Privacy Act of 1974; System of Records

DEPARTMENT OF EDUCATION

Privacy Act of 1974; System of Records

AGENCY: Office of Inspector General, Department of Education.

ACTION: Notice of an altered system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended (Act),

the Department of Education (Department) publishes this notice of

proposed alterations to its system of records for the Investigatory

Material Compiled for Personnel Security and Suitability Purposes for

the Office of Inspector General (OIG)--18-10-0002. These alterations

serve to update the system of records to reflect current administrative

and related procedures, implementation of computer database technology,

organizational restructuring, clarification and expanded language to

provide greater detail and description applicable to the system of

records, and proposed new and revised routine uses of the information

contained in this system of records. Because the routine uses have been

revised or expanded, the Department requests comment regarding the

proposed routine uses contained in this notice.

DATES: Comments on the proposed routine uses of this system of records

must be received by the Department on or before February 27, 1998. The

Department filed a report on the altered system of records with the

Chair of the Committee on Governmental Affairs of the Senate, the Chair

of the Committee on Government Reform and Oversight of the House, and

the Administrator of the Office of Information and Regulatory Affairs,

Office of Management and Budget (OMB) on January 23, 1998. This altered

system of records will become effective after the 30-day period for

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OMB review of the system expires on February 22, 1998, unless OMB gives

specific notice within the 30 days that the system is not approved for

implementation or requests an additional 10 days for its review. The

new and revised routine uses become effective 30 days after publication

unless they need to be changed as a result of public comment. The

Department will publish any changes to the routine uses that are

required as a result of the comments.

ADDRESSES: All comments on the proposed routine uses should be

addressed to the Deputy Inspector General, U.S. Department of

Education, 600 Independence Avenue, SW., 4022 MES, Washington, DC

20202-1510. Comments may also be sent through the Internet to:

C[email protected]

You must include the term ``Security Notice'' in the subject line

of the electronic comment.

All comments submitted in response to this notice will be available

for public inspection, during and after the comment period, in Room

4022 Switzer Building, 330 C Street, SW., Washington, DC, between the

hours of 8:00 a.m. and 4:30 p.m., Eastern time, Monday through Friday

of each week except Federal holidays.

On request the Department supplies an appropriate aid, such as a

reader or print magnifier, to an individual with a disability who needs

assistance to review the comments or other documents in the public

rulemaking docket for this notice. An individual with a disability who

wants to schedule an appointment for this type of aid may call (202)

205-8113 or (202) 260-9895. An individual who uses a TDD may call the

Federal Information Relay Service at 1-800-877-8339 between 8 a.m. and

8 p.m., Eastern time, Monday through Friday.

FOR FURTHER INFORMATION CONTACT: Sandra H. Warren, Security Officer,

Office of Inspector General, U.S. Department of Education, 600

Independence Avenue, SW., 4022 MES, Washington, DC 20202-1510.

Telephone: (202) 205-5400. Individuals who use a telecommunications

device for the deaf (TDD) may call the Federal Information Relay

Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern

time, Monday through Friday.

Individuals with disabilities may obtain this document in an

alternate format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the contact person listed in the preceding

paragraph.

SUPPLEMENTARY INFORMATION:

Electronic Access to This Document

Anyone may view this document, as well as all other Department of

Education documents published in the Federal Register, in text or

portable document format (pdf) on the World Wide Web at either of the

following sites:

http://ocfo.ed.gov/fedreg.htm

http://www.ed.gov/news.html

To use the pdf you must have the Adobe Acrobat Reader Program with

Search, which is available free at either of the previous sites. If you

have questions about using the pdf, call the U.S. Government Printing

Office toll free at 1-888-293-6498.

Anyone may also view these documents in text copy only on an

electronic bulletin board of the Department. Telephone: (202) 219-1511

or, toll free, 1-800-222-4922. The documents are located under Option

G--Files/Announcements, Bulletins and Press Releases.

Note: The official version of this document is the document

published in the Federal Register.

General

The Act (5 U.S.C. 552a)(e)(4) requires the Department to publish in

the Federal Register this notice of an altered system of records. The

Department's regulations implementing the Act are contained in the Code

of Federal Regulations (CFR) in 34 CFR part 5b. A system of records is

considered altered whenever an agency changes the way it retrieves

records, expands the types or categories of information, or revises its

routine uses for information contained in the system. This system

notice has not been updated since its publication in the Federal

Register on April 20, 1982. As a result, revisions are needed to

accurately describe the current system of records that maintains

investigatory material on current and former Department employees,

individuals who have applied for employment with the Department, and

other individuals doing business with the Department.

The records in this system are maintained to provide the Inspector

General and other responsible Department of Education (Department)

officials with information to assist them in making individual

personnel determinations concerning suitability for Federal employment,

security clearances, access to classified information or restricted

areas, and evaluations as to suitability for performance under Federal

contracts or other agreements with the Federal Government. For those

investigations conducted by the Office of Inspector General, these

records may also be disclosed to other Federal and non-Federal

investigatory agencies to protect the public or Federal interest, or

both.

