodations received); (e) surveys about the characteristics of the school, including aggregate measures of school performance to use as supporting data for reports; (f) student assessments, which involve a direct assessment of the student, including measures of the student’s reading and math skills, vocabulary, science and social studies content knowledge, as well as interviews with the student about self-concept and self-determination, or alternate assessments completed by a knowledgeable adult when students are unable to complete a direct assessment due to cognitive or behavioral limitations; and, (g) student transcripts, including courses taken, grades, and attendance.

None.

18-13-24 Evaluation of Teacher Residency Programs.

None.

(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.

(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540 (contractor).

(3) Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098 (subcontractor).

This system contains records on approximately 255 residents and 270 mentors from approximately 15 teacher residency programs and 800 teachers and 20,000 students from 8 districts.

The system of records will include personally identifying information about the students in the participating teacher classrooms, including demographic information such as race, ethnicity, gender, age, and educational background; information on attendance and disciplinary incidences; and scores on reading and mathematics achievement tests. The system of records will also include personally identifying information about the mentors, residents and teachers participating in the evaluation, including demographic information, such as race, ethnicity, gender, and educational background, and teaching experience. The system of records will also include employment information on the teachers participating in the evaluation.

The evaluation is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563), and section 202(h)(1) of the Higher Education Act, as amended by the Higher Education Opportunity Act of 2008 (HEA) (20 U.S.C. 1022a(h)). The grant programs that are the subject of this evaluation are authorized under Part A of Title II of the HEA (sec. 201-204) (20 U.S.C. 1022-1022c).

The information contained in the records maintained in this system is used for the following purpose:

To describe Teacher Residency Programs (TRPs) and summarize the teacher retention and student achievement outcomes of TRP participants. The study will address the following research questions:

(1) What are the characteristics of TRPs?

(2) What are the characteristics of participants in TRPs?

(3) What is the average performance of novice TRP teachers as measured by value-added estimates benchmarked against novice and all teachers in the district?

(4) What are the retention rates of novice TRP teachers and their novice colleagues who did not go through TRPs?

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. Any disclosure of individually identifying information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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 notice.

Storage:

The Department maintains records on CD-ROM, and the contractor (Mathematica Policy Research, Inc.) and sub-contractor (Decision Information Resources, Inc.) maintain data for this system on computers and in hard copy.

Records in this system are indexed and retrieved by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor and subcontractor will establish a similar set of procedures at their sites to ensure confidentiality of data. The contractor and subcontractor are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the contractor’s and subcontractor’s systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed. The contractor’s and subcontractor’s employees who "maintain" (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).

Acting Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record 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.

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, including proof of identity.

This system contains records on residents, mentors, teachers, and students participating in an evaluation of teacher residency programs. Data will be obtained through student records maintained by the school districts, assessments administered to students, and surveys of residents, mentors, and teachers.

None.

18-13-25 IES Research Training Program Surveys: Predoctoral Survey, Postdoctoral Survey, Special Education Postdoctoral Survey.

None.

National Center for Education Research, Program Officer Staff, Institute of Education Sciences (IES), U.S. Department of Education (Department), 555 New Jersey Avenue, NW., Suite 618, Washington, DC 20208-5530.

The system contains records on pre- and postdoctoral fellows who have been funded through the IES Pre- and Postdoctoral Education Research Training Grants and the IES Postdoctoral Special Education Research Training Grants.

The system contains records regarding fellows’: (1) Names; (2) e-mail addresses; (3) personal characteristics, such as gender, race/ethnicity, and citizenship status; (4) information on the training program attended including the average GRE scores of program participants and fellows per program; (5) responses to survey items regarding the quality of the training program they attended; (6) academic information including past field of study, Ph.D. completion and year of Ph.D., completion of fellowship program, research conducted during and after attending the training program including the number and type of publications and presentations made; and (7) information on positions held and type of research done after completing the training program including plans to or submission of a grant proposal.

The evaluation is authorized under sections 131 through 134 and section 189 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9531-34 and 9579).

The information contained in the records maintained in this system is used for the following purposes: (1) To assess the satisfaction of the fellows with their IES training programs in order to determine whether there are program areas that need improvement; and (2) to track the fellows’ professional accomplishments both during and following their fellowship years in order to assess how well the individual programs are fulfilling the mission of the IES training programs, which is to increase the supply of young researchers trained and ready to do rigorous research in education.

The Department may disclose information contained in a record in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES.

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:

None.

Storage:

Records are maintained in a database on the Department’s secure servers. No paper records will be kept as part of this system.

Records are retrieved by the fellows’ names.

Access to the records is limited to authorized personnel only. 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 buildings 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 an individual user’s ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department’s Information Security Privacy Policy requires the enforcement of a complex password policy. In addition, users are required to change their password at least every 60 to 90 days in accordance with the Department’s information technology standards.

The records associated with predoctoral and postdoctoral fellows’ progress will be maintained as long as they are professionally active in education research. Records will be maintained and disposed of in accordance with the Department’s Records Disposition Schedules. These records are currently unscheduled. A records retention schedule will be developed and submitted to the National Archives and Records Administration (NARA) for approval. No records will be destroyed until a NARA-approved records retention schedule is in place.

Dr. Meredith Larson is the Program Officer for the IES Research Training Program Surveys, and her address is Institute of Education Sciences, Department of Education, 555 New Jersey Avenue, NW., Suite 618, Washington, DC 20208-5530.

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 in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information maintained in this system of records is obtained from both the fellows and their training programs. Fellows provide information on their individual characteristics, e-mail addresses, views on the quality of the training program, and information on their dissertation, papers, positions, and follow-on research. The training programs provide information on the programs themselves and the fellows’ status within the programs, initial student e-mail addresses at the university (students then provide their preferred e-mail addresses), and information on student dissertations and paper.

None.

18-14-01 Educationally Disadvantaged Students Attending Private Schools Served Through Bypass Contracts.

None.

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.

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.

This system contains student documents such as test scores, report cards, individual instructional records and reports from teachers to other teachers and parents.

Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C. 6321.

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.

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.

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.

The records are indexed by student names, school attended and year of attendance at that school.

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.

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).

Director, Compensatory Education Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3W230, Washington, DC 20202.

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.

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.

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.

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 Fellowships for Indian Students--Applications and Awards.

None.

Office of Indian Education, Office of Elementary and Secondary Education, 1250 Maryland Avenue, SW., Room 4300, Portal Building, Washington, DC 20202-6335.

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.

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.

Indian Education Act of 1972, as amended, Pub. L. 92-318, Part B, section 423.

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.

Storage:

The records are maintained in hard copy, filed in locked standard file cabinets.

