30106 Federal Register /Vol. 64, No. 107/Friday, June 4 ... · Federal Register/Vol. 64, No. 107/Friday, June 4, 1999/Notices 30107 intends to apply the same routine use to more than

30106 Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices

DEPARTMENT OF EDUCATION

Privacy Act of 1974; Systems ofRecords

AGENCY: Department of Education.ACTION: Notice of new, amended, alteredand deleted systems of records.

SUMMARY: The Acting Chief InformationOfficer for the Department of Educationpublishes this notice of New, Amended,Altered and Deleted Systems of Records.On May 14, 1998, the President directedexecutive departments and agencies to,among other things, review all systemsfor accuracy, completeness and toensure that all routine uses are neededand consistent with the purposes forwhich the records were collected ineach system. This document is a resultof that review.DATES: Comments on the proposedroutine uses for the systems of recordsincluded in this notice must be receivedby the Department on or before July 6,1999. The Department filed a reportdescribing the new and altered systemsof records covered by this notice withthe Chair of the Committee onGovernmental Affairs of the Senate, theChair of the Committee on GovernmentReform and Oversight of the House, andthe Administrator of the Office ofInformation and Regulatory Affairs,Office of Management and Budget(OMB) on May 14, 1999. The changesmade in this notice will becomeeffective after the 30-day period forOMB review of the systems expires onJune 14, 1999; unless OMB givesspecific notice within the 30 days thatthe changes are not approved forimplementation or requests anadditional 10 days for its review. Theroutine uses become effective 30 daysafter publication unless they need to bechanged as a result of public commentor OMB review. The Department willpublish any changes to the routine uses.ADDRESSES: All comments on theproposed routine uses should beaddressed to Bill Burrow, Office of ChiefInformation Officer, Acting InformationManagement Group Leader, U.S.Department of Education, Room 5624Regional Office Building, 400 MarylandAvenue, SW., Washington, DC 20202–4580. Telephone: 202–401–0250.Comments may also be sent through theInternet to:[email protected] must include the term ‘‘System ofRecords’’ in the subject line of theelectronic comment.

All comments submitted in responseto this notice will be available for publicinspection, during and after the

comment period, in Room 5624Regional Office Building, 7th and DStreets, S.W., Washington, DC, betweenthe hours of 8 a.m. and 4:30 p.m.,Eastern time, Monday through Friday ofeach week except Federal holidays.

On request the Department suppliesan appropriate aid, such as a reader orprint magnifier, to an individual with adisability who needs assistance toreview the comments or otherdocuments in the public rulemakingdocket for this notice. An individualwith a disability who wants to schedulean appointment for this type of aid maycall (202) 205–9265 or (202) 260–0250.An individual who uses a TDD may callthe Federal Information Relay Service at1–800–877–8339 between 8 a.m. and 8p.m., Eastern Time, Monday throughFriday.FOR FURTHER INFORMATION CONTACT: BillBurrow, Office of Chief InformationOfficer, Acting Information ManagementGroup Leader, U.S. Department ofEducation, Room 5624 Regional OfficeBuilding, 400 Maryland Avenue, SW.,Washington, DC 20202–4580.Telephone: 202–401–0250. Individualswho use a telecommunications devicefor the deaf (TDD) may call the FederalInformation Relay Service (FIRS) at 1–800–877–8339 between 8 a.m. and 8p.m., Eastern time, Monday throughFriday.

Individuals with disabilities mayobtain this document in an alternateformat (e.g., Braille, large print,audiotape, or computer diskette) onrequest to the contact person listed inthe preceding paragraph.SUPPLEMENTARY INFORMATION:

Electronic Access to This DocumentAnyone may view this document, as

well as all other Department ofEducation documents published in theFederal Register, in text or PortableDocument Format (PDF) on the WorldWide Web at either of the followingsites:http://ocfo.ed.gov/fedreg.htmhttp://www.ed.gov/news.html

To use the PDF you must have theAdobe Acrobat Reader Program withSearch, which is available free at eitherof the previous sites. If you havequestions about using PDF, call the U.S.Government Printing Office toll free at1–888–293–6498.

Anyone may also view thesedocuments in text copy only on anelectronic bulletin board of theDepartment. Telephone: (202) 219–1511or, toll free, 1–800–222–4922. Thedocuments are located under OptionG—Files/Announcements, Bulletins andPress Releases.

Note: The official version of this documentis the document published in the FederalRegister.

IntroductionIn a memorandum dated May 14,

1998, President Clinton directedexecutive departments and agencies(agencies) to conduct a thorough reviewfor accuracy and completeness of allagency systems of records. ThePresident specifically directed agenciesto consider changes in technology,function and organization that may havemade the systems out of date and toreview the routine uses published in thesystem notices to make sure that theycontinue to be necessary and compatiblewith the purposes for which they werecollected. He also directed agencies toidentify systems that may not have beendescribed in a notice published in theFederal Register and to publish noticesfor any changes to the agency systemsof records and report to the Office ofManagement and Budget within oneyear regarding the results of their efforts.

The Act (5 U.S.C. 552a)(e)(4) requiresthe Department to publish in theFederal Register this notice of changesto systems of records managed by theDepartment. The Department’sregulations implementing the Act arecontained in the Code of FederalRegulations (CFR) in 34 CFR part 5b.

The Privacy Act of 1974 (Privacy Act),5 U.S.C. 552a, applies to informationabout individuals that containindividually identifiable informationand that may be retrieved by a uniqueidentifier associated with eachindividual, such as a name or socialsecurity number. The information abouteach individual is called a ‘‘record’’ andthe system, whether manual orcomputer-driven, is called a ‘‘system ofrecords.’’ The Act requires each agencyto publish notices of systems of recordsin the Federal Register and to preparereports to the Office of Management andBudget (OMB) whenever the agencypublishes a new or ‘‘altered’’ system ofrecords. A system is considered alteredwhenever certain fundamental changesare made to the system such as changingfrom a manual to automated system ofrecords or whenever certain disclosures,called ‘‘routine uses,’’ are changed inthe system of records.

Most of the changes made by thisnotice are technical in nature, reflectingthe current name and address of theoffice responsible for each system. Everyeffort has been made to update thenotices to make them more ‘‘readerfriendly,’’ dispensing with traditionalbureaucratic language. As part of thatprocess, all the routine uses have beenupdated and, where the Department

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30107Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices

intends to apply the same routine use tomore than one system, the samelanguage is used for all systems that usethe routine use. The intent is not tosubstantively change any of the routineuses but to make them clearer andconsistent. However, because theDepartment is applying these revisionsto all of its systems of records, the ChiefInformation Officer decided to treat allsystems included in this notice asaltered systems of records.

Many of the system notices includedin this Federal Register notice have notbeen updated since they were publishedin a Federal Register compilation ofDepartment system notices on April 20,1982. As a result, revisions are neededto accurately describe the currentsystems of records.

Deleted SystemsThe Department identified 22 systems

to be deleted after finding that they areeither no longer needed to administerthe Department’s programs or activitiesor that they duplicate other systemsmaintained by the Department or otheragencies such as the Office of PersonnelManagement. The numbers for thesesystems are based on the identificationsystem used by the Department up tothis date.18–07–0002 Congressional Correspondence.18–11–0005 Safety Management

Information System (Department ofEducation Accident, Injury and IllnessReporting System).

18–11–0007 Applicants for EmploymentRecords.

18–11–0010 Employee Alcoholism, DrugAbuse and Emotional ProblemCounseling and Referral Records.

18–11–0011 Employee Appraisal ProgramRecords.

18–11–0012 Executive DevelopmentRecords System.

18–11–0018 Personnel Records inOperating 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 FieldReaders to Review Proposals for theDepartment.

18–40–0002 Registry of Deaf-BlindChildren/Regional-National.

18–40–0003 Students Participation in Deaf-Blind Programs Under Centers andServices for Deaf-Blind Children.

18–40–0004 Parent Participants in Deaf-Blind Programs Provided by RegionalCenters for Deaf-Blind Children.

18–40–0005 Participant Waiting List forProjects Serving Severely HandicappedChildren and Youth.

18–40–0006 Participants of Projects ServingSeverely Handicapped Children andYouth.

18–40–0007 Participants in WorkshopsConcerning Severely HandicappedChildren and Youth.

18–40–0009 Selective Service RegistrationCompliance File.

18–40–0021 Student Financial Assistance—Compliance Files.

18–40–0032 Record of Advances of Fundsfor Employees Traveling for theDepartment of Education.

18–40–0038 National Science ScholarsProgram.

18–42–0065 NIE Outside Experts.

New Numbering System

The Department establishes a newnumbering system for its systems ofrecords. The following list identifieseach system notice published in thisdocument based on the new numberingsystem.18–01–01 Secretary’s Communication

Control System.18–01–02 Education Senior Management

Biographies.18–02–01 Even Start Performance

Information Reporting System andExperimental Design Study.

18–03–01 Debarment and SuspensionProceedings Under Executive Order12549, the Drug-Free Workplace Act, andthe Federal Acquisition Regulations.

18–03–02 Education’s Central AutomatedProcessing System (EDCAPS).

18–03–03 Receivables Management System.18–03–04 Files and Lists of Potential and

Current Consultants, Grant ApplicationReviewers, Peer Reviewers, and SiteVisitors.

18–04–01 Freedom of Information,Correspondence and Case Files.

18–04–02 Freedom of Information Act andPrivacy Act Tracking System.

18–05–01 Departmental Parking ControlPolicy.

18–05–02 Family Educational Rights andPrivacy Act (FERPA) and Protection ofPupil Rights Amendment (PPRA) RecordSystems.

18–05–03 Federal Personnel PayrollSystem.

18–05–04 Discrimination ComplaintsRecords System.

18–05–05 Grievances Filed Formally Underthe Administrative GrievanceProcedures.

18–05–06 Grievance Records Filed UnderProcedures Established by Labor-Management Negotiations.

18–05–07 Unfair Labor Practice Records.18–05–08 Official Time Records of Union

Officials and Bargaining Unit Employeesat the Department of Education.

18–05–09 Voluntary Leave TransferProgram.

18–05–10 General Performance AppraisalSystem (GPAS).

18–05–11 Training Registration andInformation System (TRAINS).

18–05–12 Grievances Filed Informallythrough the Informal Dispute ResolutionCenter (IDR).

18–06–01 Federal Advisory CommitteeMembership Files.

18–06–02 Telephone Directory/LocatorSystem.

18–06–03 Presidential Scholars Files ofSelected Participants.

18–07–01 Congressional Members’Biographies.

18–07–02 Congressional Grant NotificationControl 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 PersonnelActions.

18–10–01 Investigative Files of theInspector General.

18–10–02 Investigatory Material Compliedfor Personnel Security and SuitabilityPurposes.

18–10–03 OIG Non-Federal AuditorReferral, Suspension, and DebarmentFile.

18–10–04 Hotline Complaint Files of theInspector General.

18–11–01 Federal Student Aid ApplicationFile.

18–11–02 Recipient Financial ManagementSystem.

18–11–03 Student Financial AssistanceValidation 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 theFederal Register of June 1, 1999).

18–11–09 Postsecondary EducationParticipants System (PEPS).

18–12–01 Title IV Foreign Language andArea Studies Program.

18–12–02 Fulbright-Hays DoctoralDissertation Research Abroad, Fulbright-Hays Faculty Research Abroad, andFulbright-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 theSchool and Staffing Surveys.

18–13–02 National Center for EducationStatistics Affidavits of Nondisclosure.

