Privacy Act of 1974; Systems of Records
Federal RegisterJun 4, 1999
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SUMMARY: The Acting Chief Information Officer for the Department of
Education publishes this notice of New, Amended, Altered and Deleted
Systems of Records. On May 14, 1998, the President directed executive
departments and agencies to, among other things, review all systems for
accuracy, completeness and to ensure that all routine uses are needed
and consistent with the purposes for which the records were collected
in each system. This document is a result of that review.
DATES: Comments on the proposed routine uses for the systems of records
included in this notice must be received by the Department on or before
July 6, 1999. The Department filed a report describing the new and
altered systems of records covered by this notice 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 May 14, 1999. The changes made
in this notice will become effective after the 30-day period for OMB
review of the systems expires on June 14, 1999; unless OMB gives
specific notice within the 30 days that the changes are not approved
for implementation or requests an additional 10 days for its review.
The routine uses become effective 30 days after publication unless they
need to be changed as a result of public comment or OMB review. The
Department will publish any changes to the routine uses.
ADDRESSES: All comments on the proposed routine uses should be
addressed to Bill Burrow, Office of Chief Information Officer, Acting
Information Management Group Leader, U.S. Department of Education, Room
5624 Regional Office Building, 400 Maryland Avenue, SW., Washington, DC
20202-4580. Telephone: 202-401-0250. Comments may also be sent through
the Internet to:
C[email protected]
You must include the term ``System of Records'' 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
5624 Regional Office Building, 7th and D Streets, S.W., Washington, DC,
between the hours of 8 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)
205-9265 or (202) 260-0250. 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: Bill Burrow, Office of Chief
Information Officer, Acting Information Management Group Leader, U.S.
Department of Education, Room 5624 Regional Office Building, 400
Maryland Avenue, SW., Washington, DC 20202-4580. Telephone: 202-401-
0250. 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 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.
Introduction
In a memorandum dated May 14, 1998, President Clinton directed
executive departments and agencies (agencies) to conduct a thorough
review for accuracy and completeness of all agency systems of records.
The President specifically directed agencies to consider changes in
technology, function and organization that may have made the systems
out of date and to review the routine uses published in the system
notices to make sure that they continue to be necessary and compatible
with the purposes for which they were collected. He also directed
agencies to identify systems that may not have been described in a
notice published in the Federal Register and to publish notices for any
changes to the agency systems of records and report to the Office of
Management and Budget within one year regarding the results of their
efforts.
The Act (5 U.S.C. 552a)(e)(4) requires the Department to publish in
the Federal Register this notice of changes to systems of records
managed by the Department. The Department's regulations implementing
the Act are contained in the Code of Federal Regulations (CFR) in 34
CFR part 5b.
The Privacy Act of 1974 (Privacy Act), 5 U.S.C. 552a, applies to
information about individuals that contain individually identifiable
information and that may be retrieved by a unique identifier associated
with each individual, such as a name or social security number. The
information about each individual is called a ``record'' and the
system, whether manual or computer-driven, is called a ``system of
records.'' The Act requires each agency to publish notices of systems
of records in the Federal Register and to prepare reports to the Office
of Management and Budget (OMB) whenever the agency publishes a new or
``altered'' system of records. A system is considered altered whenever
certain fundamental changes are made to the system such as changing
from a manual to automated system of records or whenever certain
disclosures, called ``routine uses,'' are changed in the system of
records.
Most of the changes made by this notice are technical in nature,
reflecting the current name and address of the office responsible for
each system. Every effort has been made to update the notices to make
them more ``reader friendly,'' dispensing with traditional bureaucratic
language. As part of that process, all the routine uses have been
updated and, where the Department
[[Page 30107]]
intends to apply the same routine use to more than one system, the same
language is used for all systems that use the routine use. The intent
is not to substantively change any of the routine uses but to make them
clearer and consistent. However, because the Department is applying
these revisions to all of its systems of records, the Chief Information
Officer decided to treat all systems included in this notice as altered
systems of records.
Many of the system notices included in this Federal Register notice
have not been updated since they were published in a Federal Register
compilation of Department system notices on April 20, 1982. As a
result, revisions are needed to accurately describe the current systems
of records.
Deleted Systems
The Department identified 22 systems to be deleted after finding
that they are either no longer needed to administer the Department's
programs or activities or that they duplicate other systems maintained
by the Department or other agencies such as the Office of Personnel
Management. The numbers for these systems are based on the
identification system used by the Department up to this date.
18-07-0002 Congressional Correspondence.
18-11-0005 Safety Management Information System (Department of
Education Accident, Injury and Illness Reporting System).
18-11-0007 Applicants for Employment Records.
18-11-0010 Employee Alcoholism, Drug Abuse and Emotional Problem
Counseling and Referral Records.
18-11-0011 Employee Appraisal Program Records.
18-11-0012 Executive Development Records System.
18-11-0018 Personnel Records in Operating Offices.
18-11-0019 Special Employment Programs.
18-11-0020 Suitability for Employment Records.
18-11-0025 Employee Suggestion Program Records.
18-20-0001 Fund for the Improvement of Postsecondary Education;
FIPSE Field Readers to Review Proposals for the Department.
18-40-0002 Registry of Deaf-Blind Children/Regional-National.
18-40-0003 Students Participation in Deaf-Blind Programs Under
Centers and Services for Deaf-Blind Children.
18-40-0004 Parent Participants in Deaf-Blind Programs Provided by
Regional Centers for Deaf-Blind Children.
18-40-0005 Participant Waiting List for Projects Serving Severely
Handicapped Children and Youth.
18-40-0006 Participants of Projects Serving Severely Handicapped
Children and Youth.
18-40-0007 Participants in Workshops Concerning Severely
Handicapped Children and Youth.
18-40-0009 Selective Service Registration Compliance File.
18-40-0021 Student Financial Assistance--Compliance Files.
18-40-0032 Record of Advances of Funds for Employees Traveling for
the Department of Education.
18-40-0038 National Science Scholars Program.
18-42-0065 NIE Outside Experts.
New Numbering System
The Department establishes a new numbering system for its systems
of records. The following list identifies each system notice published
in this document based on the new numbering system.
18-01-01 Secretary's Communication Control System.
18-01-02 Education Senior Management Biographies.
18-02-01 Even Start Performance Information Reporting System and
Experimental Design Study.
18-03-01 Debarment and Suspension Proceedings Under Executive Order
12549, the Drug-Free Workplace Act, and the Federal Acquisition
Regulations.
18-03-02 Education's Central Automated Processing System (EDCAPS).
18-03-03 Receivables Management System.
18-03-04 Files and Lists of Potential and Current Consultants,
Grant Application Reviewers, Peer Reviewers, and Site Visitors.
18-04-01 Freedom of Information, Correspondence and Case Files.
18-04-02 Freedom of Information Act and Privacy Act Tracking
System.
18-05-01 Departmental Parking Control Policy.
18-05-02 Family Educational Rights and Privacy Act (FERPA) and
Protection of Pupil Rights Amendment (PPRA) Record Systems.
18-05-03 Federal Personnel Payroll System.
18-05-04 Discrimination Complaints Records System.
18-05-05 Grievances Filed Formally Under the Administrative
Grievance Procedures.
18-05-06 Grievance Records Filed Under Procedures Established by
Labor-Management Negotiations.
18-05-07 Unfair Labor Practice Records.
18-05-08 Official Time Records of Union Officials and Bargaining
Unit Employees at the Department of Education.
18-05-09 Voluntary Leave Transfer Program.
18-05-10 General Performance Appraisal System (GPAS).
18-05-11 Training Registration and Information System (TRAINS).
18-05-12 Grievances Filed Informally through the Informal Dispute
Resolution Center (IDR).
18-06-01 Federal Advisory Committee Membership Files.
18-06-02 Telephone Directory/Locator System.
18-06-03 Presidential Scholars Files of Selected Participants.
18-07-01 Congressional Members' Biographies.
18-07-02 Congressional Grant Notification Control System.
18-08-01 Case Information System.
18-08-02 Complaint Files and Log.
18-09-01 Administrative Claims.
18-09-02 OGC-Attorney Applicant Files.
18-09-03 Employee Conduct--Government Ethics.
18-09-04 Litigation Files, Administrative Complaints, and Adverse
Personnel Actions.
18-10-01 Investigative Files of the Inspector General.
18-10-02 Investigatory Material Complied for Personnel Security and
Suitability Purposes.
18-10-03 OIG Non-Federal Auditor Referral, Suspension, and
Debarment File.
18-10-04 Hotline Complaint Files of the Inspector General.