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.

Records on fellowship holders are maintained and disposed of in accordance with the Department of Education Records Disposition Schedules (ED/RDS).

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.

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.

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.

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.

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.

18-14-03 Native Hawaiian Education Council Membership.

None.

School Improvement Programs, Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3C126, Washington, DC 20202-6140.

Individuals who have been or are presently members of or are being considered for membership on the Native Hawaiian Education Council.

Records in this system consist 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, previous or current membership on the Native Hawaiian Education Council, source who recommended the individual for membership on the advisory council, and miscellaneous correspondence.

Section 7204 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110).

To establish a Native Hawaiian Education Council to help coordinate the educational and related services available to Native Hawaiians, including programs receiving funding under the Native Hawaiian Education Act.

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 following parties 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 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 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) 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.

(3) 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 that is compatible with the 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 that is compatible with the purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records.

(4) 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.

(5) 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.

(6) 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.

Storage:

Records are maintained in hard copy filed in file cabinets and on personal computers.

Records are retrieved by the name of the individual.

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. Furthermore, the designated individuals’ access to personal computers, the network, and the system of records will require personal identifiers and unique passwords, which will be periodically changed to prevent unauthorized access.

Records are disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS), Part 5 and the National Archives and Records Administration’s General Records Schedules (GRS) 16, item 8.

Native Hawaiian Program Manager, School Improvement Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.

If you wish to determine whether a record exists regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department’s Privacy Act regulations in 34 CFR 5b.7, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the following address: School Improvement Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.

Same as notification procedures. Requestors should also reasonably specify the record contents being sought. These access procedures are in accordance with Department regulations (34 CFR 5b.5(a)(2)).

Contact the official at the address specified under notification procedures, reasonably identify the record, and specify the information to be contested. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.

Information in this system of records will be obtained from the individuals, references, recommendations, private organizations, Members of Congress, and other government sources.

None.

18-14-04 Migrant Student Information Exchange (MSIX).

None.

(1) U.S. Department of Education, Office of Elementary and Secondary Education, Office of Migrant Education, 400 Maryland Avenue, SW., room 3E344, Washington, DC 20202-4614.

(2a) Deloitte LLC, 4301 North Fairfax Drive, Suite 210, Arlington, VA 22203-1633 (software development and programming).

(2b) Deloitte LLC, 110 West 7th Street, Suite 1100, Tulsa, OK 74119-1107 (help desk for MSIX).

(3a) EDS Data Center, 6031 South Rio Grande Avenue, Orlando, FL 32809-4613 (MSIX Production Servers).

(3b) EDS, 12000 Research Parkway, Orlando, FL 32826-2943 (back-up tapes).

(4) Navasite Data Center, 8619 Westwood Center Drive, Vienna, VA 22182-2220 (disaster recovery site).

(5) Access to MSIX is available through the Internet from other locations.

This system contains records on all children whom States have determined to be eligible to participate in the MEP, authorized in Title I, Part C of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110).

The categories of records in the system include the migrant child’s: Name, date of birth, personal identification numbers assigned by the States and the Department, parent’s or parents’ name or names, school enrollment data, school contact data, assessment data, and other educational and health data necessary for accurate and timely school enrollment, grade and course placement, and accrual of course credits. The final request for public comment on the minimum data elements (MDEs) to be included in MSIX was published, pursuant to the Paperwork Reduction Act of 1995 clearance process, in the Federal Register on August 3, 2007 (72 FR 43253-34). More information on the 66 MDEs is available in the Department’s Information Collection Notice at: http://edicsweb.ed.gov/browse/downldatt.cfm?pkg_serial_num=2841.

MSIX is authorized under section 1308(b)(2) of the ESEA, as amended by the No Child Left Behind Act of 2001 (20 U.S.C. Section 6398(b)(2)).

The purpose of MSIX is to enhance the continuity of educational and health services for migrant children by providing a mechanism for all States to exchange educational and health related information on migrant children who move from State to State due to their migratory lifestyle. It is anticipated that the existence and use of MSIX will help to improve the timeliness of school enrollments, improve the appropriateness of grade and course placements, and reduce incidences of unnecessary immunizations of migrant children. Further, MSIX will facilitate the accrual of course credits for migrant children in secondary school by providing accurate academic information on the student’s course history and academic progress.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, as amended, under a computer matching agreement.

(1) MEP Services, School Enrollment, Grade or Course Placement, Accrual of High School Credits, Student Record Match Resolution. The Department may disclose a record in this system of records to authorized representatives of State education agencies (SEAs), local education agencies (LEAs), and other MEP local operating agencies (LOAs) to facilitate one or more of the following for a student: (a) Participation in the MEP, (b) enrollment in school, (c) grade or course placement, (d) credit accrual, and (e) unique student match resolution.

(2) 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 who have received the appropriate level security clearance from the Department. Before entering into such a contract, the Department will 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.

(3) Research Disclosure. The Department may disclose records from this system 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 information 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 will be required to maintain Privacy Act safeguards with respect to the disclosed records.

(4) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to the U.S. Department of Justice (DOJ) or OMB if the Department concludes that disclosure is desirable or necessary to determine whether particular records are required to be disclosed under FOIA or the Privacy Act.

(5) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in MSIX has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of MSIX or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and, (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm.

(6) Litigation or Alternative Dispute Resolution (ADR) Disclosure.

(a) Introduction. In the event that one of the following parties 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any employee of the Department in his or her individual capacity where DOJ has agreed to or has been requested 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 DOJ. If the Department determines that disclosure of certain records to DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, 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) Adjudicative Disclosure. 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 or mediate disputes is relevant and necessary to litigation or ADR, 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) Disclosure to Parties, Counsel, Representatives, and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to litigation or ADR, and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to a party, counsel, representative, or witness.

(7) Congressional Member Disclosure. The Department may disclose information from a record of an individual to a member of Congress and his or her staff 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 to this system notice.

Storage:

The Data Center of the Department’s contractor, EDS, stores computerized student records on server hardware and MSIX backup tapes, including MSIX Help Desk tapes, in locked file cabinets.

Records in this system are indexed by a unique number, assigned to each individual, that is cross-referenced by the individual’s name.

(1) Introduction

Security personnel control and monitor all physical access to the site of the Department’s contractor and subcontractors, where this system of records is maintained. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer 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 by granting user names and passwords, and assigning user roles to individuals that restrict access based on user category (e.g., district administrator, counselor, state administrator).

The contractor has established a set of procedures to ensure confidentiality of data, and will maintain the security of the complete set of all master data files and documentation. The contractor and subcontractor employees who collect, maintain, use, or disseminate data in this system, must comply with the requirements of the Privacy Act.