18–13–03 National Center for EducationStatistics’ National Assessment ofEducational Progress.

18–13–04 Outcomes of Diversity in HigherEducation Surveys.

18–14–01 Educationally DisadvantagedStudents Attending Private SchoolsServed Through Bypass Contracts.

18–14–02 Fellowships for IndianStudents—Applications and Awards.

18–15–01 Bilingual Education GraduateFellowship Program.

New Systems of RecordsOf the systems identified in the

preceding list, the following systems ofrecords have been identified as new:

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18–02–01 Even Start PerformanceInformation Reporting System andExperimental Design Study.

18–04–02 Freedom of Information Act andPrivacy Act Tracking System.

18–05–09 Official Time Records of UnionOfficials and Bargaining Unit Employeesat the Department of Education.

18–05–10 Voluntary Leave TransferProgram.

18–05–11 General Performance AppraisalSystem (GPAS).

18–05–12 Training Registration andInformation System (TRAINS).

18–07–01 Congressional Members’Biographies.

18–07–01 Congressional Grant NotificationControl 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 arein the current compilation of systems ofrecords and continue to be necessary foroperation of Department programs oractivities. However, technical issuesdelayed their inclusion in thispublication. The Department willpublish revised notices for thesesystems as soon as the technical issuescan 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 theU.S. Department of Education publishesnotice of the following systems ofrecords managed by the Department:

18–01–01

SYSTEM NAME:

Secretary’s Communications ControlSystem.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Office of the Executive Secretariat,Office of the Secretary, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 7C114, Washington, DC20202. See the Appendix at the end ofthis system notice for additional systemlocations.

CATEGORIES OF INDIVIDUALS COVERED BY THESYSTEM:

This system contains records aboutindividuals who have contacted theSecretary, Deputy Secretary, SeniorOfficers or other officials of theDepartment for whom the Departmentcontrols responses.

CATEGORIES OF RECORDS IN THE SYSTEM:This system includes the following

types of records: (1) The officialcorrespondence files of each principaloffice within the Department, and whereapplicable, a principal office’scomponent office, specifically the hardcopies of official documents andelectronic images of certain incomingand outgoing documents; (2) controlinformation from the Secretary’s,Deputy Secretary’s, Senior Officers’ andother officials’ correspondence thatinclude a subject narrative, the name ofthe organization drafting the responseand the type of action required from theDepartment; and (3) records ofresponses to some telephone inquirieswhere officials determine that a writtenresponse 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 correspondencereceived by the Department, includingcorrespondence regarding individualconcerns and complaints regardingprograms administered by the Secretary.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSE OF SUCH USES:

The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurpose for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.

(1) Government and PrivacyOrganization Disclosure. TheDepartment may disclose records togovernmental entities and privateorganizations as necessary to resolvecomplaints, provide guidance, respondto requests for documents andinformation, and address concernsregarding those entities andorganizations.

(2) Congressional Disclosure. TheDepartment may disclose records to a

member of Congress from the record ofan individual in response to an inquiryfrom the member made at the writtenrequest of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(3) Litigation and Alternative DisputeResolution (ADR) Disclosures.

(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation or ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) or (d) ofthis routine use under the conditionsspecified in those paragraphs:

(i) The Department of Education, anycomponent of the Department; or

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

(iii) Any Department employee in hisor her individual capacity if theDepartment of Justice (DOJ) has agreedto provide or arrange for representationfor the employee; or

(iv) Any Department employee in hisor her official capacity where the agencyhas agreed to represent the employee; or

(v) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(b) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ.

(c) Administrative Disclosure. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.

(d) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in litigation oran administrative proceeding in whichthe Department has an interest isrelevant and necessary to the litigationor proceeding, the Department maydisclose those records as a routine useto the party, counsel, representative orwitness.

DISCLOSURE TO CONSUMER REPORTINGAGENCIES:

Disclosures pursuant to 5 U.S.C.552a(b) (12): The Department maydisclose to a consumer reporting agency



information regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

The records are maintained in hardcopy filed in standard file cabinets;those stored electronically are locatedon computer disks and on backupmedia.

RETRIEVABILITY:

Files are indexed and retrievable bysubject, name of the individual or by thedocument’s control number that isassigned at the time the correspondenceis logged into the Department.

SAFEGUARDS:

All physical access to the Departmentof Education sites are controlled andmonitored by security personnel whocheck each individual entering thebuilding for his or her employee orvisitor badge. During working hours,direct access to the file cabinets islimited to authorized staff. During non-working hours, the rooms in which thefile cabinets are located are locked andonly those individuals with access tothose rooms can access the hard copiesof records.

The computer systems employed bythe Department of Education offer ahigh degree of resistance to tamperingand circumvention.

RETENTION AND DISPOSAL:

Hard copy records are transferred tothe Washington National Records Centerone year after cutoff then transferred tothe National Archives and RecordsAdministration 10 years after cutoff.Control records on computer are storedindefinitely. Electronic images areretained based on regular recordsdisposal or retention policies identicalto hard copies.

SYSTEM MANAGER(S) AND ADDRESS:

Executive Secretariat, Office of theSecretary, 400 Maryland Avenue, SW.,

Room 7C114, Washington, DC 20202.See Appendix the end of this systemnotice for additional system managers.

NOTIFICATION PROCEDURE:

If you wish to determine whether arecord exists regarding you in thissystem of records, contact the systemmanager at the address listed in theAppendix at the end of this systemnotice. You should indicate your name,the date of the subject documents andreasonable description of the subjectmatter of the issue involved. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.

RECORD ACCESS PROCEDURES:

To gain access to records regardingyou in this system of records, follow theNotification Procedure described above.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURES:

If you wish to contest the content ofa record regarding you in this system ofrecords, contact the system manager atthe address listed in the Appendix atthe end of this system notice, andreasonably identify the record andspecify the information to be contested.Your request must meet therequirements of the regulations at 34CFR 5b.7.

RECORD SOURCE CATEGORIES:

Records are derived from documentsaddressed to or by the Secretary, theDeputy Secretary, Senior Officials orother officials of the Department.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONSOF THE ACT:

None.

Appendix to 18–01–01

Additional System Locations and SystemManagers

Director, Correspondence & CommunicationControl Unit, Office of the ExecutiveSecretariat, Office of the Secretary, U.S.Department of Education, 400 MarylandAvenue, SW., Room 7C114, Washington,DC 20202.

Management Analyst, Office of ChiefFinancial and Chief Information Office,U.S. Department of Education, 400Maryland Avenue, SW., Room 4E213,Washington, DC 20202.

Supervisor, Management and ProgramAnalyst, Office for Civil Rights, U.S.Department of Education, 330 C Street,SW., Room 5026, Washington, DC 20202.

Staff Assistant, Office of the DeputySecretary, U.S. Department of Education,400 Maryland Avenue, SW., Room7W210, Washington, DC 20202.

Program Management Analyst, Office ofEducational Research and Improvement,U.S. Department of Education, 555 NewJersey Avenue, NE., Room 602,Washington, DC 20202.

Policy Coordinator Analyst, Office ofElementary and Secondary Education,U.S. Department of Education, 400Maryland Avenue, SW., Room 3W337,Washington, DC 20202.

Operations Officer, Office of GeneralCounsel, U.S. Department of Education,400 Maryland Avenue, SW., Room6E353, Washington, DC 20202.

Staff Assistant, Office of Intergovernmentaland Interagency Affairs, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 5E317, Washington, DC20202.

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

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

Deputy Director, Office of Public Affairs, U.S.Department of Education, 400 MarylandAvenue, SW., Room 7E231, Washington,DC 20202.

Management and Program Analyst, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4082, Washington,DC 20202.

Customer Service Specialist, Office of SpecialEducation and Rehabilitative Services,U.S. Department of Education, 400Maryland Avenue, SW., Room 3113,Washington, DC 20202.

Executive Secretariat Liaison, Office ofVocational and Adult Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4090, Washington,DC 20202.

18–01–02

SYSTEM NAME:

Education Senior ManagementBiographies.


None.

SYSTEM LOCATION:

Office of the Secretary, Office ofPublic Affairs (OPA), U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 7E200, Washington, DC20202.


This system contains information onDepartment of Education(Department)senior managementofficials, including the Secretary,Deputy Secretary, Under Secretary,General Counsel, and AssistantSecretaries.



CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of a short

biography and a standard portraitphotograph, both of which the seniorDepartment official may elect toprovide. The biography includes theofficial’s name, title, office, and a briefoverview of the duties performed at theDepartment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301

PURPOSES(S):The information contained in this

system is made available to the publicand staff of the Department who have aninterest in seeing the photographs orreading the background information onsenior Department officials.


The Department (Department) maydisclose information contained in arecord in this system of records underthe routine uses listed in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purposes for whichthe record was collected. Thesedisclosures may be made on a case-by-case basis or, if the Department hascomplied with the computer matchingrequirements of the Act, under acomputer matching agreement.

(1) General Interest Disclosure. Therecords in this system may be releasedto the public who have an interest in thebackground or photographs or both ofDepartment senior officials.

(2) Media Disclosure. The Departmentmay disclose records in this system foruse by the news media and educationorganizations when preparing articles,interviews or presentations at meetingswith senior Department officials.


Not applicable to this system notice.


STORAGE:The biographies and photographs are

available in electronic format on theDepartment’s Internet website (http://www.ed.gov). Hard copies of thebiographies and photographs are kept infile cabinets in OPA and in theindividual offices of the respectiveDepartment senior officials.

RETRIEVABILITY:The biographies and photographs are

indexed by the officials’ last names inalphabetical order. The general public is

encouraged to access this informationvia the Department’s website (http://www.ed.gov). Hard copies are retrievedby the last name of the seniorDepartment official.

SAFEGUARDS:No safeguards are in place since the

Department senior management officialsagree to the release of this informationto the general public.

RETENTION AND DISPOSAL:Paper copies of biographical

information of senior level officials aretransferred to the National Archives andRecords Administration for permanentpreservation at the end of each calendaryear. Electronic copies of biographicalinformation are periodically updated ascircumstances warrant due topromotions, reassignments, resignationsand death.

SYSTEM MANAGER AND ADDRESS:Deputy Director, Office of Public

Affairs (OPA), U.S. Department ofEducation, 400 Maryland Avenue, SW.,7E200, Washington, DC 20202.

NOTIFICATION PROCEDURE:If you wish to determine whether a

record exists regarding you in thissystem of records, provide the systemmanager with your name, title and officeat the time your biographicalinformation was submitted. Requests fornotification about an individual mustmeet the requirements of the regulationsat 34 CFR 5b.5.

RECORD ACCESS PROCEDURES:If you wish to gain access to a record

in this system, contact the systemmanager and provide the informationdescribed above in the NotificationProcedure.

CONTESTING RECORD PROCEDURES:If you wish to contest the content of

a record, contact the system manager.Any requests to amend a record mustmeet the regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information in this system is obtained

from the Offices of the Secretary, theDeputy Secretary, the Under Secretary,the General Counsel and the AssistantSecretaries.


None.

18-02-01

SYSTEM NAME:Even Start Performance Information

Reporting System and ExperimentalDesign Study.


None.

SYSTEM LOCATION(S):

Division of the Planning andEvaluation Service, Office of Elementaryand Secondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 6W231,Washington, DC 20202.

Fu Associates, Ltd., 2300 ClarendonBoulevard, Suite 1400, Arlington, VA22201.


This system contains records on thefamilies and individuals (parents andchildren) who are participants in thestudy.

CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of the names andaddresses of the program participants aswell as their responses to interviewquestions.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 6369.

PURPOSE(S):

The information in this system is usedfor the following purposes: (1) To fulfillthe requirement in the Even Startlegislation for evaluation of theeffectiveness of the Even Start program;(2) To respond to the requirements ofthe Government Performance andResults Act (GPRA) to report outannually on indicators of programperformance; (3) To meet the evaluationrequirements of the EducationDepartment’s General AdministrativeRegulations (EDGAR) which stipulatethat all grantees conduct annualevaluations; (4) To provide performancedata useful to local, State, and Federaladministrators, legislators, and policy-makers for program improvement andpolicy development; (5) To improve onperformance indicators that can be usedto review the program’s implementationand impact; (6) To add to the knowledgebase on the effects of family literacyprograms by investigating therelationships between programprocesses and outcomes; (7) To provideevaluation data that can serve as a baseon which additional evaluation studiesthat might be funded separately couldbuild; and (8) To provide an analysis ofchanges over time in areas such as thetypes of families served by Even Start,the nature of Even Start projects, andthe estimated gains made by adults andchildren while in the program.




The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.


(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) and (d)of this routine use under the conditionsspecified in those paragraphs:

(i) The Department of Education, orany component of the Department; or


(iii) Any Department employee in hisor her individual capacity if theDepartment of Justice (DOJ) has agreedto provide or arrange for representationfor the employee;

(iv) Any Department employee in hisor her individual capacity where theagency has agreed to represent theemployee; or



(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.

(d) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, the

Department may disclose those recordsas a routine use to the party, counsel,representative or witness.

(2) Employment, Benefit, andContracting Disclosure.

(a) For Decisions by the Department.The Department may disclose a recordto a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, or to another public authorityor professional organization, ifnecessary to obtain information relevantto a Department decision concerning thehiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.

(b) For Decisions by Other PublicAgencies and ProfessionalOrganizations. The Department maydisclose a record to a Federal, State,local, or foreign agency or other publicauthority or professional organization,in connection with the hiring orretention of an employee or otherpersonnel action, the issuance of asecurity clearance, the reporting of aninvestigation of an employee, the lettingof a contract, or the issuance of alicense, grant, or other benefit, to theextent that the record is relevant andnecessary to the receiving entity’sdecision on the matter.

(3) Freedom of Information Act(FOIA) Advice Disclosure. TheDepartment may disclose records to theDepartment of Justice and the Office ofManagement and Budget if theDepartment concludes that disclosure isdesirable or necessary in determiningwhether particular records are requiredto be disclosed under the FOIA.

(4) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.

(5) Research Disclosure. TheDepartment may disclose records to aresearcher if an appropriate official ofthe Department determines that theindividual or organization to which thedisclosure would be made is qualified tocarry out specific research related tofunctions or purposes of this system ofrecords. The official may discloserecords from this system of records tothat researcher solely for the purpose ofcarrying out that research related to thefunctions or purposes of this system of

records. The researcher shall berequired to maintain Privacy Actsafeguards with respect to the disclosedrecords.

(6) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation if thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility within thereceiving entity’s jurisdiction.

(7) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant toone of the following proceedingsregarding a present or former employeeof the Department: complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.

(8) Labor Organization Disclosure. Acomponent of the Department maydisclose records to a labor organizationif a contract between the componentand a labor organization recognizedunder Title V of the United States Code,Chapter 71, provides that theDepartment will disclose personalrecords relevant to the organization’smission. The disclosures will be madeonly as authorized by law.


Not applicable to this system notice.


STORAGE:

The Department maintained recordson CD–ROM and the contractormaintains data for this system oncomputers and in hard copy.

RETRIEVABILITY:Records in this system are indexed by

a number assigned to each individualwhich is cross referenced by theindividual’s name on a separate list.

SAFEGUARDS:

All physical access to the Departmentof Education site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge.The computersystem employed by the Department



offers a high degree of resistance totampering and circumvention. Thissecurity system limits data access toDepartment and contract staff on a‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are givena unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.


Records are maintained and disposedof in accordance with the Department ofEducation’s Records DispositionSchedules (ED/RDS).


Director, Division of the Planning andEvaluation Service, Office of theElementary and Secondary Education,U.S. Department of Education, 400Maryland Avenue, SW., Room 6W231,Washington, DC 20202.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of regulations at 34 CFR5b.5, including proof of identity.


If you wish to gain access to a recordregarding you in the system of records,contact the system manager. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


If you wish to contest the content ofa record regarding you in the system ofrecords, contact the system manager.Your request must meet therequirements of the regulations at 34CFR 5b.7.


Responses from program participants.


None.

18–03–01

SYSTEM NAME:

Debarment and SuspensionProceedings under Executive Order(E.O.) 12549, the Drug-Free WorkplaceAct, and the Federal AcquisitionRegulation.


None.

SYSTEM LOCATION:

For records regarding actions underE.O. 12549 against individuals who areinvolved in nonprocurementtransactions related to Department ofEducation programs, actions under theDrug-Free Workplace Act, and actionsunder the FAR 9.4: Contracts &Purchasing Office, Office of the ChiefFinancial Officer, U.S. Department ofEducation, Seventh and D Streets, SW.,Room 3600, ROB-3, Washington, DC20202–4249.

For records regarding actions underE.O. 12549 against an individualcertified public accountant or principalsof a CPA firm: Planning, Analysis, andManagement Services, Office ofInspector General, U.S. Department ofEducation, 330 C Street, SW., Room4022, Switzer Building, Washington, DC20202–1510.

For records regarding actions underE.O. 12549 against principals ofinstitutions of higher education,principals of lenders, or principals ofguarantee agencies: AdministrativeActions and Appeals Division,Institutional Participation and OversightService, Office of Student FinancialAssistance Programs, U.S. Departmentof Education, Seventh & D Streets, SW.,Room 3082, ROB–3, Washington, DC20202–5267.


Principals undergoing debarment orsuspension proceedings and principalsthat have been debarred or suspended.Principals are officers, directors,owners, partners, key employees, orother persons who have a criticalinfluence on or substantive control overa covered transaction, whether or notemployed by a participant. Aparticipant is any person who submitsa proposal for, enters into, or reasonablymay be expected to enter into a coveredtransaction. A covered transaction isdescribed in the Department’sregulations at 34 CFR 85.110(a)(1).Individuals receiving grants subject torequirements under the Drug-FreeWorkplace Act. Individual contractorsundergoing debarment or suspensionproceedings and contractors that havebeen debarred or suspended.Contractors covered by this system ofrecords are individuals that directly orindirectly submit offers for or areawarded, or may reasonably be expectedto submit offers for or be awarded, agovernment contract, or who conductbusiness, or may reasonably be expectedto conduct business with theDepartment as an agent orrepresentative of another contractor.


Contains documents includingwritten referrals, communicationsbetween the Department and therespondent, intra-agency and inter-agency communications regardingproposed or completed debarments orsuspensions, and a record of anyfindings from debarment or suspensionproceedings against individuals underE.O. 12549, the Drug-Free WorkplaceAct, and the FAR 9.4.


Executive Order 12549, Debarmentand Suspension; secs. 5151–5160 of theDrug-Free Workplace Act; and theFederal Acquisition Regulation, 48 CFRpart 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 FederalGovernment from the actions prohibitedunder the Department of Education(Department) debarment and suspensionregulations, Drug-Free Workplaceregulations, and the FAR; makedecisions regarding debarments andsuspensions; and ensure that otherFederal agencies give effect todebarment or suspension decisionsrendered by the Department.


The Department may discloseinformation contained in a record inthis system of records under the routineuses listed in this system of recordswithout the consent of the individual ifthe disclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.

(1) Litigation Disclosure. In the eventthat one of the parties listed below isinvolved in litigation, or has an interestin litigation, the Department maydisclose certain records to the partiesdescribed in paragraphs (2), (3), and (4)of this routine use under the conditionsspecified in those paragraphs:



(iii) Any employee of Department inhis or her individual capacity where theDepartment of Justice has agreed toprovide or arrange for representation forthe employee; or



(iv) Any employee of Department inhis or her individual capacity where theagency has agreed to represent theemployee; or

(v) The United States whereDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(2) Disclosure to the Department ofJustice. If the Department determinesthat disclosure of certain records to theDepartment of Justice or attorneysengaged by the Department of Justice isrelevant and necessary to litigation andis compatible with the purpose forwhich the records were collected, theDepartment may disclose those recordsas a routine use to the Department ofJustice.

(3) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, individual orentity designated by the Department orotherwise empowered to resolvedisputes is relevant and necessary to theadministrative litigation and iscompatible with the purposes for whichthe records were collected, theDepartment may disclose those recordsas a routine use to the adjudicativebody, individual or entity.

(4) Opposing counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to an opposing counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation and iscompatible with the purpose for whichthe records were collected, theDepartment may disclose those recordsas a routine use to the counsel,representative or witness.

(5) Disclosure to the General ServicesAdministration. The Department makesinformation contained in this system ofrecords available to the General ServicesAdministration for inclusion in the Listsof Parties Excluded from FederalProcurement or NonprocurementPrograms.

(6) Disclosure to the Public. TheDepartment provides information topersons inquiring about individualswho have been debarred or suspendedby the Department as necessary toenforce debarment and suspensionactions.

(7) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, the relevantrecords in the system of records may bereferred, as a routine use, to the

appropriate agency, whether foreign,Federal, State, tribal, or local, chargedwith the responsibility of investigatingor prosecuting such violation or chargedwith enforcing or implementing thestatute, or executive order or rule,regulation, or order issued pursuantthereto.

(8) FOIA Advice Disclosure. In theevent the Department deems it desirableor necessary, in determining whetherparticular records are required to bedisclosed under the Freedom ofInformation Act, disclosure may bemade to the Department of Justice forthe purpose of obtaining its advice.

(9) Contract disclosure. If theDepartment contracts with an entity forthe purpose of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records as a routine use to thoseemployees. Before entering such acontract, the Department shall requirethe contractor to maintain Privacy Actsafeguards as required under 5 U.S.C.552a(m) with respect to the records inthe system.

(10) Research Disclosure. Where theappropriate official of the Departmentdetermines that an individual ororganization is qualified to carry outspecific research, that official maydisclose information from this system ofrecords to that researcher solely for thepurpose of carrying out that research.The researcher shall be required tomaintain Privacy Act safeguards withrespect to such records.

(11) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the writtenrequest of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.


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 iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee badge. Files are kept in locked

file cabinets. Immediate access to theserecords is restricted to authorized staff.

RETENTION AND DISPOSAL:Pending disposal, Debarment and

Suspension records are retained at thesystem location. The Department willretain and dispose of the records inaccordance with the Department ofEducation Records DispositionSchedules (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, 400Maryland Avenue, SW., Room 3652,ROB–3, Washington, DC 20202–0498.

Assistant Inspector General forPlanning, Analysis, and ManagementServices, 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 andAppeals Division, InstitutionalParticipation and Oversight Service,Office of Student Financial AssistancePrograms, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 3082, ROB–3, Washington, DC20202–5267.

NOTIFICATION PROCEDURE:If an individual wishes to determine

whether a record exists regarding him orher in this system of records, theindividual must provide the systemmanager his or her name, date of birthand social security number. Requests fornotification about an individual recordmust meet the requirements of theregulations at 34 CFR 5b.5.