18-11-01 Federal Student Aid Application File.
18-11-02 Recipient Financial Management System.
18-11-03 Student Financial Assistance Validation File.
18-11-04 Student Financial Assistance-- Student Complaint Files.
18-11-05 Title IV Program Files.
18-11-06 National Student Loan Data System.
18-11-07 Student Financial Assistance Collection Files.
18-11-08 Student Account Management System. (Previously published
in the Federal Register of June 1, 1999).
18-11-09 Postsecondary Education Participants System (PEPS).
18-12-01 Title IV Foreign Language and Area Studies Program.
18-12-02 Fulbright-Hays Doctoral Dissertation Research Abroad,
Fulbright-Hays Faculty Research Abroad, and Fulbright-Hays Seminars
Abroad.
18-12-03 Jacob K. Javits Fellows System.
18-12-04 Title VI International Research and Studies Program.
18-13-01 National Center for Education Statistics Longitudinal
Studies and the School and Staffing Surveys.
18-13-02 National Center for Education Statistics Affidavits of
Nondisclosure.
18-13-03 National Center for Education Statistics' National
Assessment of Educational Progress.
18-13-04 Outcomes of Diversity in Higher Education Surveys.
18-14-01 Educationally Disadvantaged Students Attending Private
Schools Served Through Bypass Contracts.
18-14-02 Fellowships for Indian Students--Applications and Awards.
18-15-01 Bilingual Education Graduate Fellowship Program.
New Systems of Records
Of the systems identified in the preceding list, the following
systems of records have been identified as new:
[[Page 30108]]
18-02-01 Even Start Performance Information Reporting System and
Experimental Design Study.
18-04-02 Freedom of Information Act and Privacy Act Tracking
System.
18-05-09 Official Time Records of Union Officials and Bargaining
Unit Employees at the Department of Education.
18-05-10 Voluntary Leave Transfer Program.
18-05-11 General Performance Appraisal System (GPAS).
18-05-12 Training Registration and Information System (TRAINS).
18-07-01 Congressional Members' Biographies.
18-07-01 Congressional Grant Notification Control System.
18-11-07 Student Account Manager.
18-11-08 Postsecondary Education Participants System (PEPS).
18-12-03 Title VI International Research and Studies Program.
18-13-04 Outcomes of Diversity in Higher Education Surveys.
18-15-01 Bilingual Education Graduate Fellowship Program.
The following systems of records are in the current compilation of
systems of records and continue to be necessary for operation of
Department programs or activities. However, technical issues delayed
their inclusion in this publication. The Department will publish
revised notices for these systems as soon as the technical issues can
be resolved.
18-05-03 Federal Personnel Payroll System.
18-06-03 Presidential Scholars Files of Selected Participants.
18-11-04 Student Financial Assistance--Student Complaint Files.
18-11-06 National Student Loan Data System.
Dated: May 14, 1999.
Thomas P. Skelly,
Acting Chief Information Officer.
The Chief Information Officer of the U.S. Department of Education
publishes notice of the following systems of records managed by the
Department:
18-01-01
SYSTEM NAME:
Secretary's Communications Control System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Executive Secretariat, Office of the Secretary, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7C114,
Washington, DC 20202. See the Appendix at the end of this system notice
for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records about individuals who have contacted
the Secretary, Deputy Secretary, Senior Officers or other officials of
the Department for whom the Department controls responses.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes the following types of records: (1) The
official correspondence files of each principal office within the
Department, and where applicable, a principal office's component
office, specifically the hard copies of official documents and
electronic images of certain incoming and outgoing documents; (2)
control information from the Secretary's, Deputy Secretary's, Senior
Officers' and other officials' correspondence that include a subject
narrative, the name of the organization drafting the response and the
type of action required from the Department; and (3) records of
responses to some telephone inquiries where officials determine that a
written response should be controlled.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
This system of records is maintained to account for the
correspondence received by the Department, including correspondence
regarding individual concerns and complaints regarding programs
administered by the Secretary.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Government and Privacy Organization Disclosure. The Department
may disclose records to governmental entities and private organizations
as necessary to resolve complaints, provide guidance, respond to
requests for documents and information, and address concerns regarding
those entities and organizations.
(2) Congressional Disclosure. The Department may disclose records
to a member of Congress from the record of an individual in response to
an inquiry from the member made at the written request of that
individual. The member's right to the information is no greater than
the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c) or (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, any component of the Department;
or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her official capacity where
the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosure. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in litigation or an administrative
proceeding in which the Department has an interest is relevant and
necessary to the litigation or proceeding, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b) (12): The Department may
disclose to a consumer reporting agency
[[Page 30109]]
information regarding a claim by the Department which is determined to
be valid and overdue as follows: (1) The name, address, taxpayer
identification number and other information necessary to establish the
identity of the individual responsible for the claim; (2) the amount,
status and history of the claim; and (3) the program under which the
claim arose. The Department may disclose the information specified in
this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained
in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which
these disclosures may be made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard copy filed in standard file
cabinets; those stored electronically are located on computer disks and
on backup media.
RETRIEVABILITY:
Files are indexed and retrievable by subject, name of the
individual or by the document's control number that is assigned at the
time the correspondence is logged into the Department.
SAFEGUARDS:
All physical access to the Department of Education sites are
controlled and monitored by security personnel who check each
individual entering the building for his or her employee or visitor
badge. During working hours, direct access to the file cabinets is
limited to authorized staff. During non-working hours, the rooms in
which the file cabinets are located are locked and only those
individuals with access to those rooms can access the hard copies of
records.
The computer systems employed by the Department of Education offer
a high degree of resistance to tampering and circumvention.
RETENTION AND DISPOSAL:
Hard copy records are transferred to the Washington National
Records Center one year after cutoff then transferred to the National
Archives and Records Administration 10 years after cutoff. Control
records on computer are stored indefinitely. Electronic images are
retained based on regular records disposal or retention policies
identical to hard copies.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Secretariat, Office of the Secretary, 400 Maryland
Avenue, SW., Room 7C114, Washington, DC 20202. See Appendix the end of
this system notice for additional system managers.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice. You should
indicate your name, the date of the subject documents and reasonable
description of the subject matter of the issue involved. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
To gain access to records regarding you in this system of records,
follow the Notification Procedure described above. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in
this system of records, contact the system manager at the address
listed in the Appendix at the end of this system notice, and reasonably
identify the record and specify the information to be contested. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Records are derived from documents addressed to or by the
Secretary, the Deputy Secretary, Senior Officials or other officials of
the Department.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-01-01
Additional System Locations and System Managers
Director, Correspondence & Communication Control Unit, Office of the
Executive Secretariat, Office of the Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7C114, Washington, DC
20202.
Management Analyst, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room
4E213, Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Staff Assistant, Office of the Deputy Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7W210, Washington, DC
20202.
Program Management Analyst, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey Avenue,
NE., Room 602, Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 3W337, Washington, DC 20202.
Operations Officer, Office of General Counsel, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6E353, Washington, DC
20202.
Staff Assistant, Office of Intergovernmental and Interagency
Affairs, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 5E317, Washington, DC 20202.
Director, Congressional Affairs, Office of Legislation and
Congressional Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E301, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Deputy Director, Office of Public Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7E231, Washington, DC
20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 4090, Washington, DC 20202.
18-01-02
SYSTEM NAME:
Education Senior Management Biographies.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Secretary, Office of Public Affairs (OPA), U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7E200,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains information on Department of Education
(Department)senior management officials, including the Secretary,
Deputy Secretary, Under Secretary, General Counsel, and Assistant
Secretaries.
[[Page 30110]]
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of a short biography and a standard portrait
photograph, both of which the senior Department official may elect to
provide. The biography includes the official's name, title, office, and
a brief overview of the duties performed at the Department.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301
PURPOSES(S):
The information contained in this system is made available to the
public and staff of the Department who have an interest in seeing the
photographs or reading the background information on senior Department
officials.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) General Interest Disclosure. The records in this system may be
released to the public who have an interest in the background or
photographs or both of Department senior officials.
(2) Media Disclosure. The Department may disclose records in this
system for use by the news media and education organizations when
preparing articles, interviews or presentations at meetings with senior
Department officials.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system notice.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The biographies and photographs are available in electronic format
on the Department's Internet website (http://www.ed.gov). Hard copies
of the biographies and photographs are kept in file cabinets in OPA and
in the individual offices of the respective Department senior
officials.
RETRIEVABILITY:
The biographies and photographs are indexed by the officials' last
names in alphabetical order. The general public is encouraged to access
this information via the Department's website (http://www.ed.gov). Hard
copies are retrieved by the last name of the senior Department
official.