(2) Physical Security of Electronic Data

Physical security of electronic data will be maintained. The MSIX infrastructure is housed in a secured data center, access to which is controlled by multiple access controls. These access controls include a combination of personal photo identification/card scans, biometric hand scanning, and personal access codes. These access controls also include man-traps and physical barricades that limit access to the data center floor and machine rooms. Further, all entrances, exits, and key points throughout the facility are monitored in real-time via closed circuit television (CCTV) 24 hours per day. All CCTV is recorded and stored on tape for audit purposes. These access control mechanisms are centrally managed by resources within the data center, which is staffed 24 hours per day.

Security personnel are required to inspect picture identification and have visitors sign in before granting access to the facility. Visitors are pre-authorized and registered in a database at least 24 hours prior to their arrival, and are required to provide picture identification that matches the name given previously to the data center. All personnel are required to display an identification badge or an authorized visitor badge at all times while on the premises; and all packages brought into the data center are subject to inspection.

Backup tapes are employed, and numerous mechanisms protect the physical security of these backup tapes. First, in the event of a disaster recovery situation, MSIX backup tapes will be transferred in locking containers. Contractor and subcontractor employees holding Department of Defense (DoD) Secret or Interim Secret clearances will ship the tapes from the EDS Data Center to the Navasite Data Center, the disaster recovery site. Thus, the MSIX system can be restored in the event of a disaster at the Navasite Data Center. Second, the backup tapes are stored in a tape library within the EDS Data Center and are only available to authorized personnel. Access to the backup tapes is limited through the use of biometric access control mechanisms. Third, the backup tapes are stored in fireproof safes.

(c) User Access to Electronic Data

MSIX incorporates a series of security controls mandated by the Federal Information Security Management Act of 2002 (FISMA) and the Department. MSIX leverages role-based accounts and security controls to limit access to the application, its servers, and its infrastructure to authorized users. All MSIX users must follow a registration process that involves identity validation and verification prior to gaining access to MSIX. Once validated and approved, MSIX User Administrators will grant access to authorized users by creating their MSIX accounts and assigning the appropriate MSIX roles. MSIX requires users to use strong passwords, comprised of alphanumeric and special characters, and uses Oracle’s Internet Directory (OID) application to manage its user accounts. OID stores the name of each MSIX user, each MSIX user’s associated roles and access privileges, and each MSIX user’s passwords using an encrypted format. The MSIX application is only available to authorized users via a Uniform Resource Locator (URL) that runs under the Hypertext Transfer Protocol over Secure Socket Layer (HTTPS). No user may alter records in this system of records except to identify and assign a student a unique student identifier through the record matching process. Further, MSIX limits data submissions from State systems to specific Internet Protocol addresses and requires the use of Secure File Transfer Protocol.

(d) Additional Security Measures

The MSIX infrastructure also leverages a series of firewalls to limit internal access to specific protocols and ports, as well as intrusion detection systems to help identify unauthorized access to MSIX. MSIX logs and tracks login attempts, data modifications, and other key application and system events. The MSIX operations and maintenance team monitors these logs on a regular basis. Further, the MSIX operations and maintenance team performs vulnerability scans on a routine basis, monitors the U.S. Computer Emergency Response Team (CERT) bulletins (see http://www.us-cert.gov/ for more details), and applies routine operating system and vendor patches as appropriate.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules as listed under ED 231--Public and Restricted Use Data Files--Studies.

Director, Office of Migrant Education, U.S. Department of Education, 400 Maryland Avenue, SW., room 3E317, Washington, DC 20202-0001.

If you wish to determine whether a record exists regarding you in the system of records, contact the system manager at the address listed under, SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record regarding you in the system of records, contact the system manager at the address listed under, SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of regulations in 34 CFR 5b.7, including proof of identity.

The system will contain records that are obtained from SEAs and LEAs.

None.

18-14-05 Indian Education--Individual Reporting on Regulatory Compliance Related to the Indian Education Professional Development program’s Service Obligation and the Government Performance and Results Act of 1993 (GPRA).

None.

Office of Indian Education, U.S. Department of Education, 400 Maryland Ave., SW., Washington, DC 20202-2600.

Records referred to the Department’s Accounts Receivable Group will also be stored in a system located in the office of the Chief Financial Officer, Financial Management Operations, Accounts Receivable Group, U.S. Department of Education, 550 12th Street, SW., Washington, DC 20202.

This system contains records on individuals who are recipients of financial assistance from grants awarded to eligible entities by the Indian Education Professional Development program (CFDA 84.299B).

This system consists of records pertaining to participants who received financial assistance under the Indian Education Professional Development program. Information in this system will include the name, social security number, date of birth, mailing address, telephone number, e-mail address, and alternate contact information for each participant in the grant, as well as the name and contact information of a person through whom the participant can be contacted, the number of semesters or months for which the participant needs to provide service in order to satisfy the service payback obligation, the total amount of financial assistance the participant received, the time period during which the participant must satisfy the service payback obligation, eligible employment to fulfill the service payback obligation, contact information for employers, and grant identification numbers. In addition, participants may request an educational deferment, which requires verification of acceptance in a university/college program, enrollment as a full time student, registration each semester, timely submission of semester transcripts and documentation of the participant as a student in good standing. Participants also provide information about specific areas of training, certifications or licensures obtained, reasons for leaving the program before completion, gender, ethnic origin, and education history. Participants are responsible for obtaining letters signed by the participant’s supervisor that verify the employment information provided by the participant. These letters must be submitted to the Department every six months until the required service payback obligation is completed.

Social security numbers are collected in order to ensure the correct identity of the participant in the event fiscal payback is required.

This system of records does not cover records maintained in the Department’s system of records entitled "Education’s Central Automated Processing System (EDCAPS)" (18-03-02) as part of the Department’s receivables management function.

This system of records is authorized under sections 7121 through 7122 of the ESEA (20 U.S.C. 7441-7442).

The information in this system is used for the following purposes: To track a participant’s enrollment, employment, fulfillment of the terms of the service obligation; to evaluate progress on the performance measures for the Indian Education Professional Development program (CFDA 84.299B); and to collect debts owed to the Government under this program.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, as amended by the Computer Matching and Privacy Protection Act of 1988, under a computer matching agreement.

(1) Program Purposes. The Department may disclose records from this system of records:

(a) To the participant’s employers to verify the eligible employment of participants who were supported with financial assistance under the Indian Education Professional Development program and who are attempting to fulfill their service payback obligation.

(b) To grantees to inform them of their participants’ employment outcomes.