RECORD ACCESS PROCEDURES:If an individual wishes to gain access

to a record in this system, he or shemust contact the system manager andprovide information as described in thenotification procedure. Requests foraccess to an individual’s record mustmeet the requirements of the regulationsat 34 CFR 5b.5. Consistent with 5 U.S.C.552a(e)(5), the Department retains thediscretion not to disclose records to anindividual during the course of adebarment or suspension proceedingagainst the individual.

CONTESTING RECORD PROCEDURES:If an individual wishes to change the

content of a record in the system ofrecords, he or she must contact thesystem manager with the informationdescribed in the notification procedure,identify the specific item(s) to bechanged, and provide a writtenjustification for the change, including



any supporting documentation.Requests to amend a record must meetthe requirements of the regulations at 34CFR 5b.7.


Department employees involved inthe management of grants and contracts,and other organizations or persons thatmay have relevant informationregarding participants and theirprincipals.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONSOF THE ACT:

None.

18–03–02

SYSTEM NAME:

Education’s Central AutomatedProcessing System (EDCAPS).


None.

SYSTEM LOCATION(S):

Recipient System (RS), PaymentManagement Service & Reporting Unit,Financial Payments & Cash ManagementOperations, Office of the Chief FinancialOfficer, U.S. Department of Education,400 Maryland Avenue, SW., Room4W202, Washington, DC 20202.

Financial Management SoftwareSystem (FMSS), General Ledger SystemsGroup, Financial Reporting and SystemsOperations, Office of the Chief FinancialOfficer, U.S. Department of Education,400 Maryland Avenue, SW., Room4W202, Washington, DC 20202.

Contracts and Purchasing SupportSystem, 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. Contractsand Purchasing Support System (CPSS)National Finance Center, Department ofAgriculture, New Orleans, Louisiana.

Grants Administration and PaymentsSystem (GAPS) Grants and ContractManagement System (GCMS) and thePayment Management System (PMS).The grant application portion of GAPSwill be managed by the Grants Policy &Oversight Staff, Office of the ChiefFinancial Officer, GSA Regional OfficeBuilding 3, Seventh & D Streets, SW,Room 3652, Washington, DC 20202–4651. The GAPS payment process willbe managed by Payment ManagementService & Reporting Unit, FinancialPayments & Cash ManagementOperations, Office of the Chief FinancialOfficer, Washington, DC 20202.


Categories of individuals includeemployees of the Department,consultants, contractors, grantees,advisory committee members, and otherindividuals receiving funds from thedepartment for performing services forthe Department. Although EDCAPScontains information about institutionsassociated with individuals, the purposefor which the Department collects andmaintains information under thissystem of records, and its usage of thisinformation, pertains only toindividuals protected under the PrivacyAct of 1974 (5 U.S.C. 552a).

CATEGORIES OF RECORDS IN THE SYSTEM:Records in this system contain the

individual’s name, address, SocialSecurity number, eligibility codes,detailed and summary obligation data,reports of expenditures, and grantmanagement data, including applicationand close out information.


PURPOSE(S):The purpose of EDCAPS is to

maintain financial and managementrecords associated with the normaloperations of the Department. Recordsare used for managing grant andcontract awards, making payments,accounting for goods and servicesprovided and received, enforcingeligibility requirements, conditions inawards and U.S. law relating totransactions covered by the system, anddefending the Department in actionsrelating to those transactions. EDCAPSconsists of four subsystems, as follows:

RS (Recipient System)RS serves as the recipient database for

EDCAPS land the central repository ofrecipients having a relationship with theDepartment (e.g., receiving grantees.) Itmaintains core information about arecipient and tracks reference data tosupport information on recipients (e.g.,countries, states, and congressionaldistricts).

FMSS (Financial Management SoftwareSystem)

The purpose of FMSS is to serve asthe official general ledger for theDepartment. It also performs all fundscontrol checks for all EDCAPSobligations, either by the GAPS or by acontractor of the Department. FMSSmaintains detailed information aboutobligations paid to the contractor andmaintains general ledger level balanceinformation for obligations paid directlyby the Department through GAPS.

GAPS (Grants Administration and PaymentSystem)

The purpose of GAPS is to administerthe grants award processing fromplanning through closeout includingdisbursing funds to grants recipients forcertain Department programs. Summarypayment data are returned to FMSS forprocessing. GAPS maintains a record ofgrant awards by the Department,including management informationcollected during the award process.Payment information is retrievable inGAPS by Taxpayer IdentificationNumber (TIN). The TIN for anindividual is the social security number.The name, mailing address and othercharacteristic data related to federalgrants or institutional loans are alsomaintained.

CPSS (Contract and Purchasing SupportSystem)

The purpose of CPSS is to administerthe contracts award process fromplanning to closeout. CPSS sharesinformation with FMSS. CPSSmaintains a record of contact awards bythe Department, including managementinformation collected during the awardprocess.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching agreement.

(a) Litigation disclosure.(1) Disclosure to the Department of

Justice. If the Department determinesthat disclosure of certain records to theDepartment of Justice is relevant andnecessary to litigation and is compatiblewith the purpose for which the recordswere collected, the Department maydisclose those records as a routine useto the Department of Justice. Such adisclosure may be made in the eventthat one of the parties listed below isinvolved in the litigation, or has aninterest in such litigation:

(i) The Department or any componentof the Department; or

(ii) Any employee of the Departmentin his or her official capacity; or

(iii) Any employee of the Departmentin his or her individual capacity wherethe Department of Justice has agreed torepresent the employee; or



(iv) Any employee of the Departmentin his or her individual capacity wherethe agency has agreed to represent theemployer; or


(2) Other litigation disclosures. If theDepartment determine that disclosure ofcertain records to a court, adjudicativebody before which the Department isauthorized to appear, individual orentity designated by the Department orotherwise empowered to resolvedisputes, counsel or otherrepresentative, or potential witness isrelevant and necessary to litigation andis compatible with the purpose forwhich the records were collected, theDepartment may disclose those recordsas a routine use to the court,adjudicative body individual or entity,counsel or other representative, orwitness. Such a disclosure may be madein the event that one of the parties listedbelow is involved in the litigation, orhas an interest in the litigation;

(i) The Department or any componentof the Department; or

(ii) Any employee of the Departmentin his or her official capacity; or

(iii) Any employee of the Departmentin his or her individual capacity wherethe Department has agreed to representthe employee; or

(iv) The United States where theDepartment determines that litigation islikely to affect the Department or any ofits components.

(b) FOIA advice of disclosure. In theevent the Department deems it desirableor necessary, in determining whetherparticular records are required to bedisclosed under the Freedom ofInformation Act or other authoritypermitting disclosure of records,disclosure may be made to theDepartment of Justice for the purpose ofobtaining its advice.

(c) Contract disclosure. TheDepartment may disclose informationfrom this system of records as a routineuse to the private firm or contractorwith which the Departmentcontemplates it will contract or withwhich it has contracted for the purposeof performing any functions or analysesthat facilitate or are relevant to aninvestigation, audit, inspection, or otherinquiry. Such contract or private firmshall be required to maintain PrivacyAct safeguards with respect to suchinformation.

(d) Enforcement disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation or any

applicable statute, regulation, or orderof a competent authority, the relevantrecords in the system of records may bereferred, as a routine use, to theappropriate agency, whether foreign,Federal, State, Tribal, or local, chargedwith the responsibility of investigatingor prosecuting such violation or chargedwith enforcing or implementing thestatute, or executive order or rule,regulation, or order issued pursuantthereto.

(e) Congressional member disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

DISCLOSURE TO A CONSUMER REPORTINGAGENCY:

Disclosures pursuant to 5 U.S.C.552(a)(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C. 552a(e)(4)and the procedures contained insubsection 31 U.S.C. 3711(f). Aconsumer reporting agency to whichthese disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEMS:

STORAGE:Records are maintained on microfilm,

microfiche, disk packs and magnetictapes and stored in a retrievable filesystem.

RETRIEVABILITY:Records are indexed by name, or other

individual identifier, and TIN. Therecords are retrieved by a manual orcomputer search by indices.

SAFEGUARDS:

Direct access is restricted toauthorized Department staff performingofficial duties. Authorized staff areassigned passwords which must be usedfor access to computerized data. Also,an additional password is necessary togain access to the system. The system-access password is changed frequently.

The data is maintained in a secured-access area.


Files are regularly updated. Recordsare maintained for ten years. Inactiverecords are purged from the automatedfile every five years.


The Registry System is managed bythe Payment Management Service &Reporting Unit, Financial Payments &Cash Management Operations, Office ofthe Chief Financial Officer, U.S.Department of Education, Washington,DC 20202.

The Financial Management SoftwareSystem is managed by the GeneralLedger Systems Group, FinancialReporting and Systems Operations,Office of the Chief Financial Officer,U.S. Department of Education, 400Maryland Avenue, SW., Washington,DC 20202.

The Contracts and PurchasingSupport System is managed by theSupport Services Group, Contracts andPurchasing Operations, Office of theChief Financial Officer, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 3616, ROB–3, Washington,DC 20202–4651.

The grant application portion of theGrants Administration and PaymentsSystem will be managed by the GrantsPolicy & Oversight Staff, Office of theChief Financial Officer, U.S. Departmentof Education, Room 3652, ROB–3,Washington, DC 20202–4651. The GAPSpayment process will be managed byPayment Management Service &Reporting Unit, Financial Payments &Cash Management Operations, Office ofthe Chief Financial Officer, U.S.Department of Education, 400 MarylandAvenue, SW., Room 3332, Washington,DC 20202.


If an individual wishes to determinewhether a record pertaining to him orherself is the system of records, theindividual should provide his or hername and Social Security number to theappropriate system manager. Suchrequest must meet the requirements inthe regulations at 34 CFR 5b.5.


If an individual wishes to gain accessto a record in this system, he or sheshould contact the appropriate systemmanager and provide information asdescribed in the notification procedure.Requests by an individual for access toa record must meet the requirements inthe regulations at 34 CFR 5b.5.




If an individual wishes to change thecontent of a record pertaining to himselfor herself that is contained in the systemor records, he or she should contact theappropriate system manager with theinformation described in thenotification procedure, identify thespecific items requested to be changed,and provide a justification for suchchange. A request to amend a recordmust meet the requirements in theregulations at 34 CFR 5b.7.


Information in this system will beobtained from applicants applying for aDepartment contract, grant, or loan atthe time of application. Information willalso be obtained from Departmentprogram offices, employees, consultants,and others performing personnelservices for the Department.


None.

18–03–03

SYSTEM NAME:Receivables Management System.

SECURITY CLASSIFICATION:None.

SYSTEM LOCATIONS:

Office of the Chief Financial Officer,Financial Improvement and ReceivablesGroup, U.S. Department of Education,400 Maryland Avenue, SW.,Washington, DC 20202–4330.

Office of the Chief InformationOfficer, U.S. Department of Education,Seventh and D Streets, SW.,Washington, DC 20202.

Nationwide Credit, Inc., Credit Claimsand Collection, 2253 NorthwestParkway, Marietta, GA 30067.

Payco American Corporation, 180 N.Executive Drive, Brookfield, WI 53005–6011.

CSC Credit Services, Inc., 7909Parkwood Circle, Suite 200, Houston,TX 77036–6565.