SAFEGUARDS:
No safeguards are in place since the Department senior management
officials agree to the release of this information to the general
public.
RETENTION AND DISPOSAL:
Paper copies of biographical information of senior level officials
are transferred to the National Archives and Records Administration for
permanent preservation at the end of each calendar year. Electronic
copies of biographical information are periodically updated as
circumstances warrant due to promotions, reassignments, resignations
and death.
SYSTEM MANAGER AND ADDRESS:
Deputy Director, Office of Public Affairs (OPA), U.S. Department of
Education, 400 Maryland Avenue, SW., 7E200, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
title and office at the time your biographical information was
submitted. Requests for notification about an individual must meet the
requirements of the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager and provide the information described above in the
Notification Procedure.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record, contact the system
manager. Any requests to amend a record must meet the regulations at 34
CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from the Offices of the
Secretary, the Deputy Secretary, the Under Secretary, the General
Counsel and the Assistant Secretaries.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-02-01
SYSTEM NAME:
Even Start Performance Information Reporting System and
Experimental Design Study.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Division of the Planning and Evaluation Service, Office of
Elementary and Secondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
Fu Associates, Ltd., 2300 Clarendon Boulevard, Suite 1400,
Arlington, VA 22201.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on the families and individuals
(parents and children) who are participants in the study.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of the names and addresses of the program
participants as well as their responses to interview questions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 6369.
PURPOSE(S):
The information in this system is used for the following purposes:
(1) To fulfill the requirement in the Even Start legislation for
evaluation of the effectiveness of the Even Start program; (2) To
respond to the requirements of the Government Performance and Results
Act (GPRA) to report out annually on indicators of program performance;
(3) To meet the evaluation requirements of the Education Department's
General Administrative Regulations (EDGAR) which stipulate that all
grantees conduct annual evaluations; (4) To provide performance data
useful to local, State, and Federal administrators, legislators, and
policy-makers for program improvement and policy development; (5) To
improve on performance indicators that can be used to review the
program's implementation and impact; (6) To add to the knowledge base
on the effects of family literacy programs by investigating the
relationships between program processes and outcomes; (7) To provide
evaluation data that can serve as a base on which additional evaluation
studies that might be funded separately could build; and (8) To provide
an analysis of changes over time in areas such as the types of families
served by Even Start, the nature of Even Start projects, and the
estimated gains made by adults and children while in the program.
[[Page 30111]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
(2) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(3) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(4) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such
a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(5) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(6) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(7) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.
(8) Labor Organization Disclosure. A component of the Department
may disclose records to a labor organization if a contract between the
component and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system notice.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Department maintained records on CD-ROM and the contractor
maintains data for this system on computers and in hard copy.
RETRIEVABILITY:
Records in this system are indexed by a number assigned to each
individual which is cross referenced by the individual's name on a
separate list.
SAFEGUARDS:
All physical access to the Department of Education site, and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or
visitor badge.The computer system employed by the Department
[[Page 30112]]
offers a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on
a ``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.
RETENTION AND DISPOSAL:
Records are maintained and disposed of in accordance with the
Department of Education's Records Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of the Planning and Evaluation Service, Office
of the Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Responses from program participants.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-01
SYSTEM NAME:
Debarment and Suspension Proceedings under Executive Order (E.O.)
12549, the Drug-Free Workplace Act, and the Federal Acquisition
Regulation.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
For records regarding actions under E.O. 12549 against individuals
who are involved in nonprocurement transactions related to Department
of Education programs, actions under the Drug-Free Workplace Act, and
actions under the FAR 9.4: Contracts & Purchasing Office, Office of the
Chief Financial Officer, U.S. Department of Education, Seventh and D
Streets, SW., Room 3600, ROB-3, Washington, DC 20202-4249.
For records regarding actions under E.O. 12549 against an
individual certified public accountant or principals of a CPA firm:
Planning, Analysis, and Management Services, Office of Inspector
General, U.S. Department of Education, 330 C Street, SW., Room 4022,
Switzer Building, Washington, DC 20202-1510.
For records regarding actions under E.O. 12549 against principals
of institutions of higher education, principals of lenders, or
principals of guarantee agencies: Administrative Actions and Appeals
Division, Institutional Participation and Oversight Service, Office of
Student Financial Assistance Programs, U.S. Department of Education,
Seventh & D Streets, SW., Room 3082, ROB-3, Washington, DC 20202-5267.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Principals undergoing debarment or suspension proceedings and
principals that have been debarred or suspended. Principals are
officers, directors, owners, partners, key employees, or other persons
who have a critical influence on or substantive control over a covered
transaction, whether or not employed by a participant. A participant is
any person who submits a proposal for, enters into, or reasonably may
be expected to enter into a covered transaction. A covered transaction
is described in the Department's regulations at 34 CFR 85.110(a)(1).
Individuals receiving grants subject to requirements under the Drug-
Free Workplace Act. Individual contractors undergoing debarment or
suspension proceedings and contractors that have been debarred or
suspended. Contractors covered by this system of records are
individuals that directly or indirectly submit offers for or are
awarded, or may reasonably be expected to submit offers for or be
awarded, a government contract, or who conduct business, or may
reasonably be expected to conduct business with the Department as an
agent or representative of another contractor.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains documents including written referrals, communications
between the Department and the respondent, intra-agency and inter-
agency communications regarding proposed or completed debarments or
suspensions, and a record of any findings from debarment or suspension
proceedings against individuals under E.O. 12549, the Drug-Free
Workplace Act, and the FAR 9.4.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive Order 12549, Debarment and Suspension; secs. 5151-5160 of
the Drug-Free Workplace Act; and the Federal Acquisition Regulation, 48
CFR part 9, subpart 9.4, Debarment, Suspension, and Ineligibility; Pub.
L. 103-355, sec. 2455.
PURPOSE(S):
Information contained in this system of records is used to protect
the Federal Government from the actions prohibited under the Department
of Education (Department) debarment and suspension regulations, Drug-
Free Workplace regulations, and the FAR; make decisions regarding
debarments and suspensions; and ensure that other Federal agencies give
effect to debarment or suspension decisions rendered by the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department may disclose information contained in a record in
this system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under
a computer matching agreement.
(1) Litigation Disclosure. In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (2), (3), and (4) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any employee of Department in his or her individual capacity
where the Department of Justice has agreed to provide or arrange for
representation for the employee; or
[[Page 30113]]
(iv) Any employee of Department in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where Department determines that the
litigation is likely to affect the Department or any of its components.
(2) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice or attorneys engaged by the Department of Justice is relevant
and necessary to litigation and is compatible with the purpose for
which the records were collected, the Department may disclose those
records as a routine use to the Department of Justice.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, individual or entity designated by
the Department or otherwise empowered to resolve disputes is relevant
and necessary to the administrative litigation and is compatible with
the purposes for which the records were collected, the Department may
disclose those records as a routine use to the adjudicative body,
individual or entity.
(4) Opposing counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the counsel, representative
or witness.
(5) Disclosure to the General Services Administration. The
Department makes information contained in this system of records
available to the General Services Administration for inclusion in the
Lists of Parties Excluded from Federal Procurement or Nonprocurement
Programs.
(6) Disclosure to the Public. The Department provides information
to persons inquiring about individuals who have been debarred or
suspended by the Department as necessary to enforce debarment and
suspension actions.
(7) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, tribal, or
local, charged with the responsibility of investigating or prosecuting
such violation or charged with enforcing or implementing the statute,
or executive order or rule, regulation, or order issued pursuant
thereto.
(8) FOIA Advice Disclosure. In the event the Department deems it
desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act,
disclosure may be made to the Department of Justice for the purpose of
obtaining its advice.
(9) Contract disclosure. If the Department contracts with an entity
for the purpose of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records as a routine use to those employees. Before
entering such a contract, the Department shall require the contractor
to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m)
with respect to the records in the system.
(10) Research Disclosure. Where the appropriate official of the
Department determines that an individual or organization is qualified
to carry out specific research, that official may disclose information
from this system of records to that researcher solely for the purpose
of carrying out that research. The researcher shall be required to
maintain Privacy Act safeguards with respect to such records.
(11) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are kept in file folders in locked file cabinets.
RETRIEVABILITY:
The records are indexed by the names of the individuals.
SAFEGUARDS:
All physical access to the site where this system of records is
maintained is controlled and monitored by security personnel who check
each individual entering the building for his or her employee badge.
Files are kept in locked file cabinets. Immediate access to these
records is restricted to authorized staff.