(2) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records from this system of records to appropriate agencies, entities, and persons when: (a) It suspects or has confirmed that the security or confidentiality of information in this system has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

(3) 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.

(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 prosecutorial 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 statutory, regulatory, 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) Disclosure.

(a) Introduction. In the event that one of the following parties 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to parties, counsel, representatives, or witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(7) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under FOIA or the Privacy Act.

(8) Disclosure to DOJ. The Department may disclose records to DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the program covered by this system.

(9) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff when necessary to respond 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 the inquiry. Records are disclosed to congressional members and staff investigating and seeking to resolve individuals’ requests, complaints, or concerns.

(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) 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 valid, overdue claim of the Department; such information is limited to--(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(e). A consumer reporting agency to which these disclosures may be made is defined in 31 U.S.C. 3701(a)(3).

(12) Debt Servicing. The Department may disclose records to the United States Department of the Treasury for the purpose of collecting debts owed to the Government by individuals who fail to satisfy their requirements under this program.

Storage:

The Department maintains hard copy records in locked file cabinets that are located within locked offices protected by a security system.

The Department will maintain records referred to Accounts Receivable in the Education Central Automated Processing System of Records (EDCAPS).

Records in this system are indexed by a number assigned to each individual. Records are retrieved by name or grant number.

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.

In accordance with Department policy, as set forth in Administrative Communication System OM:5-101 entitled "Contractor Employee Personnel Security Screenings," all contract personnel who have facility access and system access are required to undergo a security clearance investigation. Contractors requiring access to Privacy Act data are required to hold, at a minimum, a moderate risk security clearance level.

Department personnel and Department contractors are also required to complete security awareness training on an annual basis. This training is required to ensure that contract and Department users are trained appropriately in safeguarding Privacy Act data in accordance with OMB Circular A-130, Appendix III.

The Department will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. Unless a file is needed for review or processing, all hard copy data will be kept in locked file cabinets during work and nonworking hours. When a file is needed, work will take place in a single room. The system is required to ensure that information identifying individuals is in files physically separated from other data.

These records will be maintained and disposed of in accordance with the records retention and disposition authority approved by the National Archives and Records Administration (NARA). Pending NARA approval of that authority, these records shall not be destroyed or deleted. Records will be kept until completion of service or cash payback is verified.

Assistant Secretary for Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Ave., SW., room 3W315, Washington, DC 20202-2600.

If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of 34 CFR 5b.5, including proof of identity.

If you wish to contest the content of a record regarding you in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Your request must meet the requirements of 34 CFR 5b.7, including proof of identity.

The collection of records information is obtained from the grantee, participants, and employers.

When the Department determines a participant will not fulfill a payback obligation through service and must instead repay some or all of the financial assistance the participant received, the Department will forward information to the Department’s Accounts Receivable Group in the Office of the Chief Financial Officer (OCFO).

None.

18-15-01 Bilingual Education Graduate Fellowship Program.

None.

U.S. Department of Education, Office of Bilingual Education and Minority Languages Affairs, 330 C Street, SW., Room 5618, Washington, DC 20202-6642.

This system contains records about individuals who apply for acceptance in the program, and if approved, who participate in the fellowship program.

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.

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.

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.

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).

Storage:

The records are maintained in hard copy and on an access-controlled personal computer.

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.

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.

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.

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.

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.

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.

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.

Information is obtained from fellowship recipients, institutions of higher education, and employers.

None.

18-16-01 OSEP Customer Service Tracking System.

None.

Monitoring and State Improvement Planning Division, Office of Special Education Programs (OSEP), Office of Special Education and Rehabilitative Services (OSERS), Mary E. Switzer Building, 330 C Street, SW., Room 3630, Washington, DC 20202.

This system covers parents, advocates, State personnel and other third parties who contact OSEP with inquiries or complaints related to special education. OSEP staff, especially the Customer Service Specialists (CSS), receive letters, e-mails, facsimiles and telephone calls from State personnel and parents about disability issues related to children with disabilities.

These complaints and inquiries are tracked by an electronic system that maintains customer demographic data, as well as information on the content of the complaints and inquiries. The system also allows OSEP to maintain a detailed history of the interactions between callers and/or writers and the CSS.

This system consists of records relating to inquiries or complaints made to OSEP staff, including but not limited to: The writer’s and/or caller’s name; the name, age and type of disability of the child about whom the writer/caller is inquiring about; the writer’s or caller’s address, including an e-mail address; the school district involved in the inquiry or complaint; the writer’s or caller’s phone number; the issue that the writer and/or caller is raising; a recommendation from the CSS for further action; and comments from the CSS.

This notice does not cover records, including but not limited to letters, e-mails and facsimiles, sent by individuals to the Secretary, Deputy Secretary, Senior Officers such as the Assistant Secretary of OSERS and the Director of OSEP for whom the Department controls responses to such inquiries. Further, this notice does not cover the official correspondence files of OSEP, specifically the hard copies of official documents and electronic images of certain incoming and outgoing documents. These records are considered covered by the Department’s system of records 18-01-01, Secretary’s Communication Control System.

Title I of the Individuals with Disabilities Education Act (IDEA), as amended, 20 U.S.C. 1402.

This system of records is maintained to provide its customers (parents, advocates and others) with more responsive, consistent service; to better track the large number of calls and other inquiries received; to provide trend analysis by issue; to develop a profile of the issues that arise in a certain State; to assist OSEP as a management tool in the preparation of reports, and to monitor State implementation of the IDEA.

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 Computer Matching and Privacy Protection Act of 1998, under a computer matching agreement.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to DOJ and OMB if the Department seeks advice regarding whether records maintained in the system of records must be released under the FOIA and the Privacy Act of 1974.

(2) Disclosure to the 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.

(3) 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.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her official capacity where the DOJ is requested to provide or arrange for representation of the employee;

(iv) Any Department employee in his or her individual capacity where the Department 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, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

(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) 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) 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.

Disclosures to consumer reporting agencies:

Not applicable to this system of records.

The information in the tracking system will be stored on a server maintained by the Department of Education. Records generated by the system will be maintained electronically on the server.

This system will only be accessible to Departmental contractors and employees of OSEP. Each record in this system can be retrieved by entering in any of the categories of information listed under the "Categories of Records In This System" in this notice.

The primary users of this system, Monitoring and State Improvement Planning Division (MSIP) employees in OSEP, will enter a unique user ID as well as a password to enter the system. This user ID and password will be in addition to the user ID and password that all Department employees must enter to access the Department’s computer system. Users will be required to change their passwords periodically, and they will not be allowed to repeat old passwords. 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.