Individuals covered by the systeminclude: Persons billed by theDepartment of Education (Department)for materials and services such asFreedom of Information Act requestsand computer tapes of statistical data,persons ordered by a court of law to payrestitutions to the Department,individuals who received grants underthe Bilingual Education FellowshipProgram and who have not providedevidence to the Department of fulfilling

their work requirements as described inthe Bilingual Education FellowshipProgram Contract, individuals who havereceived funds through theRehabilitation Services Administration(RSA) Scholarship program and whohave not provided evidence of fulfillingtheir obligations under that program,current and former Departmentemployees who received overpaymentson travel allowances or who receivedsalary overpayments and theoverpayments have not been waived bythe Department, individuals who wereoverpaid or inappropriately paid undergrant programs administered by theDepartment other than Title IV of theHigher Education Act of 1965, asamended (HEA) and claims againstindividuals, including orders by a courtor other authority to make restitution forthe misuse of Federal funds inconnection with any programadministered 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, andrelated correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Federal Claims Collection Act of

1966; Debt Collection Act of 1982; andthe Debt Collection Improvement Act of1996.

PURPOSE(S):The Receivables Management System

is a database system that is kept forservicing general consumer debts owedto the Department and issuing reports ofoperations and the status of accounts tothe U.S. Department of Treasury(Treasury) and the Office ofManagement and Budget. Thereceivables are generated from bills toindividuals for materials and servicesfrom the Department, claims arisingfrom court-ordered restitutions for anyprogram administered by theDepartment, loans and overpayments toindividuals under programs other thanthe student financial assistanceprograms authorized under Title IV ofthe Higher Education Act of 1965, asamended.

Records will be used by debt servicingstaff to bill debtors to the Departmentand collect the debts.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without the

consent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. Disclosures under thefollowing routine uses may be made ona case-by-case basis or, in appropriatecircumstances under computermatching agreements authorized underthe Privacy Act of 1974 (5 U.S.C. 552a).Records may be disclosed for thefollowing debt servicing programpurposes:

(a) Program purposes: (1) To verifythe identity and location of the debtor,disclosures may be made to creditagencies and Federal agencies. (2) Toenforce the terms of a loan or wheredisclosure is required by Federal law,disclosure may be made to creditagencies, educational and financialinstitutions, and Federal, State, or localagencies.

(b) Debt servicing. Records underroutine use may be disclosed to theUnited States Department of theTreasury and privately contractedcollection companies for debt servicing.

(c) Litigation disclosure. (1) In theevent that one of the parties listed belowis involved in litigation, or has aninterest in litigation, the Departmentmay disclose certain records to theparties described in paragraphs (2), (3)and (4) of this routine use under theconditions specified in thoseparagraphs:

(i) The Department, or any componentof the Department;

(ii) Any Department employee in hisor her official capacity;

(iii) Any employee of the Departmentin his or her individual capacity wherethe Department of Justice (DOJ) hasagreed to provide or arrange forrepresentation for the employee;

(iv) Any employee of the Departmentin his or her individual capacity wherethe agency has agreed to represent theemployee; or


(2) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation and iscompatible with the purpose for whichthe records were collected, theDepartment may disclose those recordsas a routine use to the DOJ.

(3) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolvedisputes is relevant and necessary to the



administrative litigation and iscompatible with the purpose for whichthe records were collected, theDepartment may disclose those recordsas a routine use to the adjudicativebody, individual or entity.

(4) Opposing counsel, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to an opposing counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation and iscompatible with the purpose for whichthe records were collected, theDepartment may disclose those recordsas a routine use to the counsel,representative or witness.

(5) Enforcement disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, the relevantrecords in the system of records may bereferred, as a routine use, to theappropriate agency, whether foreign,Federal, State, Tribal, or local, chargedwith the responsibility of investigatingor prosecuting this violation or chargedwith enforcing or implementing thestatute, or executive order or rule,regulation, or order issued pursuantthereto.

(6) Contract disclosure. If theDepartment contracts with an entity forthe purpose of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records as a routine use to thoseemployees. Before entering into acontract, the Department shall requirethe contractor to maintain Privacy Actsafeguards as required under 5 U.S.C.552a(m) with respect to the records inthe system.

(7) Disclosure to the Office ofManagement and Budget (OMB) forCredit Reform Act (CRA) Support. TheDepartment may disclose individuallyidentifiable information to OMB asnecessary to fulfill CRA requirements.

(8) Employee grievance, complaint orconduct disclosure. Records may bedisclosed if a record maintained in thissystem of records is relevant to presentor former employee grievance,complaint, discipline or competencedetermination proceedings of anotheragency of the Federal Government. Inthis case, the Department may disclosethe record as a routine use in the courseof the proceedings if the disclosure iscompatible with the purposes for thissystem of records.

(9) Labor organization disclosure.Records under this routine use may be

disclosed whenever a contract betweena component of the Department and alabor organization recognized underTitle V of the United States Code,Chapter 71, provides that theDepartment will disclose personalrecords relevant to the organization’smission. The disclosures will be madeonly as authorized by law.

(10) Research disclosure. Recordsunder this routine use may be disclosedwhenever an appropriate official of theDepartment determines that anindividual or organization is qualified tocarry out specific research related tofunctions or purposes of this system ofrecords. The official may discloserecords from this system of records tothat researcher solely for the purpose ofcarrying out that research related to thefunctions or purposes of this system ofrecords. The researcher is required tomaintain Privacy Act safeguards withrespect to these records.

(11) Freedom of Information Act(FOIA) Advice Disclosure. Recordsunder this routine use may be disclosedto the DOJ and the OMB in the eventthat the Department deems it desirableor necessary in determining whetherparticular records are required to bedisclosed under the FOIA.

(12) Disclosure to the Department ofJustice. Records may be disclosed underthis routine use to the DOJ from thissystem of records as a routine use to theextent necessary for obtaining DOJadvice on any matter relevant to anaudit, inspection, or other inquiryrelated to the programs covered by thissystem.

(13) Congressional memberdisclosure. The Department maydisclose information from this system ofrecords to a member of Congress fromthe record of an individual in responseto an inquiry from the member made atthe written request of that individual.The Members’ right to the informationis no greater than the right of theindividual who requested it.


STORAGE:

Records under this system will bekept on paper files in metal file cabinetsand in data files in computers. They arestored in desk top and mainframecomputers with records backed up onmagnetic media.

RETRIEVABILITY:

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

SAFEGUARDS:

All physical access to the sites of theDepartment of Education and thecontractors where this system of recordsis maintained, are controlled andmonitored by security personnel whocheck each individual entering thebuilding for an employee’s or visitor’sbadge.

The computer system employed bythe Department offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department ofEducation and contract staff on a ‘‘need-to-know’’ basis, and controls individualusers’ ability to access and alter recordswithin the system. All users of thissystem are given a unique user ID. Allinteractions by individual users withthe system are recorded.

At contractor sites, access to allautomated data processing facilities arerestricted by photo identification, sign-in and out logs, CYPHER locks, or IDcard readers. Smoke and fire detectiondevices are installed and maintainedoperational on all facilities includingtape and disk library areas. Physicalsecurity of the building involvesrestricted access as well as 24-hoursecurity guard at the ground-floorentrance to the building. Access tobuilding is obtained through the use ofkey entry doors. The system permitsentry to an individual only with anaccess code.

RETENTION AND DISPOSAL:Records are disposed of in accordance

with the National Archives and RecordsAdministration’s General RecordsSchedule (GRS) 6, items 1a, 10b, and10c; and GRS 7.

SYSTEM MANAGERS AND ADDRESS:Director, Financial Improvement and

Receivables Group, Office of the ChiefFinancial Officer, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 3117, Washington, DC 20202–4330.


If an individual wishes to determinewhether a record exists regarding him orher in this system of records, theindividual should provide the systemmanager his or her name, SocialSecurity number, case or loan number,or other debt identifying number.Requests for notification about anindividual must meet the requirementsin the regulations at 34 CFR 5b.5.


If an individual wishes to gain accessto a record in this system, he or sheshould contact the system manager and



provide information described in thenotification procedure. Requests by anindividual for access to a record mustmeet the requirements in the regulationsat 34 CFR 5b.5.


If an individual wishes to change thecontent of a record in the system ofrecords, he or she should contact thesystem manager with the informationdescribed in the notification procedure,identify the specific item(s) to bechanged, and provide a writtenjustification for the change. Requests toamend a record must meet therequirements of the regulations at 34CFR 5b.7.


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

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

18–03–04

SYSTEM NAME:

Files and Lists of Potential andCurrent Consultants, Grant ApplicationReviewers Peer Reviewers, and SiteVisitors.


None.

SYSTEM LOCATION:

See the Appendix attached to thissystem notice.


Individuals who have been or may beused by the Department as consultants,field readers, grant applicationreviewers, peer reviewers or sitevisitors, to review and evaluate variousprogram activities.


Name, address, telephone number,title, institutional or agency affiliation,resume, social security number or otherindividual identifier, compensationand/or reimbursement information (ifany), and area(s) of individual expertiseof each individual serving as aconsultant, field reader, grantapplication reviewer or site visitor.Records of past performance ofindividuals covered by this notice.Disability (if special arrangement needto be made).


20 U.S.C. 1221e–3(a)(1), (b), 1232, and3474.

PURPOSE(S):The Department uses the information

in this system of records to determinequalification and fitness of individualsthe Department may use to review andevaluate documents, programs, andprojects of the Department of Education,its grantees and contractors.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDPURPOSES OF SUCH USES:

The Department may disclosepersonally identifiable information fromthis record system for the followingpurposes:

(1) Congressional member disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(2) Enforcement disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, TheDepartment may disclose the relevantrecords to the appropriate agency,whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating or prosecuting thatviolation or charged with enforcing orimplementing the statute, executiveorder, rule, regulation, or order issuedpursuant thereto.


(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation ADR, The Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) and (d)of this routine use under the conditionsspecified in those paragraphs:






(b) Disclosure to the DOJ. If TheDepartment determines that disclosure

of certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ.

(4) Employment, benefit, andcontracting disclosure.

(5) For decisions by the Department.A record from this system of recordsmay be disclosed as a ‘‘routine use’’ toa Federal, state, or local agencymaintaining civil, criminal or otherrelevant enforcement records or otherpertinent records, such as currentlicenses, if necessary to obtain a recordrelevant to an agency decisionconcerning the hiring or retention of anemployee, the issuance of a securityclearance, the letting of a contract, orthe issuance of a license, grant, or otherbenefit.

(6) For decisions by other Federalagencies. A record from this system ofrecords may be disclosed to a Federalagency, in response to its request, inconnection with the hiring or retentionof an employee, the issuance of asecurity clearance, the reporting of aninvestigation of an employee, the lettingof a contract, or the issuance of alicense, grant, or other benefit by therequesting agency, to the extent that therecord is relevant and necessary to therequesting agency’s decision on thematter.

(7) Employee conduct disclosure. If arecord maintained by The Department isrelevant to an employee discipline orcompetence determination proceedingof another agency of the FederalGovernment, The Department maydisclose the record in the course of theproceeding.

(8) Labor organization disclosure.Where a contract between a componentof the Department and a labororganization recognized under Chapter71, U.S.C. Title V provides that theagency will disclose personal recordsrelevant to the organization’s mission,records in this system of records may bedisclosed to such an organization.

(9) FOIA advice disclosure. In theevent the Department deems it desirableor necessary, in determining whetherparticular records are required to bedisclosed under the Freedom ofInformation Act, disclosure may bemade to the Department of Justice forthe purpose of obtaining its advice.

(10) Contract disclosure. When theDepartment contemplates that it willcontract with a private firm for thepurpose of collating, analyzing,aggregating or otherwise refiningrecords in this system. Relevant recordswill be disclosed to such a contractor.The contractor shall be required tomaintain Privacy Act safeguards withrespect to such records.