RETENTION AND DISPOSAL:
Pending disposal, Debarment and Suspension records are retained at
the system location. The Department will retain and dispose of the
records in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Grants Policy & Oversight Staff, Contracts & Purchasing
Office, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3652, ROB-3, Washington, DC
20202-0498.
Assistant Inspector General for Planning, Analysis, and Management
Services, Office of Inspector General, U.S. Department of Education,
Maryland Avenue, SW., Room 4022, Mary E. Switzer Building, Washington,
DC 20202-1510.
Director, Administrative Actions and Appeals Division,
Institutional Participation and Oversight Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3082, ROB-3, Washington, DC 20202-5267.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual must
provide the system manager his or her name, date of birth and social
security number. Requests for notification about an individual record
must meet the requirements of the regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she must contact the system manager and provide information as
described in the notification procedure. Requests for access to an
individual's record must meet the requirements of the regulations at 34
CFR 5b.5. Consistent with 5 U.S.C. 552a(e)(5), the Department retains
the discretion not to disclose records to an individual during the
course of a debarment or suspension proceeding against the individual.
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record in the
system of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change, including
[[Page 30114]]
any supporting documentation. Requests to amend a record must meet the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Department employees involved in the management of grants and
contracts, and other organizations or persons that may have relevant
information regarding participants and their principals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-02
SYSTEM NAME:
Education's Central Automated Processing System (EDCAPS).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Recipient System (RS), Payment Management Service & Reporting Unit,
Financial Payments & Cash Management Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.
Financial Management Software System (FMSS), General Ledger Systems
Group, Financial Reporting and Systems Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.
Contracts and Purchasing Support System, Support Services Group,
Contracts and Purchasing Operations, Office of the Chief Financial
Officer, U.S. Department of Education, Seventh & D Streets, SW., Room
3616, ROB-3, Washington, DC 20202-4651. Contracts and Purchasing
Support System (CPSS) National Finance Center, Department of
Agriculture, New Orleans, Louisiana.
Grants Administration and Payments System (GAPS) Grants and
Contract Management System (GCMS) and the Payment Management System
(PMS). The grant application portion of GAPS will be managed by the
Grants Policy & Oversight Staff, Office of the Chief Financial Officer,
GSA Regional Office Building 3, Seventh & D Streets, SW, Room 3652,
Washington, DC 20202-4651. The GAPS payment process will be managed by
Payment Management Service & Reporting Unit, Financial Payments & Cash
Management Operations, Office of the Chief Financial Officer,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals include employees of the Department,
consultants, contractors, grantees, advisory committee members, and
other individuals receiving funds from the department for performing
services for the Department. Although EDCAPS contains information about
institutions associated with individuals, the purpose for which the
Department collects and maintains information under this system of
records, and its usage of this information, pertains only to
individuals protected under the Privacy Act of 1974 (5 U.S.C. 552a).
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system contain the individual's name, address,
Social Security number, eligibility codes, detailed and summary
obligation data, reports of expenditures, and grant management data,
including application and close out information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 301.
PURPOSE(S):
The purpose of EDCAPS is to maintain financial and management
records associated with the normal operations of the Department.
Records are used for managing grant and contract awards, making
payments, accounting for goods and services provided and received,
enforcing eligibility requirements, conditions in awards and U.S. law
relating to transactions covered by the system, and defending the
Department in actions relating to those transactions. EDCAPS consists
of four subsystems, as follows:
RS (Recipient System)
RS serves as the recipient database for EDCAPS land the central
repository of recipients having a relationship with the Department
(e.g., receiving grantees.) It maintains core information about a
recipient and tracks reference data to support information on
recipients (e.g., countries, states, and congressional districts).
FMSS (Financial Management Software System)
The purpose of FMSS is to serve as the official general ledger for
the Department. It also performs all funds control checks for all
EDCAPS obligations, either by the GAPS or by a contractor of the
Department. FMSS maintains detailed information about obligations paid
to the contractor and maintains general ledger level balance
information for obligations paid directly by the Department through
GAPS.
GAPS (Grants Administration and Payment System)
The purpose of GAPS is to administer the grants award processing
from planning through closeout including disbursing funds to grants
recipients for certain Department programs. Summary payment data are
returned to FMSS for processing. GAPS maintains a record of grant
awards by the Department, including management information collected
during the award process. Payment information is retrievable in GAPS by
Taxpayer Identification Number (TIN). The TIN for an individual is the
social security number. The name, mailing address and other
characteristic data related to federal grants or institutional loans
are also maintained.
CPSS (Contract and Purchasing Support System)
The purpose of CPSS is to administer the contracts award process
from planning to closeout. CPSS shares information with FMSS. CPSS
maintains a record of contact awards by the Department, including
management information collected during the award process.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
agreement.
(a) Litigation disclosure.
(1) Disclosure to the Department of Justice. If the Department
determines that disclosure of certain records to the Department of
Justice is relevant and necessary to litigation and is compatible with
the purpose for which the records were collected, the Department may
disclose those records as a routine use to the Department of Justice.
Such a disclosure may be made in the event that one of the parties
listed below is involved in the litigation, or has an interest in such
litigation:
(i) The Department or any component of the Department; or
(ii) Any employee of the Department in his or her official
capacity; or
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice has agreed to represent the
employee; or
[[Page 30115]]
(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 A CONSUMER REPORTING AGENCY:
Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
by the Department which is determined to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(e)(4) and the procedures contained in subsection 31 U.S.C.
3711(f). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEMS:
STORAGE:
Records are maintained on microfilm, microfiche, disk packs and
magnetic tapes and stored in a retrievable file system.
RETRIEVABILITY:
Records are indexed by name, or other individual identifier, and
TIN. The records are retrieved by a manual or computer search by
indices.
SAFEGUARDS:
Direct access is restricted to authorized Department staff
performing official duties. Authorized staff are assigned passwords
which must be used for access to computerized data. Also, an additional
password is necessary to gain access to the system. The system-access
password is changed frequently. The data is maintained in a secured-
access area.
RETENTION AND DISPOSAL:
Files are regularly updated. Records are maintained for ten years.
Inactive records are purged from the automated file every five years.
SYSTEM MANAGER(S) AND ADDRESS:
The Registry System is managed by the Payment Management Service &
Reporting Unit, Financial Payments & Cash Management Operations, Office
of the Chief Financial Officer, U.S. Department of Education,
Washington, DC 20202.
The Financial Management Software System is managed by the General
Ledger Systems Group, Financial Reporting and Systems Operations,
Office of the Chief Financial Officer, U.S. Department of Education,
400 Maryland Avenue, SW., Washington, DC 20202.
The Contracts and Purchasing Support System is managed by the
Support Services Group, Contracts and Purchasing Operations, Office of
the Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3616, ROB-3, Washington, DC 20202-4651.
The grant application portion of the Grants Administration and
Payments System will be managed by the Grants Policy & Oversight Staff,
Office of the Chief Financial Officer, U.S. Department of Education,
Room 3652, ROB-3, Washington, DC 20202-4651. The GAPS payment process
will be managed by Payment Management Service & Reporting Unit,
Financial Payments & Cash Management Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 3332, Washington, DC 20202.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record pertaining to
him or herself is the system of records, the individual should provide
his or her name and Social Security number to the appropriate system
manager. Such request must meet the requirements in the regulations at
34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she should contact the appropriate system manager and provide
information as described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in the
regulations at 34 CFR 5b.5.
[[Page 30116]]
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record
pertaining to himself or herself that is contained in the system or
records, he or she should contact the appropriate system manager with
the information described in the notification procedure, identify the
specific items requested to be changed, and provide a justification for
such change. A request to amend a record must meet the requirements in
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system will be obtained from applicants
applying for a Department contract, grant, or loan at the time of
application. Information will also be obtained from Department program
offices, employees, consultants, and others performing personnel
services for the Department.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-03-03
SYSTEM NAME:
Receivables Management System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATIONS:
Office of the Chief Financial Officer, Financial Improvement and
Receivables Group, U.S. Department of Education, 400 Maryland Avenue,
SW., Washington, DC 20202-4330.
Office of the Chief Information Officer, U.S. Department of
Education, Seventh and D Streets, SW., Washington, DC 20202.
Nationwide Credit, Inc., Credit Claims and Collection, 2253
Northwest Parkway, Marietta, GA 30067.
Payco American Corporation, 180 N. Executive Drive, Brookfield, WI
53005-6011.