The computer system employed by the U.S. Department of Education 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.

The location of the server includes safeguards and firewalls, including the physical security of the server room. In addition, the server is located in a secure room, with limited access only through a special pass. Further, all physical access to the site where the server is maintained is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge.

Records in this system will be retained in accordance with the National Archives and Records Administration (NARA) General Records Schedule 20, Item 1.c which provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes.

Deputy, MSIP Division, Office of Special Education Programs, Office of Special Education and Rehabilitative Services, U.S. Department of Education, Mary E. Switzer Building, Room 3630, 330 C Street, SW., Washington, DC 20202.

If you wish to determine whether a record exists about you in the system of records, provide the system manager with your name or your child’s name and your address. Your request for notification must also meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. You may also present your request in person or make your request in writing to the system manager at the above address.

Request to access a record must also reasonably specify the record contents sought and otherwise meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record in this system of records, you must contact the system manager at the above address and follow the steps outlined in the Notification procedure. Requests to amend a record must also reasonably identify the record, specify the information being contested, provide in writing your reasons for requesting the change, and otherwise meet the regulations at 34 CFR 5b.7.

Information in this system is obtained from parents, advocates, and other third parties that contact OSEP with concerns or complaints related to special education.

None.

18-16-02 RSA-911 Case Service Report.

None.

Office of Policy and Planning, Office of the Assistant Secretary, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 330 C Street, SW., Mary E. Switzer Building, room 3131, Washington, DC 20202-2524.

The RSA-911 Case Service Report database includes information on all persons exiting the State Vocational Rehabilitation Services program (VR program) during each fiscal year.

This system consists of records relating to individuals who have exited the VR program, including, but not limited to--the individual’s social security number, disability characteristics, services and training, health insurance, employment outcomes, and earnings.

Sections 13(b) and 101(a)(10) of the Rehabilitation Act of 1973, as amended (29 U.S.C. 712(b) and 721(a)(10)).

This system of records is maintained for program research and evaluation purposes.

The U.S. 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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer matching agreement.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and the Office of Management and Budget (OMB) if the Department seeks advice regarding whether records maintained in the system of records must be released under the FOIA and the Privacy Act of 1974, as amended (Privacy Act).

(2) Disclosure to the 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 program covered by this system.

(3) 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.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her individual capacity if the DOJ agrees or has been requested to provide or to arrange for representation of the employee;

(iv) Any Department employee in his or her individual capacity if the Department 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.

(a) Disclosure to the DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR 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.

(b) Adjudicative 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 or mediate disputes is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(c) Parties, Counsels, Representatives, and Witnesses.

If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(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) 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.

(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, regulations, 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, regulations, or order issued pursuant thereto.

(8) Disclosure for Use By Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, tribal, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity’s jurisdiction.

(9) Disclosure to Other Federal Agencies, Including the Social Security Administration and the Department of Veterans Affairs. The Department may disclose records to other Federal agencies, including the Social Security Administration and the Department of Veterans Affairs, for program research and evaluation purposes.

(10) Disclosure to the Veterans’ Disability Benefits Commission. The Department may disclose records to the Veterans’ Disability Benefits Commission if requested to do so by this commission in order to carry out the provisions of Title XV of Pub. L. 108-136, the National Defense Authorization Act for Fiscal Year 2004.

Disclosures to consumer reporting agencies:

Not applicable to this system of records.

Storage:

The Office of Special Education and Rehabilitative Services (OSERS) maintains all data on a computer mainframe and CD-ROMs. Printed reports containing sensitive data produced from this system are maintained within the locked filing cabinets within the access-restricted Basic State Grants Branch within OSERS Headquarters.

This system will be accessible only to employees of OSERS. Each record in this system can be retrieved by any of the categories of information listed under the CATEGORIES OF RECORDS IN THE SYSTEM section in this notice.

Access to this system will require a unique user identification as well as a password to enter the system. Users will be required to change their passwords periodically, and they will not be allowed to repeat old passwords. 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.

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.

The location of the server includes safeguards and firewalls, including the physical security of the server room. In addition, the server is located in a secure room, with limited access only through a special pass. Further, all physical access to the site where the server is maintained is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge.

All printed reports containing sensitive data produced from this system are immediately used for data clearing procedures and then shredded or placed into a confidential security file. The files are maintained within the locked filing cabinets within the access-restricted Basic State Grants Branch within OSERS Headquarters. In addition to these controls, computers are not left on and unattended when users access the database, and sensitive information is placed out of sight if visitors are present.

Shared output does not contain sensitive information. Aggregated data cannot be used to identify individuals. For individual-level data that are shared with researchers, all identifying information is removed from the file before the data are shared.

In addition, the following guidelines and procedures have been implemented for protecting sensitive data and resources in this system:

• Backup CDs are properly labeled "For Official Use Only--Property of the OSERS Basic State Grants Branch."

• Electronic data (e.g., copies of the database on CDs with identifying information and edit reports with identifying information) are stored in the locked file cabinets in the OSERS Basic State Grants Branch. Management, operational, and technical controls for ensuring the safety of confidential information are detailed within the Case Services System Security Plan.

Records in this system will be retained in accordance with the National Archives and Records Administration (NARA) General Records Schedule 20, Item 1.c, which provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes.

RSA-911 Case Service Report System Manager, Rehabilitation Services Administration, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland Avenue, SW., room 3226, Mary E. Switzer Building, Washington, DC 20202-2524.

If you wish to determine whether a record exists about you in the system of records, provide the system manager with your name, address, and social security number. Your request for notification must also meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. You may also present your request in person or make your request in writing to the system manager at the above address.

Request to access a record must also reasonably specify the record contents sought and otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to change the content of a record in this system of records, you must contact the system manager at the above address and follow the steps outlined in the NOTIFICATION PROCEDURE section of this notice. Requests to amend a record must also reasonably identify the record, specify the information being contested, provide in writing your reasons for requesting the change, and otherwise meet the regulations in 34 CFR 5b.7.

Records in this system are obtained from State vocational rehabilitation agencies pursuant to Federal reporting requirements. These agencies collect data from individuals with disabilities who exit their programs.

None.

18-16-03 Study of Former Vocational Rehabilitation Consumers’ Post-Program Experiences (Post-Vocational Rehabilitation Experiences Study).

None.

(1) Rehabilitation Services Administration, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC, 20202-2800.

(2) Westat, 1650 Research Boulevard, Rockville, MD, 20850-3195.

(3) InfoUse, 2560 Ninth Street, Suite 320, Berkeley, CA, 94710-2566.