(11) Research disclosure. TheDepartment may, if the disclosure of arecord is compatible with the purposefor which the record was collected,disclose a record from this system ofrecords as a routine use to individualsand organizations deemed qualified bythe Secretary to carry out specificresearch solely for the purpose ofcarrying out such research.


STORAGE:Records are maintained in file

cabinets or card files and (in limitedlocations) computer tapes and disks.

RETRIEVABILITY:By name, title, area(s) of individual

expertise, dates served, institutional oragency affiliation, or social securitynumber of potential, current or pastconsultant, field reader, grantapplication reviewer, or site visitor.

SAFEGUARDS:Direct access is restricted to persons

designated by system managers to beresponsible for maintenance of file(s) ordecisions regarding selection ofconsultants, field readers, grantapplication reviewers, or site visitors.Automated locations are protected byrequiring a password as well as ID users’code.

RETENTION AND DISPOSAL:Records regarding an individual are

destroyed 5 years after the last time theDepartment makes use of theindividual’s services.

SYSTEM MANAGER(S) AND ADDRESS:Executive Office, Office of Chief

Financial and Chief Information Office,U.S. Department of Education, 400Maryland Avenue, SW., Room 4E213,Washington, DC 20202. See theAppendix to this system notice foradditional system managers.

NOTIFICATION PROCEDURE:Contact system manager of pertinent

organizational component(s) andprovide identification informationrequired under 34 CFR 5b.5.

RECORD ACCESS PROCEDURES:Same as notification procedure above.

RECORD SOURCE CATEGORIES:Information provided voluntarily by

individuals interested in serving asconsultants, field readers, grantapplication reviewers, or site visitors.


None.


Additional System Managers and SystemLocations



Policy Coordinator Analyst, Office ofElementary and Secondary Education,U.S. Department of Education, 400Maryland Avenue, SW., Room 3W337,Washington, DC 20202.

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

Management and Program Analyst, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4082, Washington,DC 20202.

Customer Service Specialist, Office of SpecialEducation and Rehabilitative Services,U.S. Department of Education, 400Maryland Avenue, SW., Room 3113,Washington, DC 20202.

Executive Secretariat Liaison, Office ofVocational and Adult Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4090, Washington,DC 20202.

Director, International Education andGraduate Programs Service, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Washington, DC 20202–5247.

Director, Office of Indian Education, Office ofElementary 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.


SYSTEM LOCATION:Information Management Group,

Office of the Chief Information Officer,U.S. Department of Education, Seventhand D Streets, Room 5624, ROB–3,Washington, DC 20202–4651. See theAppendix at the end of this notice foradditional system locations atHeadquarters and Regional Offices.


This system contains records onindividuals who have submitted or werethe subjects of requests made under theprovisions of the Freedom ofInformation Act and under the PrivacyAct of 1974.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of names,

addresses, dates of request andresponses, descriptions oridentifications of records requested,amount of fees paid, if any; paymentdelinquencies, if any; finaldeterminations of appeals or denialsand summary of log. Copies of requestedrecords are not maintained in thesystem.

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 underboth the Freedom of Information Actand the Privacy Act. This system is alsoused to generate the annual report to theDepartment of Justice (DOJ) as requiredby the Freedom of Information Act andthe biennial report to the Office ofManagement and Budget (OMB) andCongress as required by the Privacy Act.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:












(3) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ.

(4) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.

(5) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the party, counsel,representative or witness.

(6) Congressional Member Disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.


Not applicable.

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING ANDDISPOSING 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 theassociated principal office.

SAFEGUARDS:Access to the tracking system requires

a user-ID and is strictly limited toauthorized 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, InformationManagement Group, Office of the ChiefInformation Officer, 400 MarylandAvenue, SW., Room 5624, ROB–3,Washington, DC 20202–2651. See theAppendix at the end of this notice fora list of FOIA Coordinators.

NOTIFICATION PROCEDURE:If you wish to inquire whether a

record exists regarding you in thissystem, you should contact theappropriate system manager. Inquiriesmust provide your name, date of therequest, name of organization, andsubject matter. Your request must meetthe requirements of the Department’sPrivacy Act regulations at 34 CFR 5b.5.

RECORD ACCESS PROCEDURES:The Department systems of records

that are exempt from certain Privacy Actrequirements may be included in thissystem as part of a FOIA/PA caserecord. Such material retains itsexemption if it is included in thissystem of records. The section of thisnotice titled, ‘‘Systems Exempted fromCertain Provisions of the Act,’’ explainsthe exemptions for this system.Individuals wishing to request access totheir records should contact the systemmanager at the appropriate office orregion where their original Privacy Actand/or Freedom of Information Actrequest was sent or from which theyreceived responses to such requests.Individuals requesting access mustcomply with the Department’s PrivacyAct regulations regarding verification ofidentity and access to records 34 CFR5b.5.

CONTESTING RECORD PROCEDURES:The Department systems of records

that are exempt from certain Privacy Actrequirements may be included in thissystem as part of a FOIA/PA caserecord. Such material retains itsexemption if it is included in thissystem of records. The section of thisnotice titled, ‘‘Systems Exempted fromCertain Provisions of the Act,’’ explainsthe exemptions for this system.Individuals wishing to requestamendment to their records shouldcontact the system manager at theappropriate office or region where theiroriginal Freedom of Information and/or

Privacy Act requests were sent or fromwhich they received responses to suchrequests. Individuals must furnish thefollowing information for their recordsto be located and identified:


Information in this system of recordsis obtained from the individual to whomthe information applies, officials of theDepartment, official Departmentdocuments.


The Department has claimedexemptions for several of its othersystems 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 othersystems may become part of the caserecords in this system. To the extentthat copies of exempt records from thoseother systems are entered into theseFOIA/PA case records, the office hasclaimed the same exemptions for therecords as they have in the originalprimary systems of records of whichthey are a part.


FOIA Coordinators

Office of the Secretary, U.S. Department ofEducation, 400 Maryland Avenue, SW.,400 Maryland Avenue, SW., Room7C122, FOB–6, Washington, DC 20202.

Office of the Chief Financial Officer, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4E223, Washington,DC 20202.

Office of Educational Research andImprovement, 555 New Jersey Avenue,NW., Room 602E, Capitol Place,Washington, DC 20208.

Office of Special Education andRehabilitative Services, U.S. Departmentof Education, 330 C Street, SW., Room3613, Switzer Building, Washington, DC20202.

Office of Vocational and Adult Education,U.S. Department of Education, 330 CStreet, SW., Room 4064, SwitzerBuilding, Washington, DC 20202.

Office of the General Counsel, U.S.Department of Education, 400 MarylandAvenue, SW., Room 6C142, FOB–6,Washington, DC 20202.

Office of Management, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 2W211, FOB–6, Washington, DC20202.

Office of Special Education andRehabilitative Services, U.S. Departmentof Education, 330 C Street, SW., Room3112, Switzer Building, Washington, DC20202.

Office of Inspector General, U.S. Departmentof Education, 330 C Street, SW., Room4200, Switzer Building, Washington, DC20202.



Office of Elementary and SecondaryEducation, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 3W341, FOB–6, Washington, DC20202.

Office of Public Affairs, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 7E201, FOB–6, Washington, DC20202.

Office of Student Financial AssistancePrograms, U.S. Department of Education,Seventh and D Streets, SW., Room 4913,ROB–3, Washington, DC 20202.

Office for Civil Rights, U.S. Department ofEducation, 330 C Street, SW., Room5424, Switzer Building, Washington, DC20202.

Office of Bilingual Education and MinorityAffairs, U.S. Department of Education,330 C Street, SW., Room 5616, SwitzerBuilding, Washington, DC 20202.

Office of Educational Research andImprovement, , U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 4W332, FOB–6, Washington, DC20202.

Regional FOIA Review Officers

Region I: Deputy Regional Director, OCR,John W. McCormack P.O. andCourthouse, Room 540, Post OfficeSquare, Boston, MA 02105–4557.

Region II: Regional Director, OCR, 75 ParkPlace, 12th Floor, New York NY 10278–0043.

Region III: Assistant to the Secretary’sRegional Representative, 3535 MarketStreet, Room 16350, Philadelphia 19104–3398.

Region IV: Regional Director, OCR, 61Forsyth Street, SW, Suite 19T40, Atlanta,GA 30303.

Region V: Education Program Specialist,Division of Dissemination, OSFAP, 111N. Canal Street, Suite 1094, Chicago, IL60606.

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 SpeerBlvd., Room 300, Denver, CO 80204–3582.

Region IX: Education Program Specialist,OSFAP, 50 United Nations Plaza, SanFrancisco, 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 forCivil Rights, U.S. Department ofEducation, 1100 Pennsylvania Avenue,NW, Washington, DC 20044.

18–04–02

SYSTEM NAME:Freedom of Information Act and

Privacy Act Tracking System.


SYSTEM LOCATION:Office of the Chief Information

Officer, Information ManagementGroup, U.S. Department of Education,400 Maryland Avenue, SW, Room 5624,ROB–3, Washington, DC 20202–4651.See the Appendix at the end of thissystem notice for additional systemlocations.


This system contains records andrelated correspondence on individualswho have submitted: Requests forinformation under the provisions of theFreedom of Information Act (5 U.S.C.552), including requests for review ofinitial denials. Requests under theprovisions of the Privacy Act (5 U.S.C.552a) for records about themselves,including: Requests for notification ofthe existence of records about them.Requests for access to these records.Requests for amendment of theserecords. Requests for review of initialdenials of such requests for notification,access, and amendment. Requests for anaccounting of disclosure of recordsabout them.

Note: Since these FOIA/PA case recordscontain inquiries and requests regarding anyof the Department’s other systems of recordssubject to the Privacy Act, information aboutindividuals from any of these other systemsmay become part of this Freedom ofInformation Act and Privacy Act System.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains correspondence

and other documents related to requestsby individuals to the Department for:Information under the provisions of thePrivacy Act (5 U.S.C. 552), includingrequests for review of initial denials ofsuch requests. Information under theprovisions of the Privacy Act (5 U.S.C.552a) and requests for review of initialdenials of such requests made under theDepartment’s Privacy Act regulations,including requests for: Notification ofthe existence of records about them.Access to records about them.Amendment of records about them.Review of initial denials of suchrequests for notification, access, oramendment. Requests for an accountingof disclosure of records about them.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Includes the following with any

revisions or amendments: The Freedomof Information Act (5 U.S.C. 552), thePrivacy Act of 1974 (5 U.S.C. 552a), andthe Department’s Public InformationRegulation (34 CFR part 5).

PURPOSE(S):These records are maintained to

process an individual’s request made

under the provisions of the Freedom ofInformation and Privacy Acts. Therecords are also used by the Departmentto prepare its reports to OMB andCongress required by the Freedom ofInformation and Privacy Acts.


Information will be released for thepurposes cited in Appendix B of theDepartment’s Privacy Act regulations(34 CFR part 5b). Disclosure may bemade to a Congressional office from therecord of an individual in response toan Inquiry from the Congressional officemade at the request of that individual.In the event of litigation where thedefendant is (a) the Department, anycomponent of the Department, or anyemployee of the Department in his orher official capacity; (b) the UnitedStates where the Department determinesthat the claim, if successful, is likely toaffect directly the operations of theDepartment or any of its components; or(c) any Department employee in his orher individual capacity where theDepartment of Justice has agreed torepresent such employee. TheDepartment may disclose such recordsas it deems desirable or necessary to theDepartment of Justice to enable thatDepartment to present an effectivedefense, provided such disclosure iscompatible with the purpose for whichthe records were collected.