CSC Credit Services, Inc., 7909 Parkwood Circle, Suite 200,
Houston, TX 77036-6565.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by the system include: Persons billed by the
Department of Education (Department) for materials and services such as
Freedom of Information Act requests and computer tapes of statistical
data, persons ordered by a court of law to pay restitutions to the
Department, individuals who received grants under the Bilingual
Education Fellowship Program and who have not provided evidence to the
Department of fulfilling their work requirements as described in the
Bilingual Education Fellowship Program Contract, individuals who have
received funds through the Rehabilitation Services Administration (RSA)
Scholarship program and who have not provided evidence of fulfilling
their obligations under that program, current and former Department
employees who received overpayments on travel allowances or who
received salary overpayments and the overpayments have not been waived
by the Department, individuals who were overpaid or inappropriately
paid under grant programs administered by the Department other than
Title IV of the Higher Education Act of 1965, as amended (HEA) and
claims against individuals, including orders by a court or other
authority to make restitution for the misuse of Federal funds in
connection with any program administered by the Department.
CATEGORIES OF RECORDS IN THE SYSTEM:
Documents maintained in the system include: activity logs, copies
of checks, contracts, court orders, letters of notice, promissory
notes, telephone logs, and related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Claims Collection Act of 1966; Debt Collection Act of 1982;
and the Debt Collection Improvement Act of 1996.
PURPOSE(S):
The Receivables Management System is a database system that is kept
for servicing general consumer debts owed to the Department and issuing
reports of operations and the status of accounts to the U.S. Department
of Treasury (Treasury) and the Office of Management and Budget. The
receivables are generated from bills to individuals for materials and
services from the Department, claims arising from court-ordered
restitutions for any program administered by the Department, loans and
overpayments to individuals under programs other than the student
financial assistance programs authorized under Title IV of the Higher
Education Act of 1965, as amended.
Records will be used by debt servicing staff to bill debtors to the
Department and collect the debts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. Disclosures under the following routine uses may be made
on a case-by-case basis or, in appropriate circumstances under computer
matching agreements authorized under the Privacy Act of 1974 (5 U.S.C.
552a). Records may be disclosed for the following debt servicing
program purposes:
(a) Program purposes: (1) To verify the identity and location of
the debtor, disclosures may be made to credit agencies and Federal
agencies. (2) To enforce the terms of a loan or where disclosure is
required by Federal law, disclosure may be made to credit agencies,
educational and financial institutions, and Federal, State, or local
agencies.
(b) Debt servicing. Records under routine use may be disclosed to
the United States Department of the Treasury and privately contracted
collection companies for debt servicing.
(c) Litigation disclosure. (1) In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (2), (3) and (4) of this routine use under the
conditions specified in those paragraphs:
(i) The Department, or any component of the Department;
(ii) Any Department employee in his or her official capacity;
(iii) Any employee of the Department in his or her individual
capacity where the Department of Justice (DOJ) has agreed to provide or
arrange for representation for the employee;
(iv) Any employee of the Department in his or her individual
capacity where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(2) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation and is compatible with the purpose for which the records
were collected, the Department may disclose those records as a routine
use to the DOJ.
(3) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve disputes is
relevant and necessary to the
[[Page 30117]]
administrative litigation and is compatible with the purpose for which
the records were collected, the Department may disclose those records
as a routine use to the adjudicative body, individual or entity.
(4) Opposing counsel, representatives and witnesses. If the
Department determines that disclosure of certain records to an opposing
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the counsel, representative
or witness.
(5) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether foreign, Federal, State, Tribal, or
local, charged with the responsibility of investigating or prosecuting
this violation or charged with enforcing or implementing the statute,
or executive order or rule, regulation, or order issued pursuant
thereto.
(6) Contract disclosure. If the Department contracts with an entity
for the purpose of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records as a routine use to those employees. Before
entering into a contract, the Department shall require the contractor
to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m)
with respect to the records in the system.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose
individually identifiable information to OMB as necessary to fulfill
CRA requirements.
(8) Employee grievance, complaint or conduct disclosure. Records
may be disclosed if a record maintained in this system of records is
relevant to present or former employee grievance, complaint, discipline
or competence determination proceedings of another agency of the
Federal Government. In this case, the Department may disclose the
record as a routine use in the course of the proceedings if the
disclosure is compatible with the purposes for this system of records.
(9) Labor organization disclosure. Records under this routine use
may be disclosed whenever a contract between a component of the
Department and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization's mission. The
disclosures will be made only as authorized by law.
(10) Research disclosure. Records under this routine use may be
disclosed whenever an appropriate official of the Department determines
that an individual or organization is qualified to carry out specific
research related to functions or purposes of this system of records.
The official may disclose records from this system of records to that
researcher solely for the purpose of carrying out that research related
to the functions or purposes of this system of records. The researcher
is required to maintain Privacy Act safeguards with respect to these
records.
(11) Freedom of Information Act (FOIA) Advice Disclosure. Records
under this routine use may be disclosed to the DOJ and the OMB in the
event that the Department deems it desirable or necessary in
determining whether particular records are required to be disclosed
under the FOIA.
(12) Disclosure to the Department of Justice. Records may be
disclosed under this routine use to the DOJ from this system of records
as a routine use to the extent necessary for obtaining DOJ advice on
any matter relevant to an audit, inspection, or other inquiry related
to the programs covered by this system.
(13) Congressional member disclosure. The Department may disclose
information from this system of records to a member of Congress from
the record of an individual in response to an inquiry from the member
made at the written request of that individual. The Members' right to
the information is no greater than the right of the individual who
requested it.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records under this system will be kept on paper files in metal file
cabinets and in data files in computers. They are stored in desk top
and mainframe computers with records backed up on magnetic media.
RETRIEVABILITY:
The data will be retrieved by name, loan or case number, or Social
Security number.
SAFEGUARDS:
All physical access to the sites of the Department of Education and
the contractors where this system of records is maintained, are
controlled and monitored by security personnel who check each
individual entering the building for an employee's or visitor's badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department of Education and contract staff on a
``need-to-know'' basis, and controls individual users' ability to
access and alter records within the system. All users of this system
are given a unique user ID. All interactions by individual users with
the system are recorded.
At contractor sites, access to all automated data processing
facilities are restricted by photo identification, sign-in and out
logs, CYPHER locks, or ID card readers. Smoke and fire detection
devices are installed and maintained operational on all facilities
including tape and disk library areas. Physical security of the
building involves restricted access as well as 24-hour security guard
at the ground-floor entrance to the building. Access to building is
obtained through the use of key entry doors. The system permits entry
to an individual only with an access code.
RETENTION AND DISPOSAL:
Records are disposed of in accordance with the National Archives
and Records Administration's General Records Schedule (GRS) 6, items
1a, 10b, and 10c; and GRS 7.
SYSTEM MANAGERS AND ADDRESS:
Director, Financial Improvement and Receivables Group, Office of
the Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3117, Washington, DC 20202-4330.
NOTIFICATION PROCEDURE:
If an individual wishes to determine whether a record exists
regarding him or her in this system of records, the individual should
provide the system manager his or her name, Social Security number,
case or loan number, or other debt identifying number. Requests for
notification about an individual must meet the requirements in the
regulations at 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
If an individual wishes to gain access to a record in this system,
he or she should contact the system manager and
[[Page 30118]]
provide information described in the notification procedure. Requests
by an individual for access to a record must meet the requirements in
the regulations at 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
If an individual wishes to change the content of a record in the
system of records, he or she should contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change. Requests to amend a record must meet the requirements of
the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information is obtained from Department program offices, debtors,
court orders, and probation officers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
18-03-04
SYSTEM NAME:
Files and Lists of Potential and Current Consultants, Grant
Application Reviewers Peer Reviewers, and Site Visitors.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
See the Appendix attached to this system notice.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been or may be used by the Department as
consultants, field readers, grant application reviewers, peer reviewers
or site visitors, to review and evaluate various program activities.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, telephone number, title, institutional or agency
affiliation, resume, social security number or other individual
identifier, compensation and/or reimbursement information (if any), and
area(s) of individual expertise of each individual serving as a
consultant, field reader, grant application reviewer or site visitor.
Records of past performance of individuals covered by this notice.
Disability (if special arrangement need to be made).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
20 U.S.C. 1221e-3(a)(1), (b), 1232, and 3474.
PURPOSE(S):
The Department uses the information in this system of records to
determine qualification and fitness of individuals the Department may
use to review and evaluate documents, programs, and projects of the
Department of Education, its grantees and contractors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The Department may disclose personally identifiable information
from this record system for the following purposes:
(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.