This system contains records on former vocational rehabilitation (VR) consumers whose VR service cases were closed in fiscal year (FY) 2006 (as determined from the RSA-911 Case Service Report). The sample of former VR consumers includes those who achieved an employment outcome as well as those who did not at the time of case closure. Four subgroups of interest considered in the sample selection include transitioning youth and young adults under 22 years of age, consumers with mental retardation, consumers with psychiatric disabilities, and Supplemental Security Income and Social Security Disability Insurance beneficiaries.

The system contains information on a sample of former VR consumers whose cases were closed in FY 2006. The system includes records from the RSA-911 Case Service Report containing employment data about the consumers, Social Security Administration data on receipt and amount of social security benefits, Unemployment Insurance wage records data, and information from baseline and follow-up surveys about post-VR experiences, particularly related to employment outcomes and post-closure services.

Section 14(a) of the Rehabilitation Act of 1973, as amended (29 U.S.C. 711(a)).

This system of records is maintained for program research and evaluation purposes. The Rehabilitation Services Administration commissioned this evaluation, which is also called the Post-Vocational Rehabilitation Experiences Study. The Department’s contractor, Westat, is conducting the evaluation in collaboration with Westat’s subcontractor, InfoUse.

The goal of this study is to examine the post-VR experiences of former VR consumers, considering their labor market progression, receipt of other services and resources from the community, non-economic outcomes, and receipt of Social Security Administration and other benefits. The study will further consider changes over time, the relationship between individual characteristics and outcomes, and how outcomes vary by specific subgroups of former consumers.

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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer matching agreement.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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.

(2) 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 of 1974, as amended (Privacy Act) safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(3) 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.

(4) Disclosure to Other Federal Agencies, Including the Social Security Administration and the Department of Veterans Affairs. The Department may disclose records to other Federal agencies, including the Social Security Administration and the Department of Veterans Affairs, for program research and evaluation purposes.

Disclosure to consumer reporting agencies:

Not applicable to this system notice.

Storage:

The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy.

Records in this system are indexed by a number assigned to each individual that is cross-referenced by the individual’s name on a separate list.

All physical access to the Department’s site and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. 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. The contractor, Westat, and its subcontractor, InfoUse, have established similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure that information identifying individuals is in files physically separated from other research data. They will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site, all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the Westat or InfoUse system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators establish for projects as needed.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules, Part 3, Items 2b, 4a, and 5a.

Joe Pepin, Unit Leader, Data Collection and Analysis Unit, Rehabilitation Services Administration, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland Avenue, SW., room 5057, Potomac Center Plaza, Washington, DC 20202-2800.

If you wish to determine whether a record exists regarding you in the system of records, contact the system manager. Your request for information must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

This system consists of information about former VR consumers and includes information taken directly from former consumers. It also includes data taken from the RSA-911 Case Service Report of former consumers, Social Security Administration records, Unemployment Insurance wage records data, and baseline and follow-up surveys about post-VR experiences, particularly related to employment outcomes and post-closure services.

None.

18-16-04 Special Education--Individual Reporting on Regulatory Compliance Related to the Personnel Development Program’s Service Obligation and the Government Performance and Results Act of 1993 (GPRA).

None.

(1) Research to Practice Division, Office of Special Education Programs, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 550 12th Street, SW., Washington, DC 20202-2600. (With regard to scholars who have received scholarships from grants awarded prior to FY 2005, if a grantee determines that a scholar will not fulfill the scholar’s service obligation through service and will instead have to repay some or all of the scholarship the scholar received, the grantee must refer the scholar to the Department for repayment. This location keeps records on these scholars.)

(2) Optimal Solutions Group, LLC (Optimal), 8100 Professional Place, Suite 312, Hyattsville, MD 20785-2229. (This is the location of the Department’s contractor where records are maintained on scholars who have received funds from grants awarded after FY 2004. The contractor maintains periodic back-ups of a Web-based data server that collects data on scholars from grantees, scholars and their employers.)

(3) The Planet, 1333 North Stemmons Freeway, Suite 100, Dallas, TX 75207-3723. (This is the location of the Department’s subcontractor, where records are also maintained on scholars who have received funds from grants awarded after FY 2004. The subcontractor maintains a Web-based data server and backs it up on a secondary hard drive.)

This system contains records on individuals who are recipients of scholarships (scholars) from grants awarded to institutions of higher education (IHEs) and other eligible entities by the Office of Special Education Programs’ (OSEP) Personnel Development Program to Improve Services and Results for Children with Disabilities Program (Personnel Development Program).

This system consists of records about scholars who receive scholarships under the Personnel Development Program. Information in this system will include contact information for the grantee; the grant identification number; each scholar’s name, social security number, address, telephone number, e-mail address, and alternate contact information; name and contact information of a person through whom the scholar can be contacted; the number of years the scholar needs to work to satisfy the service obligation; the total amount of scholarship assistance received; the time period during which the scholar must satisfy the service obligation; eligible employment to fulfill the service obligation; contact information for employers; and, as applicable, all other obligations of the scholar under the regulations. Employers will be asked to verify the employment information provided by the scholar. In addition, scholars will be asked questions about topics related to the Personnel Development Program performance measures, e.g., specific areas of training, highly qualified teacher status, reasons for leaving the program before completion, gender, ethnic origin, and education history.

This system of records does not cover records maintained in the Department’s system of records notice entitled "Education’s Central Automated Processing System (EDCAPS)" (18-03-02) as part of the Department’s receivables management function.

This system of records is authorized by the Individuals with Disabilities Education Act (IDEA), 20 U.S.C. 1400 et seq., and specifically--

a. For scholarships made from grants made after FY 2005, 34 CFR 304.23 through 304.30, which implement section 662(h) of IDEA for those fiscal years;

b. For scholarships made from FY 2005 grants, the notice published in the Federal Register on March 25, 2005 (70 FR 15306), which implements section 662(h) of IDEA for that fiscal year; and

c. For scholarships made from grants made prior to FY 2005, 34 CFR 304.23 through 304.30 as those regulations existed at that time, which implement section 673(h) of the version of IDEA that was in effect prior to December 3, 2004.

This system of records is also authorized by section 4 of the Government Performance and Results Act of 1993 (GPRA), Pub. L. 103-62.

The information in this system is used for the following purposes: to track scholars’ enrollment, employment, and fulfillment of the terms of the service obligation and to evaluate progress on the performance measures for the Personnel Development Program.

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. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement.

(1) Program Purposes. The Department may disclose records from this system of records:

(a) To the scholars’ employers to verify the eligible employment of scholars who were supported by a scholarship under the Personnel Development Program and who are fulfilling their service obligations.