Not Applicable.

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:These records are maintained on

machine-readable media and/or aspaper copies in file folders or binders.

RETRIEVABILITY:For the most part, records are

retrieved by the name of the individualon whom they are maintained, the yearof the request, and the control trackingnumber. Records are available to FOIAstaff involved in correspondence andinvestigative processes, includingappeals officials and staff members ofthe OGC.

SAFEGUARDS:Records are maintained in Conserva-

File cabinets in the Office of theDepartment’s FOIA Officer and thePrivacy Act Officer, and in the offices ofDepartment personnel whose dutiesrequire access. Access to the FOIASSystem, and to the associated paper



records is strictly limited to theseindividuals.

RETENTION AND DISPOSAL:These records will be disposed of 5

years after the date of final Departmentaction on the case. Records aredestroyed by shredding, burningmagnetic 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 responsiblefor Departmental records, includingboth FOIAS and paper records. Theappropriate Assistant Secretary, theGeneral Counsel, the Office of theInspector General, and the Secretary’sRegional Representatives are the systemmanagers for the Freedom ofInformation and Privacy Act recordsmaintained in their offices.


record exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of regulations at 34 CFR5b.5, including proof of identity.


regarding you in the system of records,contact the system manager. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


a record regarding you in the system ofrecords, contact the system manager.Your request must meet therequirements of the regulations at 34CFR 5b.7.

RECORD SOURCE CATEGORIES:Information in this system of records

is obtained from—The individual to whom the

information applies. Officials of theDepartment. Official Departmentdocuments.


The Department has claimedexemptions for several of its othersystems 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 othersystems may become a part of the caserecords in this system. To the extentthat copies of exempt records from thoseother systems are entered into theseFOIA/PA case records, the office has

claimed the same exemptions for therecords as they have in the originalprimary systems of records of whichthey are a part.



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 ParkPlace, 12th Floor, New York NY 10278–0043.

Region III: Assistant to the Secretary’sRegional Representative, 3535 MarketStreet, Room 16350, Philadelphia 19104–3398.

Region IV: Regional Director, OCR, 61Forsyth Street, SW., Suite 19T40,Atlanta, GA 30303.

Region V: Education Program Specialist,Division of Dissemination, OSFAP, 111N. Canal Street, Suite 1094, Chicago, IL60606.

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 SpeerBlvd., Room 300, Denver, CO 80204–3582.

Region IX: Education Program Specialist,OSFAP, 50 United Nations Plaza, SanFrancisco, 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 forCivil Rights, U.S. Department ofEducation, 1100 Pennsylvania Avenue,NW, Washington, DC 20044.

18–05–01

SYSTEM NAME:Departmental Parking Control Policy.


SYSTEM LOCATION:Director, Quality Workplace Group,

Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 2E315, Washington, DC20202.


All Department employees and non-Department carpool members utilizingparking facilities.

CATEGORIES OF RECORDS IN THE SYSTEM:This system includes the following

information on all persons applying fora parking permit: Name, office roomnumber, office phone number, agency,

home address, and automobile licensenumber.

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 standardsfor apportionment and assignment ofparking spaces on Department-managedand Department-controlled property andon property assigned to the Departmentby the General Services Administrationor any other Agency, and (2) allocateand check parking spaces assigned togovernment vehicles, visitors,handicapped personnel, executivepersonnel, carpool and van pools andothers.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS NDTHE PURPOSES OF SUCH USE:


(1) Congressional Member Disclosure.The Department may disclosure recordsto a member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(2) Litigation and Alternative DisputeResolution (ADR) Disclosure.









(3) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ.



STORAGE:

Records are stored in binders in filecabinets.

RETRIEVABILITY:

Records are filed alphabetically bylocation.

SAFEGUARDS:

All physical access to the Departmentof Education site where this system ofrecords is maintained, is controlled andmonitored by security personnel whocheck each individual entering thebuilding for his or her employee orvisitor badge.


Superseded policy materials aremaintained by the Director, QualityWorkplace Group for historicalpurposes. Records at other Departmentlocations are maintained until theParking Control purpose has been met,and the records are then destroyed.


Director, Quality Work Group (QWG),Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 2E315, Washington, DC20202.


If you wish to determine whether arecord exists regarding you in thissystem of records, provide the systemmanager with your name, social securitynumber, agency and office and thelocation where Department parking isprovided. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURES:Same as Notification Procedure.

Requesters should also reasonablyspecify the record contents sought. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.

CONTESTING RECORD PROCEDURES:Contact the system manager at the

address specified under notificationprocedure above, and reasonablyidentify the record and specify theinformation to be contested. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information in this system are

obtained from reports submitted byDepartment Staff, Principal Offices andRegional Offices, GSA–FederalManagement circulars and FederalProperty Management Regulations.


None.

18–05–02

SYSTEM NAME:Family Educational Rights and

Privacy Act (FERPA) and the Protectionof Pupil Rights Amendment (PPRA)Record Systems.


SYSTEM LOCATION:Family Policy Compliance Office,

Office of Management, U.S. Departmentof Education, Room 2W100,Washington, DC 20202–4506.


Individuals who have made inquiriesor who have filed complaints allegingviolations of provisions in FERPA andPPRA; and those who have commentedto the Department on its proposed rulesand practices.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of

correspondence alleging violations ofFERPA and PPRA as well as commentssubmitted to the Department on itsproposed rules and practices.

AUTHORITY OF MAINTENANCE OF SYSTEM:Family Educational Rights and

Privacy Act (20 U.S.C. 1232g) andProtection of Pupil Rights Amendment(20 U.S.C. 1232h).


is used to resolve disputes regardingviolations of FERPA and PPRA.



(1) Member of Congress Disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested.

(2) Educational Agency or Institution.The Department may disclosure recordsfrom this system of records to aneducational agency or institution againstwhich a complaint has been made.

(3) State Educational Agency. TheDepartment may disclose records to aState educational agency relative to aneducational agency or institution in thatState against which a complaint hasbeen filed.

(4) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to anyFederal, State, local or foreign agency orother public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation if thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility within thereceiving entity’s jurisdiction.

(5) Disclosure to the Department ofJustice (DOJ). The Department maydisclose records to the DOJ to the extentnecessary for obtaining DOJ advice onany matter relevant to FERPA or PPRAinvestigations or other enforcementresponsibilities under FERPA or PPRA;





(8) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords to the appropriate agency,whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating or prosecuting thatviolation or charged with enforcing orimplementing the statute, executiveorder, rule, regulation, or order issuedpursuant thereto.









Not applicable to this system ofrecords.


STORAGE:

The records are maintained in hard-copy form filed in standard lockable filecabinets, or on electronic files in whichcase document disks are kept inlockable file cabinets.

RETRIEVABILITY:

Records are indexed under the namesof institutions against which individualsare alleging violations of FERPA.

SAFEGUARDS:

Direct access is restricted to FPCOstaff; main files are left in locked filecabinets when not in use.


Inquiry records are maintained aminimum of three years; complaint andinvestigative records are maintained aminimum of five years after the case isclosed.


Director, Family Policy ComplianceOffice, U.S. Department of Education,400 Maryland Avenue, SW., Room2W100, Washington, DC 20202-4056.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.





RECORD SOURCE CATEGORIES:The information in this system is

obtained from incomingcorrespondence, responses and materialobtained during the course of anyinvestigation.


None.

18-05-04

SYSTEM NAME:

Discrimination Complaints RecordsSystem.


None.

SYSTEM LOCATION:

Equal Employment OpportunityGroup, Office of Management, U.S.Department of Education, 400 Maryland

Avenue SW, Room 2W228, Washington,DC 20202–4550.


This system contains records onindividuals—employees as well asapplicants for employment—or groupsof individuals who have filed EqualEmployment Opportunity (EEO)complaints of discrimination on thebasis of race, color, religion, sex(including sexual harassment or sexualorientation), national origin, age,disability, or reprisal for having engagedin a prior EEO activity.

CATEGORIES OF RECORDS IN THE SYSTEM:This system of records consists of

records concerning the Department’sformal complaints of discriminationprocesses, including counselor’ reports,the initial allegations and efforts atresolution, letters or notices to theindividual or class agent, materialsplaced into the record to support orrefute the decision or determination,statements to witnesses, investigativereports, instructions about action to betaken to comply with decisions, andrelated correspondence, opinions andrecommendations.

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 inthis system to adjudicate complaints orappeals, to provide a basis for acorrective action related to thediscrimination situation and as a datasource for management information forproduction of descriptive statistics andanalytical studies.


The Department (Department) maydisclose information contained in arecord in this system of records underthe routine uses listed in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purposes for whichthe record was collected. Thesedisclosures may be made on a case-by-case basis or, if the Department hascomplied with the computer matchingrequirements of the Act, under acomputer matching agreement.

(1) Disclosure to OMB, MSPB andEEOC. The Department may discloserecords to the Office of PersonnelManagement, Merit Systems ProtectionBoard (including its Office of theSpecial Counsel), or the Equal



Employment Opportunity Commissionfor the purpose of carrying out theirfunctions.



(a) Introduction. In the event oflitigation where one of the parties listedbelow is involved in litigation or ADR,or has an interest in litigation ADR, theDepartment may disclose certainrecords to the parties described inparagraphs (b), (c) and (d) of this routineuse under the conditions specified inthose paragraphs:

(i) The Department, or any componentof the Department; or




(v) The United States where theDepartment determines that thelitigation is likely to directly affect theDepartment or any of its components.



(d) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the party, counsel,representative or witness.




STORAGE:The records are maintained in file

folders and binders inside a file roomcentrally situated within the EEOGoffice.

RETRIEVABILITY:The records are indexed by formal

complaint case numbers, and cross-referenced by a separate log identifyingthe names of the individuals or classagents on whom they are maintained.

SAFEGUARDS:Access to and use of these records are

limited to those persons whose officialduties require access. Physical securityof the file room and entire office areainvolves lockable entry doors with off-the-master keys.

RETENTION AND DISPOSAL:The complaint cases of discrimination

may be retired to the Federal RecordsCenter three years after their finaldisposition through the administrative(and judicial, as applicable) processes.

SYSTEM MANAGERS AND ADDRESS:Director, Equal Employment

Opportunity Group, Office ofManagement, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Washington, DC 20202-4550.

NOTIFICATION PROCEDURE:If you wish to determine if a record

exists regarding you in this system ofrecords, contact the system manager atthe address listed above. You shouldinclude your name, date of birth,Departmental principal office in whichthe situation arose, the approximatedate, and the type of action taken. Yourrequest must meet the requirements ofthe 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 aboveunder Notification Procedure. Youshould also reasonably specify therecord contents being sought. Yourrequest must meet the requirements ofthe 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 atthe address listed above. You shouldreasonably identify the record andspecify the information to be contested.Your request should satisfy therequirements of the regulations at 34CFR 5b.7.


from individuals to whom the recordpertains, Department officials or otherofficials, statements from employees orother witnesses, official documentspertinent to the complaint andcorrespondence from specificorganizations or persons.


None.

18–05–05

SYSTEM NAME:Grievances Filed Formally Under the

Administrative Grievance Procedure.


SYSTEM LOCATION:Human Resources Group, Office of

Management, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 2E200, Washington, DC 20202.See the Appendix at the end of thissystem notice for additional locations.