[[Page 30119]]
(11) Research disclosure. The Department may, if the disclosure of
a record is compatible with the purpose for which the record was
collected, disclose a record from this system of records as a routine
use to individuals and organizations deemed qualified by the Secretary
to carry out specific research solely for the purpose of carrying out
such research.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file cabinets or card files and (in
limited locations) computer tapes and disks.
RETRIEVABILITY:
By name, title, area(s) of individual expertise, dates served,
institutional or agency affiliation, or social security number of
potential, current or past consultant, field reader, grant application
reviewer, or site visitor.
SAFEGUARDS:
Direct access is restricted to persons designated by system
managers to be responsible for maintenance of file(s) or decisions
regarding selection of consultants, field readers, grant application
reviewers, or site visitors. Automated locations are protected by
requiring a password as well as ID users' code.
RETENTION AND DISPOSAL:
Records regarding an individual are destroyed 5 years after the
last time the Department makes use of the individual's services.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Office, Office of Chief Financial and Chief Information
Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room
4E213, Washington, DC 20202. See the Appendix to this system notice for
additional system managers.
NOTIFICATION PROCEDURE:
Contact system manager of pertinent organizational component(s) and
provide identification information required under 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
Same as notification procedure above.
RECORD SOURCE CATEGORIES:
Information provided voluntarily by individuals interested in
serving as consultants, field readers, grant application reviewers, or
site visitors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-03-04
Additional System Managers and System Locations
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Supervisor, Management and Program Analyst, Office for Civil Rights,
U.S. Department of Education, 330 C Street, SW., Room 5026,
Washington, DC 20202.
Policy Coordinator Analyst, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 3W337, Washington, DC 20202.
Director, Office of Management, U.S. Department of Education, 400
Maryland Avenue, SW., Room 2W300, Washington, DC 20202.
Management and Program Analyst, Office of Postsecondary Education,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.
Customer Service Specialist, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3113, Washington, DC 20202.
Executive Secretariat Liaison, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland Avenue, SW.,
Room 4090, Washington, DC 20202.
Director, International Education and Graduate Programs Service,
Office of Postsecondary Education, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202-5247.
Director, Office of Indian Education, Office of Elementary and
Secondary Education, 400 Maryland Avenue, SW., Room 4300, Portal
Building, Washington, DC 20202-6335.
18-04-02
SYSTEM NAME:
Freedom of Information Act and Privacy Act Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Information Management Group, Office of the Chief Information
Officer, U.S. Department of Education, Seventh and D Streets, Room
5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end of
this notice for additional system locations at Headquarters and
Regional Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals who have submitted or
were the subjects of requests made under the provisions of the Freedom
of Information Act and under the Privacy Act of 1974.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of names, addresses, dates of request and
responses, descriptions or identifications of records requested, amount
of fees paid, if any; payment delinquencies, if any; final
determinations of appeals or denials and summary of log. Copies of
requested records are not maintained in the system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Freedom of Information Act (5 U.S.C. 552) and the Privacy Act
of 1974 (5 U.S.C. 552a).
PURPOSE(S):
This system is used to document and track the status of requests
made under both the Freedom of Information Act and the Privacy Act.
This system is also used to generate the annual report to the
Department of Justice (DOJ) as required by the Freedom of Information
Act and the biennial report to the Office of Management and Budget
(OMB) and Congress as required by the Privacy Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (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. 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) 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
[[Page 30120]]
(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.
(5) 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) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in machine-readable media.
RETRIEVABILITY:
Records are retrieved by the name of the individual, the date of
the request, the control tracking number and the associated principal
office.
SAFEGUARDS:
Access to the tracking system requires a user-ID and is strictly
limited to authorized individuals.
RETENTION AND DISPOSAL:
Information in the system is erased after 2 years.
SYSTEM MANAGER(S) AND ADDRESS:
Freedom of Information Officer and Privacy Act Officer, Information
Management Group, Office of the Chief Information Officer, 400 Maryland
Avenue, SW., Room 5624, ROB-3, Washington, DC 20202-2651. See the
Appendix at the end of this notice for a list of FOIA Coordinators.
NOTIFICATION PROCEDURE:
If you wish to inquire whether a record exists regarding you in
this system, you should contact the appropriate system manager.
Inquiries 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.
RECORD ACCESS PROCEDURES:
The Department systems of records that are exempt from certain
Privacy Act requirements may be included in this system as part of a
FOIA/PA case record. Such material retains its exemption if it is
included in this system of records. The section of this notice titled,
``Systems Exempted from Certain Provisions of the Act,'' explains the
exemptions for this system. Individuals wishing to request access to
their records should contact the system manager at the appropriate
office or region where their original Privacy Act and/or Freedom of
Information Act request was sent or from which they received responses
to such requests. Individuals requesting access must comply with the
Department's Privacy Act regulations regarding verification of identity
and access to records 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
The Department systems of records that are exempt from certain
Privacy Act requirements may be included in this system as part of a
FOIA/PA case record. Such material retains its exemption if it is
included in this system of records. The section of this notice titled,
``Systems Exempted from Certain Provisions of the Act,'' explains the
exemptions for this system. Individuals wishing to request amendment to
their records should contact the system manager at the appropriate
office or region where their original Freedom of Information and/or
Privacy Act requests were sent or from which they received responses to
such requests. Individuals must furnish the following information for
their records to be located and identified:
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from the
individual to whom the information applies, officials of the
Department, official Department documents.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Department has claimed exemptions for several of its other
systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6),
and (7). During the course of a FOIA/PA action, exempt materials from
those other systems may become part of the case records in this system.
To the extent that copies of exempt records from those other systems
are entered into these FOIA/PA case records, the office has claimed the
same exemptions for the records as they have in the original primary
systems of records of which they are a part.
Appendix to 18-04-02
FOIA Coordinators
Office of the Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW., 400 Maryland Avenue, SW., Room 7C122, FOB-6,
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, FOB-6, Washington, DC 20202.
Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 2W211, FOB-6, Washington, DC 20202.
Office of Special Education and Rehabilitative Services, U.S.
Department of Education, 330 C Street, SW., Room 3112, Switzer
Building, Washington, DC 20202.
Office of Inspector General, U.S. Department of Education, 330 C
Street, SW., Room 4200, Switzer Building, Washington, DC 20202.
[[Page 30121]]
Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3W341, FOB-6, Washington,
DC 20202.
Office of Public Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 7E201, FOB-6, Washington, DC 20202.
Office of Student Financial Assistance Programs, 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, FOB-6, Washington,
DC 20202.
Regional FOIA Review Officers
Region I: Deputy Regional Director, OCR, John W. McCormack P.O. and
Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557.
Region II: Regional Director, OCR, 75 Park Place, 12th Floor, New
York NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
3535 Market Street, Room 16350, Philadelphia 19104-3398.
Region IV: Regional Director, OCR, 61 Forsyth Street, SW, Suite
19T40, Atlanta, GA 30303.
Region V: Education Program Specialist, Division of Dissemination,
OSFAP, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Education Program Specialist, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.
Region VII: Education Program Specialist, OSFAP, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: Public Information Specialist, Federal Office Building,
1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: Education Program Specialist, OSFAP, 50 United Nations
Plaza, San Francisco, CA 94102
Region X: Education Program Specialist, OSFAP, Room 3362, Mail Code
10-9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington,
DC 20044.
18-04-02
SYSTEM NAME:
Freedom of Information Act and Privacy Act Tracking System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of the Chief Information Officer, Information Management
Group, U.S. Department of Education, 400 Maryland Avenue, SW, Room
5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end of
this system notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records and related correspondence on
individuals who have submitted: Requests for information under the
provisions of the Freedom of Information Act (5 U.S.C. 552), including
requests for review of initial denials. Requests under the provisions
of the Privacy Act (5 U.S.C. 552a) for records about themselves,
including: Requests for notification of the existence of records about
them. Requests for access to these records. Requests for amendment of
these records. Requests for review of initial denials of such requests
for notification, access, and amendment. Requests for an accounting of
disclosure of records about them.
Note: Since these FOIA/PA case records contain inquiries and
requests regarding any of the Department's other systems of records
subject to the Privacy Act, information about individuals from any
of these other systems may become part of this Freedom of
Information Act and Privacy Act System.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains correspondence and other documents related to
requests by individuals to the Department for: Information under the
provisions of the Privacy Act (5 U.S.C. 552), including requests for
review of initial denials of such requests. Information under the
provisions of the Privacy Act (5 U.S.C. 552a) and requests for review
of initial denials of such requests made under the Department's Privacy
Act regulations, including requests for: Notification of the existence
of records about them. Access to records about them. Amendment of
records about them. Review of initial denials of such requests for
notification, access, or amendment. Requests for an accounting of
disclosure of records about them.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Includes the following with any revisions or amendments: The
Freedom of Information Act (5 U.S.C. 552), the Privacy Act of 1974 (5
U.S.C. 552a), and the Department's Public Information Regulation (34
CFR part 5).