(b) To the Personnel Development Program grantees to inform them of their scholars’ employment outcomes.

(2) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

(3) Contract Disclosure. The Department may disclose records to employees of an entity with whom the Department contracts when disclosure is necessary for an employee of the entity to perform a function pursuant to the Department’s contract with the entity. 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.

(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 prosecutorial 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) 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 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 of its components.

(ii) Any Department employee in his or her official capacity.

(iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee.

(iv) Any Department employee in his or her individual capacity where the 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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to DOJ.

(c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Disclosure to Parties, Counsel, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(7) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act.

(8) Disclosure to DOJ. The Department may disclose records to DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the program covered by this system.

(9) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff when necessary to respond to an inquiry from the member or the member’s staff 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 the inquiry.

(10) Research Disclosure. The Department may disclose records under routine use 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:

The Department may disclose to a consumer reporting agency information regarding a claim by the Department that the head of the Department has determined to be valid and overdue. Such information is limited to--(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 in 31 U.S.C. 3701(a)(3).

Storage:

The Department maintains hard copy records of information about scholars who received funds from grants awarded before FY 2005 in locked file cabinets that are located within locked offices protected by a security system. The Department maintains electronic records with information about scholars who received funds from grants awarded before FY 2005 on its secure server.

Optimal, the Department’s contractor, maintains any hard copy records of information about scholars who received funds from grants awarded in FY 2005 and thereafter in locked file cabinets that are located within locked offices protected by a security system. Optimal also maintains electronic records of information about scholars who received funds from grants awarded in FY 2005 and thereafter, because the subcontractor’s server is periodically backed up on Optimal’s secure hard drive.

The Department’s subcontractor, The Planet, maintains data about scholars who received funds from grants awarded in FY 2005 and thereafter for this system on its secure server with an automated backup hard drive that will support the system in the event of a crash.

Records in this system are indexed by a unique number assigned by the Department to each individual.

Access to the records is limited to authorized personnel only. All physical access to the Department’s site, and to the sites of the Department’s contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel.

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.

The contractor and subcontractor will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to individually identifying data will be strictly controlled. At each site all hard copy data will be kept in locked file cabinets during nonworking hours, and work on hard copy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect electronic project data include: Password-protected accounts that authorize users to use the contractor’s and subcontractor’s systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and additional security features that the network administrators will establish for projects as needed.

These records will be maintained and disposed of in accordance with the records retention and disposition authority approved by the National Archives and Records Administration (NARA). Until NARA approves a retention and disposition schedule for these records, the Department will not destroy or delete any records.

Associate Division Director, Elementary/Middle School Team, Research to Practice Division, Office of Special Education Programs, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 550 12th Street, SW., Room 4154, Washington, DC 20202-2600.

If you wish to determine whether a record regarding you exists in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

If you wish to gain access to your record in the system of records, contact the system manager at the address listed under SYSTEM MANAGER AND ADDRESS. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

For grants awarded prior to FY 2005, collection of information from IHEs and other eligible entities is limited to identifying information about scholars, their service obligation, and the amount of their scholarship. When IHEs and other eligible entities have determined that scholars will not fulfill their obligation through service and must instead repay some or all of the scholarship they received, the IHEs and other eligible entities are required to forward this information to OSEP, and OSEP forwards it to the Department’s Accounts Receivable Group in the Office of the Chief Financial Officer (OCFO).

The information for grants awarded after FY 2004 will be collected from grantees, scholars, and scholars’ employers primarily through a Web-based data collection system implemented by Optimal, a contractor of the Department, and The Planet, a subcontractor of the Department. Through this system, information related to tracking scholars’ enrollment, employment, and fulfillment of the terms of the service obligation and to evaluating progress on the performance measures for the Personnel Development Program will be collected from grantees, scholars, and the scholars’ employers. When the Department determines scholars will not fulfill their service obligation and must instead repay some or all of the scholarship they received, the Department will forward applicable information to the Department’s Accounts Receivable Group in OCFO.

None.

18-17-01 The Graduate Fellowship Programs Participants Study.

None.

Program and Analytic Studies Division, Policy and Program Studies Service, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC 20202.

This system contains records on graduate students who received financial support through one or more of the following programs sponsored by OPE: FLAS, DDRA, Javits, and GAANN during the years 1997-1999.

This system consists of the name, address, and social security number of the study participants as well as demographic information such as race/ethnicity, age, educational background, degree and enrollment information; fellowship funding and financial support; employment; and responses to survey questions.

20 U.S.C. 6381h and 6381j.

The information in this system is used for the following purposes: (1) to identify the educational outcomes of study participants; and (2) to provide information to the Department on the extent to which study participants obtain employment in areas that correspond to their fields of study.

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) Freedom of Information Act (FOIA) and the Privacy Act of 1974 Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and the Office of Management and Budget if the Department seeks advice regarding whether records maintained in the system of records are required to be released under the FOIA and the Privacy Act of 1974.

(2) 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.

(3) 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 this system.

(4) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the following parties 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 of its components; or

(ii) Any Department employee in his or her official capacity; or

(iii) Any Department employee in his or her official capacity if the Department of Justice (DOJ) is asked to provide or arrange for representation of the employee;

(iv) Any Department employee in his or her individual capacity if the Department 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 (DOJ). If the Department determines that disclosure of certain records to the DOJ, or attorneys employed by the DOJ, is relevant and necessary to litigation or ADR, 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.

(c) Adjudicative 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 litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.

(d) Parties, counsels, representatives, and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness.

(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) 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 for use by law enforcement agencies. The Department may disclose information to any Federal, State, local, or other agency responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the agency’s jurisdiction.

(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) 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 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 agency’s decision on the matter.

(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) Labor organization disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation. The disclosures will be made only as authorized by law.

Disclosure to consumer reporting agencies:

Not applicable to this system of records.

Storage:

Records are on a computer database as well as in hard copy.

The records in this system are indexed by the name of the individual and/or a number assigned to each individual.

All physical access to the Department’s site, and the sites of Department contractors where this system of records is maintained, controlled and monitored by security personnel. 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. The contractor, InfoUse, has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. InfoUse will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the InfoUse system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services and additional security features that the network administrator establishes for projects as needed.

Records are maintained and disposed of in accordance with the Department’s Records Disposition Schedules (ED/RDS).

Director, Program and Analytic Studies Division, Policy and Program Studies Service, U.S. Department of Education, 400 Maryland Avenue, SW., room 6W231, Washington, DC 20202.

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 in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information in this system is obtained from surveys with graduate students who received financial support through one or more of the following programs sponsored by OPE: FLAS, DDRA, Javits, and GAANN during the years 1997-1999. Surveys are being conducted as a source of providing information.