The revisions in this system notice change the name of the system

manager and add additional system locations; update the authority for

the maintenance of the system; provide a detailed description of the

nature of the security investigation case files; revise and clarify the

purpose of the system; expand the categories of individuals covered by

the system to include people seeking association with the Department

under Federal contracts or other agreements as well as individuals

seeking employment or retention with the Department; revise and expand

the routine use disclosures to provide for the disclosure of

information to contractors, grantees, experts, consultants, or

volunteers performing or working on a contract, grant, or service for

the Department and with respect to litigation-related disclosures and

for purposes relating to the Freedom of Information Act; and

disclosures to specified intelligence agencies of the Federal

Government for use in intelligence or investigation activities. This

notice also revises the manner in which the records are stored,

retrieved, and safeguarded with regard to the use of computer database

technology; clarifies the retention and disposal period for records

maintained in the system; and expands the notification procedures to

assist the system manager in the identification of requested

information contained in the system of records.

Direct access is restricted to authorized agency staff in the

performance of their official duties. Due to the extensive revisions in

this notice, it is being published in its entirety.

Dated: January 23, 1998.

Thomas R. Bloom,

Inspector General.

The Office of Inspector General of the U.S. Department of Education

publishes notice of an altered system of records as follows:

18-10-0002

SYSTEM NAME:

Investigatory Material Compiled for Personnel Security and

Suitability Purposes--ED/OIG.

SECURITY CLASSIFICATION:

None.

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SYSTEM LOCATIONS:

Security Program Staff, Office of Inspector General, U.S.

Department of Education, 600 Independence Avenue, SW., Washington, DC

20202-1510.

U.S. Office of Personnel Management, Investigations Group, P.O. Box

886, Washington, DC 20044-0886.

Washington National Records Center, Suitland, MD 20746-2042.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Applicants seeking employment with the Department of Education

(Department), former and current employees of, and other persons and

entities doing business with, the Department.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain investigative information pertaining to

current and former Department employees, current and former contractor

personnel, and current employees of entities making offers to the

Department for purposes of doing business. This information regards

individuals' character, conduct, and loyalty to the United States as

relevant to their association with the Department. These records may,

as appropriate to the individual being investigated, include the

following types of information: (1) Documentation as to his or her

arrests and convictions for violations of the law. (2) Reporting as to

interviews held with the individual, his or her present and former

supervisors, co-workers, associates, neighbors, educators, etc. (3)

Correspondence relating to adjudication matters involving the

individual. (4) Reports of inquiries made of law enforcement agencies

for information about the individual contained in the agencies'

records. (5) Information provided by organizations having association

with the individual, such as employers, educational institutions

attended, professional or fraternal or social organizations to which

the individual is or was a member, etc. (6) Reports of action following

an Office of Personnel Management (OPM) investigation or a Federal

Bureau of Investigation Section 8(d) full field investigation. (7)

Other information developed from the previous sources.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Orders 10450, 10577, and 12968; as amended.

PURPOSE(s):

Records in this system are maintained to provide the Inspector

General and other responsible Department officials with information to

assist them in making individual personnel determinations concerning

suitability for Federal employment, security clearances, access to

classified information or restricted areas, and evaluations as to

suitability for performance under Federal contracts or other agreements

with the Federal Government. Incidental to this purpose, for those

investigations conducted by the OIG, these records may also be

disclosed to other Federal and non-Federal investigatory agencies to

protect the public or Federal interest, or both.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Information contained in this system of records may be disclosed as

a routine use in the following instances:

1. To public or private sources to the extent necessary to obtain

information to be included in this system of records.

2. To officials and employees of a Federal, State, or local

governmental entity in response to its request in connection with the

issuance of security clearances or the conduct of security or

suitability investigations of individuals seeking employment,

licensure, other benefits, or to perform contractual services, or to

otherwise associate with the governmental entity.

3. To a Federal, State, local, or foreign entity or other public

authority responsible for the investigation, prosecution, enforcement,

or implementation of a statute, rule, regulation, or order, when a

record on its face or in combination with any other information

indicates a violation or potential violation of law (whether civil,

criminal, or regulatory in nature) if that information is relevant to

any enforcement, regulatory, investigative, or prosecutive

responsibility of the receiving entity. It is OIG policy not to

disclose records under this routine use that pertain to those questions

for which the OIG has promised confidentiality under Standard Form 85P,

``Questionnaire for Public Trust Positions.''

4. To contractors, grantees, experts, consultants, or volunteers

performing or working on a contract, grant, service, or job for the

Department or under a Department program.

5. To parties pertaining to litigation disclosure as follows:

a. In the event that one of the following parties is involved in

litigation, or has an interest in litigation, the Department may

disclose certain records to the parties described in the following

paragraphs b, c, and d of this routine use under the conditions

specified in those paragraphs:

(i) The Department or any of its components.

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

(iii) Any employee of the Department in his or her official

capacity where the Department of Justice (Justice) has agreed to

provide or arrange for representation of the employee.

(iv) Any employee of the Department in his or her individual

capacity where the Department has agreed to represent the employee.