PURPOSE(S):
These records are maintained to process an individual's request
made under the provisions of the Freedom of Information and Privacy
Acts. The records are also used by the Department to prepare its
reports to OMB and Congress required by the Freedom of Information and
Privacy Acts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information will be released for the purposes cited in Appendix B
of the Department's Privacy Act regulations (34 CFR part 5b).
Disclosure may be made to a Congressional office from the record of an
individual in response to an Inquiry from the Congressional office made
at the request of that individual. In the event of litigation where the
defendant is (a) the Department, any component of the Department, or
any employee of the Department in his or her official capacity; (b) the
United States where the Department determines that the claim, if
successful, is likely to affect directly the operations of the
Department or any of its components; or (c) any Department employee in
his or her individual capacity where the Department of Justice has
agreed to represent such employee. The Department may disclose such
records as it deems desirable or necessary to the Department of Justice
to enable that Department to present an effective defense, provided
such disclosure is compatible with the purpose for which the records
were collected.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not Applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained on machine-readable media and/or as
paper copies in file folders or binders.
RETRIEVABILITY:
For the most part, records are retrieved by the name of the
individual on whom they are maintained, the year of the request, and
the control tracking number. Records are available to FOIA staff
involved in correspondence and investigative processes, including
appeals officials and staff members of the OGC.
SAFEGUARDS:
Records are maintained in Conserva-File cabinets in the Office of
the Department's FOIA Officer and the Privacy Act Officer, and in the
offices of Department personnel whose duties require access. Access to
the FOIAS System, and to the associated paper
[[Page 30122]]
records is strictly limited to these individuals.
RETENTION AND DISPOSAL:
These records will be disposed of 5 years after the date of final
Department action on the case. Records are destroyed by shredding,
burning magnetic erasure, or the equivalent.
SYSTEM MANAGER(S) AND ADDRESS:
Freedom of Information Officer and Privacy Act Officer, Room 5624,
ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202, are responsible
for Departmental records, including both FOIAS and paper records. The
appropriate Assistant Secretary, the General Counsel, the Office of the
Inspector General, and the Secretary's Regional Representatives are the
system managers for the Freedom of Information and Privacy Act records
maintained in their offices.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of regulations at 34 CFR 5b.5, including proof of
identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from
--The individual to whom the information applies. Officials of the
Department. Official Department documents.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Department has claimed exemptions for several of its other
systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6),
and (7). During the course of a FOIA/PA action, exempt materials from
those other systems may become a part of the case records in this
system. To the extent that copies of exempt records from those other
systems are entered into these FOIA/PA case records, the office has
claimed the same exemptions for the records as they have in the
original primary systems of records of which they are a part.
Appendix to 18-04-02
Additional System Locations and System Managers
Region I: Deputy Regional Director, OCR, John W. McCormack PO and
Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557.
Region II: Regional Director, OCR, 75 Park Place, 12th Floor, New
York NY 10278-0043.
Region III: Assistant to the Secretary's Regional Representative,
3535 Market Street, Room 16350, Philadelphia 19104-3398.
Region IV: Regional Director, OCR, 61 Forsyth Street, SW., Suite
19T40, Atlanta, GA 30303.
Region V: Education Program Specialist, Division of Dissemination,
OSFAP, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.
Region VI: Education Program Specialist, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.
Region VII: Education Program Specialist, OSFAP, 10220 N. Executive
Hills Blvd., 8th Floor, Kansas City, MO 64153-1367.
Region VIII: Public Information Specialist, Federal Office Building,
1244 Speer Blvd., Room 300, Denver, CO 80204-3582.
Region IX: Education Program Specialist, OSFAP, 50 United Nations
Plaza, San Francisco, CA 94102.
Region X: Education Program Specialist, OSFAP, Room 3362, Mail Code
10-9060, 915 2nd Avenue, Seattle, WA 98174-1099.
Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington,
DC 20044.
18-05-01
SYSTEM NAME:
Departmental Parking Control Policy.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Director, Quality Workplace Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Department employees and non-Department carpool members
utilizing parking facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system includes the following information on all persons
applying for a parking permit: Name, office room number, office phone
number, agency, home address, and automobile license number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
63 Stat. 377;41 CFR 101-20.111.
PURPOSE(S):
The information contained in this system is used to: (1) Provide
standards for apportionment and assignment of parking spaces on
Department-managed and Department-controlled property and on property
assigned to the Department by the General Services Administration or
any other Agency, and (2) allocate and check parking spaces assigned to
government vehicles, visitors, handicapped personnel, executive
personnel, carpool and van pools and others.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS ND THE PURPOSES OF SUCH USE:
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
[[Page 30123]]
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(3) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(4) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored in binders in file cabinets.
RETRIEVABILITY:
Records are filed alphabetically by location.
SAFEGUARDS:
All physical access to the Department of Education site where this
system of records is maintained, is controlled and monitored by
security personnel who check each individual entering the building for
his or her employee or visitor badge.
RETENTION AND DISPOSAL:
Superseded policy materials are maintained by the Director, Quality
Workplace Group for historical purposes. Records at other Department
locations are maintained until the Parking Control purpose has been
met, and the records are then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Quality Work Group (QWG), Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2E315,
Washington, DC 20202.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, provide the system manager with your name,
social security number, agency and office and the location where
Department parking is provided. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
Same as Notification Procedure. Requesters should also reasonably
specify the record contents sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
Contact the system manager at the address specified under
notification procedure above, and reasonably identify the record and
specify the information to be contested. Your request must meet the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system are obtained from reports submitted by
Department Staff, Principal Offices and Regional Offices, GSA-Federal
Management circulars and Federal Property Management Regulations.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-02
SYSTEM NAME:
Family Educational Rights and Privacy Act (FERPA) and the
Protection of Pupil Rights Amendment (PPRA) Record Systems.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Family Policy Compliance Office, Office of Management, U.S.
Department of Education, Room 2W100, Washington, DC 20202-4506.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have made inquiries or who have filed complaints
alleging violations of provisions in FERPA and PPRA; and those who have
commented to the Department on its proposed rules and practices.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of correspondence alleging violations of FERPA
and PPRA as well as comments submitted to the Department on its
proposed rules and practices.
AUTHORITY OF MAINTENANCE OF SYSTEM:
Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and
Protection of Pupil Rights Amendment (20 U.S.C. 1232h).
PURPOSE(S):
Information contained in this system is used to resolve disputes
regarding violations of FERPA and PPRA.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) 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.
[[Page 30124]]
(7) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(8) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(9) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in hard-copy form filed in standard
lockable file cabinets, or on electronic files in which case document
disks are kept in lockable file cabinets.
RETRIEVABILITY:
Records are indexed under the names of institutions against which
individuals are alleging violations of FERPA.
SAFEGUARDS:
Direct access is restricted to FPCO staff; main files are left in
locked file cabinets when not in use.
RETENTION AND DISPOSAL:
Inquiry records are maintained a minimum of three years; complaint
and investigative records are maintained a minimum of five years after
the case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Family Policy Compliance Office, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2W100, Washington, DC 20202-
4056.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in this system is obtained from incoming
correspondence, responses and material obtained during the course of
any investigation.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-04
SYSTEM NAME:
Discrimination Complaints Records System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Equal Employment Opportunity Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue SW, Room 2W228,
Washington, DC 20202-4550.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on individuals--employees as well as
applicants for employment--or groups of individuals who have filed
Equal Employment Opportunity (EEO) complaints of discrimination on the
basis of race, color, religion, sex (including sexual harassment or
sexual orientation), national origin, age, disability, or reprisal for
having engaged in a prior EEO activity.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of records concerning the
Department's formal complaints of discrimination processes, including
counselor' reports, the initial allegations and efforts at resolution,
letters or notices to the individual or class agent, materials placed
into the record to support or refute the decision or determination,
statements to witnesses, investigative reports, instructions about
action to be taken to comply with decisions, and related
correspondence, opinions and recommendations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR
1614.
PURPOSE(S):
The Equal Employment Opportunity Group uses the information
contained in this system to adjudicate complaints or appeals, to
provide a basis for a corrective action related to the discrimination
situation and as a data source for management information for
production of descriptive statistics and analytical studies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.