None.

18-17-02 Follow Up Evaluation of the Gear Up Program.

None.

Program and Analytic Studies Division, Policy and Program Studies Service, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC 20202.

This system contains records on middle school students who participated in the GEAR UP program in 2000-01 and a comparison group of non-participants from schools matched on socio-demographic characteristics.

This system consists of the name, address, and social security number of the study participants as well as demographic information such as race/ethnicity and age; educational background, transcript information, service participation information, high school graduation, and preliminary postsecondary enrollment information; and financial aid application and award.

20 U.S.C. 1070a-27.

The information in this system is used for the following purposes: (1) to contribute to the legislatively mandated GEAR UP program evaluation; and (2) generally to identify the educational outcomes of study participants and the extent to which GEAR UP participation is associated with positive outcomes in comparison to the control group.

(1) Freedom Of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. Department of Justice and the Office of Management and Budget (OMB) if the Department concludes that disclosure is desirable or necessary in determining whether the Freedom of Information Act (FOIA) requires particular records to be disclosed.

Under the FOIA, the public has a general right of access to Federal agency records, except to the extent that such records (or portions of them) are protected from disclosure by an exemption or an exclusion that is contained in the FOIA. This routine use is compatible with the purposes of this system in that the Department can disclose records to the agencies responsible for the litigation relating to and the interpretation of the FOIA. These agencies can assist the Department in determining whether the FOIA requires the disclosure of the records or whether the records are exempt from disclosure under the FOIA.

(2) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department must require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

In the course of administering its programs, the Department may enter into contracts with entities that will perform functions for these programs. This routine use is compatible with the purposes of the system to which it applies in that it permits entities with which the Department contracts to receive the information needed to ensure that the program is administered efficiently.

(3) 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 a system of records to which this routine use applies. 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 the system of records. The researcher must maintain Privacy Act safeguards with respect to the disclosed records. This routine use is compatible with the purpose of this system of records because it permits the Department to disclose records to researchers so that the Department can improve the management of the system and contribute to advancing knowledge regarding the purposes and objective of the program served by the system.

Storage:

Records are on a computer database as well as in hard copy.

The records in this system are indexed by the name of the individual and/or a number assigned to each individual.

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. 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. The contractor, Westat, has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. Westat will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the Westat system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed.

Records are maintained and disposed of in accordance with the Department’s ED/RDS Part 3, Items 1, 2 or 3. Design, implementation, and final reports of the study are permanent records. They are maintained by the Department for 10 years, and then transferred to the National Archives and Records Administration. Administrative records of the study are destroyed 2 years after completion of the project.

Director, Program and Analytic Studies Division, Policy and Program Studies Service, U.S. Department of Education, 400 Maryland Avenue, SW., room 6W231, Washington, DC 20202.

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 in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.5, including proof of identity.

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 in 34 CFR 5b.7, including proof of identity.

Information in this system is obtained from surveys with students who were in middle school in 2000-01 and who participated in the GEAR UP program and from a comparison group of students. Students are to be surveyed in spring 2006 when normal progression would make them seniors in high school. Surveys are being conducted as a source of providing information.

None.

Systems of Records Published Between January 4, 2010 and December 30, 2011 Public Welfare 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 to Part 5b--Employee Standards of Conduct

Appendix B to Part 5b--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.

§ 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]

§ 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 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.

§ 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.

§ 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.

§ 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 § 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 § 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.

§ 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 § 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.

§ 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.

§ 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 § 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 individual.

(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 § 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.

§ 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 § 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.

§ 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 (18-10-01) and the Hotline Complaint Files of the Inspector General ED/OIG (18-10-04) 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 § 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 §§ 5b.7(c) and 5b.8(b) 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 §§ 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. 552a(e)(1) and § 5b.4(a)(1) of this part, regarding maintaining only relevant and necessary information.

(5) 5 U.S.C. 552a(e)(2) and § 5b.4(a)(2) of this part, regarding collection of information from the subject individual.

(6) 5 U.S.C. 552a(e)(3) and § 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 (18-10-01), the Hotline Complaint Files of the Inspector General ED/OIG (18-10-04), and the Office of Inspector General Data Analytics System (ODAS) (18-10-02) from the following provisions of 5 U.S.C. 552a and this part to the extent that these systems of records consist 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 § 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 §§ 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 § 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 Rights (18-08-01) from the following provisions of 5 U.S.C. 552a and this part:

(i) 5 U.S.C. 552a(c)(3) and § 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 §§ 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). The Department exempts the Investigatory Material Compiled for Personnel Security and Suitability Purposes (18-05-17) system of records from the following provisions of 5 U.S.C. 552a and this part:

(1) 5 U.S.C. 552a(c)(3) and § 5b.9(c)(3) of this part, regarding access to an accounting of disclosures of records.

(2) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 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.

(3) 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, Office of the Chief Information Officer, Regulatory Information Management Group, Washington, DC 20202-4651.

(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 nonetheless 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 § 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, and, prior to September 27, 1975, an implied 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 subsections (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 grant notification of or access to any other record in a system of records that is exempt under this section.

[58 FR 44424, Aug. 20, 1993, as amended at 64 FR 31066, June 9, 1999; 69 FR 12246, Mar. 15, 2004; 73 FR 61354, October 16, 2008]

§ 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 § 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.

§ 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 to Part 5b--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 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 §§ 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 § 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 to 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.

[45 FR 30808, May 9, 1980; 45 FR 37426, June 3, 1980]

 Federal Acquisition Regulations System Department of Education xx

Sec.

3424.103 Procedures.

Authority: 5 U.S.C. 301; 40 U.S.C. 486(c).

Subpart 3424.1--Protection of Individual Privacy

3424.103 Procedures.

(a) If the Privacy Act of 1974 applies to a contract, the contracting officer shall specify in the contract the disposition to be made of the system or systems of records upon completion of performance of the contract. For example, the contract may require the contractor to completely destroy the records, to remove personal identifiers, to turn the records over to ED, or to keep the records but take certain measures to keep the records confidential and protect the individuals’ privacy.

(b) If a notice of the system of records has not been published in the Federal Register, the contracting officer may proceed with the acquisition but shall not award the contract until the notice is published, unless the contracting officer determines, in writing, that portions of the contract may proceed without maintaining information subject to the Privacy Act. In this case, the contracting officer may--

(1) Award the contract, authorizing performance only of those portions not subject to the Privacy Act; and

(2) After the notice is published and effective, authorize performance of the remainder of the contract.

[53 FR 19123, May 26, 1988]