(v) The United States where the Department determines that the

litigation is likely to affect the Department or any of its components.

b. If the Department determines that disclosure of certain records

to the Department of Justice (DOJ) or attorneys engaged by DOJ is

relevant and necessary to litigation and is compatible with the purpose

for which the records were collected, the Department may disclose those

records as a routine use to DOJ.

c. If the Department determines that disclosure of certain records

to an adjudicative body before which the Department is authorized to

appear, individual, or entity designated by the Department or otherwise

empowered to resolve disputes is relevant and necessary to the

administrative litigation and is compatible with the purpose for which

the records were collected, the Department may disclose those records

as a routine use to the adjudicative body, individual, or entity.

d. If the Department determines that disclosure of certain records

to an opposing counsel, representative, or witness in an administrative

proceeding is relevant and necessary to the litigation and is

compatible with the purpose for which the records were collected, the

Department may disclose those records as a routine use to the counsel,

representative, or witness.

6. To the Department of Justice for the purpose of obtaining advice

regarding the releasability of records maintained in this system of

records under the Freedom of Information Act and the Privacy Act of

1974.

7. To a Member of Congress in response to an inquiry from that

member made at the written request of the individual about whom the

information pertains; however, the congressional member's right to the

information is no greater than the right of the individual who

requested it.

8. To the intelligence agencies of the Department of Defense, the

National Security Agency, the Central Intelligence Agency, and the

Federal Bureau of Investigation for use in intelligence or

investigation activities.

[[Page 4234]]

POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are maintained in folders secured in fire resistant safes

with manipulation proof combination locks, or in metal lock-bar file

cabinets with three position combination locks, and in a computer

database.

RETRIEVABILITY:

Records are alphabetically indexed by name of the individual

subject of the file. Retrieval is made by the name, date of birth, and

social security number of the individual on whom they are maintained.

SAFEGUARDS:

Folders are maintained and secured in fire resistant safes with

manipulation proof combination locks, or in metal file cabinets secured

by three position combination locks. All records, including those

records that are maintained on the computer database, are in limited

access rooms with keyless cipher locks. All employees are required to

have an appropriate security clearance before they are allowed access,

on a need-to-know basis, to the records. Computer databases are kept on

a local area network that is not connected to any outside network

including the Internet. Database accessibility is restricted to hard

wire network connection from within the office or via modem. Authorized

log-on codes and passwords prevent unauthorized users from gaining

access to data and system resources. All users have unique log-on codes

and passwords. The password scheme requires that users must change

passwords every 90 days and may not repeat the old password. Any

individual attempting to log on who fails is locked out of the system

after three attempts. Access after that time requires intervention by

the system manager.

RETENTION AND DISPOSAL:

Most background investigative records are maintained for five years

after the individual separates from his or her departmental association

if subject to Executive Orders 12968 and 10450, as amended. Reports of

background investigations conducted by the Office of Inspector General

are retained for 15 years, plus the current year of the most recent

investigative activity, in accordance with OPM guidance. The records

are disposed of by electronic erasure, shredding, or burning.

SYSTEM MANAGER(s) AND ADDRESS:

Security Officer, Office of Inspector General, U.S. Department of

Education, 600 Independence Avenue, SW, Washington, DC 20202-1510.

NOTIFICATION PROCEDURE:

If an individual wishes to determine whether a record exists

regarding him or her in this system of records, the individual must

provide the system manager with his or her name, date of birth, social

security number, signature, and the address to which the record

information should be sent. Requests for notification about an

individual must meet the requirements of the Department's Privacy Act

regulations in 34 CFR 5b.5.

RECORD ACCESS PROCEDURE:

If an individual wishes to gain access to a record in this system,

he or she must contact the system manager and provide information as

described in the notification procedure.

CONTESTING RECORD PROCEDURE:

If an individual wishes to change the content of a record in the

system of records, he or she must contact the system manager with the

information described in the notification procedure, identify the

specific item or items to be changed, and provide a written

justification for the change, including any supporting documentation.

Requests to amend a record must meet the requirements of the

Department's Privacy Act regulations in 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:

Information contained in this system of records is obtained from--

a. Investigative and other record material furnished by other

Federal entities, other departmental components, State, local, and

foreign governments;

b. Applications and other personnel and security forms;

c. Personal investigation, written inquiry, interview, or the

electronic accessing of computer databases of sources, such as the OPM

system of records known as ``Personnel Investigations Records'' (OPM/

Central-9), employers, educational institutions, references, neighbors,

associates, police departments, courts, credit bureaus, medical

records, probation officials, prison officials, newspapers, magazines,

periodicals, and other publications; and

d. Confidential sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

As indicated in 34 CFR 5b.11, individuals will be provided

information from this record system unless, in accordance with the

provisions of 5 U.S.C. 552a(k)(5)--(1) Disclosure of that information

would reveal the identity of a source who furnished information to the

Government under an express promise that the identity of the source

would be held in confidence; or (2) The information was obtained prior

to September 27, 1975 and disclosure of that information would reveal

the identity of a source who provided information under an implied

promise that the identity of the source would be held in confidence.

[FR Doc. 98-2077 Filed 1-27-98; 8:45 am]

BILLING CODE 4000-01-P