(1) Disclosure to OMB, MSPB and EEOC. The Department may disclose
records to the Office of Personnel Management, Merit Systems Protection
Board (including its Office of the Special Counsel), or the Equal
[[Page 30125]]
Employment Opportunity Commission for the purpose of carrying out their
functions.
(2) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(3) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event of litigation where one of the
parties listed below is involved in litigation or ADR, or has an
interest in litigation ADR, the Department may disclose certain records
to the parties described in paragraphs (b), (c) and (d) of this routine
use under the conditions specified in those paragraphs:
(i) The Department, or any component of the Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to directly affect the Department or any of its
components.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in file folders and binders inside a
file room centrally situated within the EEOG office.
RETRIEVABILITY:
The records are indexed by formal complaint case numbers, and
cross-referenced by a separate log identifying the names of the
individuals or class agents on whom they are maintained.
SAFEGUARDS:
Access to and use of these records are limited to those persons
whose official duties require access. Physical security of the file
room and entire office area involves lockable entry doors with off-the-
master keys.
RETENTION AND DISPOSAL:
The complaint cases of discrimination may be retired to the Federal
Records Center three years after their final disposition through the
administrative (and judicial, as applicable) processes.
SYSTEM MANAGERS AND ADDRESS:
Director, Equal Employment Opportunity Group, Office of Management,
U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC
20202-4550.
NOTIFICATION PROCEDURE:
If you wish to determine if a record exists regarding you in this
system of records, contact the system manager at the address listed
above. You should include your name, date of birth, Departmental
principal office in which the situation arose, the approximate date,
and the type of action taken. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, follow the procedures described above under Notification
Procedure. You should also reasonably specify the record contents being
sought. Your request must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest information contained in this system of
records, you should contact the system manager at the address listed
above. You should reasonably identify the record and specify the
information to be contested. Your request should satisfy the
requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system is obtained from individuals to whom the
record pertains, Department officials or other officials, statements
from employees or other witnesses, official documents pertinent to the
complaint and correspondence from specific organizations or persons.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-05
SYSTEM NAME:
Grievances Filed Formally Under the Administrative Grievance
Procedure.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E200, Washington, DC 20202.
See the Appendix at the end of this system notice for additional
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on non-bargaining unit employees of
the Department regardless of type of appointment, who individually or
as a group, request personal relief in a matter of concern or
dissatisfaction which is subject to the control of Department
management. This includes former employees of the Department for whom a
remedy can be provided as well as applicants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information or documents relating to the grievance and personal
relief sought, materials used in consideration of the grievance, and
correspondence related to disposition of the grievance, including but
not limited to the formal grievance, fact finder's report, final
decision, and all other related documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302.
PURPOSE(S):
The information contained in this system is to consider and settle
matters of dissatisfaction or concern of covered individuals.
[[Page 30126]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) 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
[[Page 30127]]
request of that individual. The member's right to the information is no
greater than the right of the individual who requested it.
(12) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy stored in file folders, on
computers and in handwritten logs for Human Resources. Summary data of
records are also maintained in a computerized tracking system.
RETRIEVABILITY:
Records are indexed alphabetically by organization and year.
SAFEGUARDS:
Access to and use of these records are limited to those persons
with a ``need-to-know'' and whose official duties require such access.
Personnel screening is employed to prevent unauthorized disclosure.
Computers are password protected for individuals with access. All data
bases are designed with stringent security measures to control
individual users' ability to access and alter records within the
system.
RETENTION AND DISPOSAL:
Records are retained for three (3) years after the grievance case
is closed, and are then destroyed, as set forth in the General Records
Schedule 1, Civilian Personnel Records, Item 30(a).
SYSTEM MANAGER(S) AND ADDRESS:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 2W300,
Washington, DC 20202. See the Appendix at the end of this system notice
for additional system managers.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to records regarding you in this system
of records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.
RECORD SOURCE CATEGORIES:
Information in this system of records is supplied from the
following sources: Directly by the individual filing the grievance,
from information supplied by the individual, by testimony of witnesses,
employee representatives, Department employees or officials.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
Appendix to 18-05-05
Additional System Locations and System Managers
Director, Human Resources Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Washington, DC
20202.
Employee Relations Team, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E233, Washington, DC
20202-4737.
U.S. Department of Education, Regional Personnel Office O'Neill
Federal Building, 10 Causeway Street, Room 1095 Boston, MA 02222.
U.S. Department of Education, Regional Personnel Office 75 Park
Place, 12th Floor, New York, NY 10007.
U.S. Department of Education, Regional Personnel Office 3535 Market
Street, Room 16300, Philadelphia, PA 19104.
U.S. Department of Education, Regional Personnel Office 61 Forsyth
Street, SW, Suite 18T55, Atlanta, GA 30303.
U.S. Department of Education, Regional Personnel Office 111 N. Canal
Street, Room 1084, Chicago, IL 60606.
U.S. Department of Education, Regional Personnel Office 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.
U.S. Department of Education, Regional Personnel Office 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.
U.S. Department of Education, Regional Personnel Office 1244 Speer
Boulevard, Room 353, Denver, CO 80204-3582.
U.S. Department of Education, Regional Personnel Office 50 United
Nations Plaza, Room 207, San Francisco, CA 94102-4987.
U.S. Department of Education, Regional Personnel Office 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.
18-05-06
SYSTEM NAME:
Grievance Records Filed under Procedures Established By Labor-
Management Negotiations.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on present and past bargaining unit
employees of the Department covered by the Collective Bargaining
Agreement between the Department and American Federation of Government
Employees Council 252.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of a variety of records relating to
an employee's grievance filed under procedures established by labor-
management negotiations including employee's name, Social Security
number, grade, job title, testimony of witnesses, material placed into
the record to support the decision, the arbitrator's decision, the
arbitrator's report, and a record of an appeal to the Federal Labor
Relations Authority.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7101.
PURPOSE(S):
The information in this system is used to make determinations and
to document a decision made on a grievance filed by an employee under
the negotiated grievance procedures. Information from this system may
be used by Department officials for preparing statistical summary or
management reports.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the
[[Page 30128]]
Act, under a computer matching agreement.
(1) Agency Disclosure. The Department may disclose information from
this system to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of Special Counsel), Equal
Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the
Federal Systems Impasses Panel) to facilitate their administrative or
enforcement functions.
(2) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
(3) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(4) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.
(5) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(6) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(7) Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support. The Department may disclose records to
OMB as necessary to fulfill CRA requirements.
(8) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed below
is involved in litigation or ADR, or has an interest in litigation ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Department of Education, or any component of the
Department; or
(ii) Any Department employee in his or her official capacity; or
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;
(vi) The arbitrator that the Department and AFGE Council 252
contracts to hear arbitration hearings as the result of invocation of
arbitration under the collective bargaining agreement between them.
(b) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.
(c) Administrative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the administrative litigation, The
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in hard copy and a list of individual names
is maintained in electronic media.
RETRIEVABILTY:
Records are retrievable by file number which are cross-referenced
by individual names.
SAFEGUARDS:
When not in use by authorized persons, these records are stored in
metal file cabinets stored within the secured suite of the Labor
Relations Group. Access to and use of these records are limited to
personnel who have a need for the records in the performance of their
duties.
RETENTION AND DISPOSAL:
Records are destroyed 5 years after final resolution of case.
SYSTEM MANAGER(s) AND ADDRESS:
Director, Labor Relations Group, Office of Management, U.S.
Department of Education, 400 Maryland Ave., SW., Room 2C136,
Washington, DC 20202-4754.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, provide the system manager with your name,
approximate date of grievance, and management
[[Page 30129]]
component and/or individual against whom the grievance was filed. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.
RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the at 34 CFR 5b.5, including proof of identity.
CONTESTING RECORD PROCEDURES:
If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained directly from
information supplied by the individual; testimony of witnesses, union
officials, or by Department officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
18-05-07
SYSTEM NAME:
Unfair Labor Practice Records.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-
4754.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on present and past Department
employees and union officials.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records consists of a variety of records relating to
an unfair labor practice charge including the employee's name, Social
Security number, grade, job title, employment history and a variety of
work and personnel records associated with the charges and required
under proceedings established by 5 U.S.C. 7101 and Department of Labor
Regulations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7101.
PURPOSES:
The information in this system is used in the processing,
investigation and litigation of unfair labor practice charges that may
be filed by the AFGE Council 252, any of the AFGE Local offices located
at Department Headquarters and each of 10 regional offices and by
bargaining unit employees of the Department.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis
or, if the Department has complied with the computer matching
requirements of the Act, under a computer matching agreement.
(1) 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 he
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