This system contains records on non-bargaining unit employees of theDepartment regardless of type ofappointment, who individually or as agroup, request personal relief in a matterof concern or dissatisfaction which issubject to the control of Departmentmanagement. This includes formeremployees of the Department for whoma remedy can be provided as well asapplicants.

CATEGORIES OF RECORDS IN THE SYSTEM:Information or documents relating to

the grievance and personal relief sought,materials used in consideration of thegrievance, and correspondence relatedto disposition of the grievance,including but not limited to the formalgrievance, fact finder’s report, finaldecision, and all other relateddocuments.



system is to consider and settle mattersof dissatisfaction or concern of coveredindividuals.




















(5) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant to

one of the following proceedingsregarding a present or former employeeof the Department: Complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.



(8) Disclosure to the Department ofJustice (DOJ). The Department maydisclose records to the DOJ to the extentnecessary for obtaining DOJ advice onany matter relevant to an audit,inspection, or other inquiry related tothe programs covered by this system.


(10) Research Disclosure. TheDepartment may disclose records to aresearcher if an appropriate official ofthe Department determines that theindividual or organization to which thedisclosure would be made is qualified tocarry out specific research related tofunctions or purposes of this system ofrecords. The official may discloserecords from this system of records tothat researcher solely for the purpose ofcarrying out that research related to thefunctions or purposes of this system ofrecords. The researcher shall berequired to maintain Privacy Actsafeguards with respect to the disclosedrecords.

(11) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the written



request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(12) Disclosure to the Office ofManagement and Budget (OMB) forCredit Reform Act (CRA) Support. TheDepartment may disclose records toOMB as necessary to fulfill CRArequirements.




STORAGE:Records are maintained in hard copy

stored in file folders, on computers andin handwritten logs for HumanResources. Summary data of records arealso maintained in a computerizedtracking system.

RETRIEVABILITY:Records are indexed alphabetically by

organization and year.


limited to those persons with a ‘‘need-to-know’’ and whose official dutiesrequire such access. Personnel screeningis employed to prevent unauthorizeddisclosure. Computers are passwordprotected for individuals with access.All data bases are designed withstringent security measures to controlindividual users’ ability to access andalter 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 inthe General Records Schedule 1,Civilian Personnel Records, Item 30(a).

SYSTEM MANAGER(S) AND ADDRESS:Director, Labor Relations Group,

Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 2W300, Washington, DC20202. See the Appendix at the end ofthis system notice for additional systemmanagers.


record exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


regarding you in this system of records,

contact the system manager at theaddress listed above and follow thesteps outlined in the NotificationProcedure. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


a record in this system of records,contact the system manager at theaddress listed above. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.7, including proof ofidentity.


is supplied from the following sources:Directly by the individual filing thegrievance, from information supplied bythe individual, by testimony ofwitnesses, employee representatives,Department employees or officials.


None.


Additional System Locations and SystemManagersDirector, Human Resources Group, Office of

Management, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Washington, DC 20202.

Employee Relations Team, Office ofManagement, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 2E233, Washington, DC 20202–4737.

U.S. Department of Education, RegionalPersonnel Office O’Neill FederalBuilding, 10 Causeway Street, Room1095 Boston, MA 02222.

U.S. Department of Education, RegionalPersonnel Office 75 Park Place, 12thFloor, New York, NY 10007.

U.S. Department of Education, RegionalPersonnel Office 3535 Market Street,Room 16300, Philadelphia, PA 19104.

U.S. Department of Education, RegionalPersonnel Office 61 Forsyth Street, SW,Suite 18T55, Atlanta, GA 30303.

U.S. Department of Education, RegionalPersonnel Office 111 N. Canal Street,Room 1084, Chicago, IL 60606.

U.S. Department of Education, RegionalPersonnel Office 1999 Bryan Street, Suite2710, Dallas, TX 75201–6817.

U.S. Department of Education, RegionalPersonnel Office 10220 North ExecutiveHills Boulevard, 9th Floor, Kansas City,MO 64153.

U.S. Department of Education, RegionalPersonnel Office 1244 Speer Boulevard,Room 353, Denver, CO 80204–3582.

U.S. Department of Education, RegionalPersonnel Office 50 United NationsPlaza, Room 207, San Francisco, CA94102–4987.

U.S. Department of Education, RegionalPersonnel Office 915 Second Avenue,Room 3388, Seattle, WA 98174–1099.

18–05–06

SYSTEM NAME:

Grievance Records Filed underProcedures Established By Labor-Management Negotiations.


None.

SYSTEM LOCATION:

Labor Relations Group, Office ofManagement, U.S. Department ofEducation, 400 Maryland Ave., SW.,Room 2C136, Washington, DC 20202–4754.


This system contains records onpresent and past bargaining unitemployees of the Department coveredby the Collective Bargaining Agreementbetween the Department and AmericanFederation of Government EmployeesCouncil 252.


This system of records consists of avariety of records relating to anemployee’s grievance filed underprocedures established by labor-management negotiations includingemployee’s name, Social Securitynumber, grade, job title, testimony ofwitnesses, material placed into therecord to support the decision, thearbitrator’s decision, the arbitrator’sreport, and a record of an appeal to theFederal Labor Relations Authority.


5 U.S.C. 7101.

PURPOSE(S):

The information in this system is usedto make determinations and todocument a decision made on agrievance filed by an employee underthe negotiated grievance procedures.Information from this system may beused by Department officials forpreparing statistical summary ormanagement reports.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of the



Act, under a computer matchingagreement.

(1) Agency Disclosure. TheDepartment may disclose informationfrom this system to the Office ofPersonnel Management, Merit SystemsProtection Board (including its Office ofSpecial Counsel), Equal EmploymentOpportunity Commission, and theFederal Labor Relations Authority(including the General Counsel of theAuthority and the Federal SystemsImpasses Panel) to facilitate theiradministrative or enforcementfunctions.















(v) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components;

(vi) The arbitrator that the Departmentand AFGE Council 252 contracts to heararbitration hearings as the result ofinvocation of arbitration under thecollective bargaining agreement betweenthem.

(b) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, the

Department may disclose those recordsas a routine use to the DOJ.

(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, The Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.






and a list of individual names ismaintained in electronic media.

RETRIEVABILTY:Records are retrievable by file number

which are cross-referenced byindividual names.

SAFEGUARDS:When not in use by authorized

persons, these records are stored inmetal file cabinets stored within thesecured suite of the Labor RelationsGroup. Access to and use of theserecords are limited to personnel whohave a need for the records in theperformance 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. Departmentof Education, 400 Maryland Ave., SW.,Room 2C136, Washington, DC 20202–4754.


record exists regarding you in thesystem of records, provide the systemmanager with your name, approximatedate of grievance, and management



component and/or individual againstwhom the grievance was filed. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


If you wish to gain access to a recordin this system, contact the systemmanager at the above address. Yourrequest must meet the requirements ofthe at 34 CFR 5b.5, including proof ofidentity.


If you wish to contest the content ofrecords regarding you in this system,contact the system manager at the aboveaddress and reasonably identify therecord and specify the informationcontested. Your request must meet therequirements of the regulations at 34CFR 5b.7.


Information in this system of recordsis obtained directly from informationsupplied by the individual; testimony ofwitnesses, union officials, or byDepartment officials.


None.

18–05–07

SYSTEM NAME:

Unfair Labor Practice Records.

SYSTEM CLASSIFICATION:

None.

SYSTEM LOCATION:

Labor Relations Group, Office ofManagement, U.S. Department ofEducation, 400 Maryland Ave., SW.,Room 2C136, Washington, DC 20202–4754.


This system contains records onpresent and past Department employeesand union officials.


This system of records consists of avariety of records relating to an unfairlabor practice charge including theemployee’s name, Social Securitynumber, grade, job title, employmenthistory and a variety of work andpersonnel records associated with thecharges and required under proceedingsestablished by 5 U.S.C. 7101 andDepartment of Labor Regulations.


5 U.S.C. 7101.

PURPOSES:The information in this system is used

in the processing, investigation andlitigation of unfair labor practice chargesthat may be filed by the AFGE Council252, any of the AFGE Local officeslocated at Department Headquarters andeach of 10 regional offices and bybargaining unit employees of theDepartment.



(1) Agency Disclosure. TheDepartment may disclose informationfrom this system to the Office ofPersonnel Management, Merit SystemsProtection Board (including its Office ofSpecial Counsel), Equal EmploymentOpportunity Commission, and theFederal Labor Relations Authority(including the General Counsel of theAuthority and the Federal SystemsImpasses Panel) to facilitate theiradministrative or enforcementfunctions.








1(v) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components;






None.



and a list of individual names are kepton electronic media.

RETRIEVABILITY:

Records are retrievable by file numberwhich are cross-referenced byindividual names.

SAFEGUARDS:

When not in use by authorizedpersons, these records are stored inmetal file cabinets stored within thesecured suite of the Labor RelationsGroup. Access to and use of theserecords are limited to personnel whohave a need for the records in theperformance of official duties.



RETENTION AND DISPOSAL:According to the Records Retention

Schedule of the NARA, records aremaintained for 5 years.

SYSTEM MANAGER(S) AND ADDRESS:Director, Labor Relations Group, U.S.

Department of Education, 400 MarylandAve., SW., Room 2C136, Washington,DC 20202-4754.


record exists regarding you in thesystem of records, provide the systemmanager with your name, approximatedate of record, the unfair labor practicecharges as specified by the complainant,and management component againstwhich the charge was filed. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


in this system, contact the systemmanager at the above address. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


records regarding you in this system,contact the system manager at the aboveaddress and reasonably identify therecord and specify the informationcontested. Your request must meet therequirements of the regulations at 34CFR 5b.7.

RECORD SOURCE CATAGORIES:Information in this system of records

is:(1) Supplied directly by the

individual; or(2) Derived from information supplied

by the individual; or(3) Supplied by testimony of

witnesses; or(4) Supplied by Department officials.

SYSTEMS EXEMPTED FROM CERTAIN PROVISISIONSOF THE ACT:

None.

18–05–08

SYSTEM NAME:Official Time Records of Union

Officials and Bargaining UnitEmployees at the Department ofEducation.

SYSTEM CLASSIFICATION:None.

SYSTEM LOCATION:Labor Relations Group, Office of

Management, U.S. Department of

Education, 400 Maryland Avenue, SW.,Washington, DC 20202-4754. See theAppendix at the end of this systemnotice for additional system locations.


This system contains records oncurrent and former Departmentprofessional and nonprofessionalemployees who are non-temporary, non-schedule C, non-supervisory and non-managerial employees and unionofficials who report use of official timeas defined under the Federal ServiceLabor-Management Relations Statute, 5U.S.C. 7101.

CATEGORIES OF RECORDS IN THE SYSTEM:This system of records consists of the

individual employees’ DepartmentFlexible Schedule Certification Formand the electronic transcript of thenumber of hours attributable for eachpay period into an active accounting oftotal hours used by each individualemployee to be reported to authorizedExecutive Branch agencies and to theCongress as requested.

AUTHORITY FOR THE MAINTENANCE OF THESYSTEM:

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

PURPOSES:The information contained in this

system is used to determine compliancewith the collective bargaining agreementbetween the U.S. Department ofEducation and the American Federationof Government Employees’ Council ofEducation Locals, No. 252 under theFSLMRS and to produce reports as maybe required by the Congress.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATAGORIES OF USERS ANDTHE PURPOSE OF SUCH USES:


(1) Agency Disclosure. TheDepartment may disclose informationfrom this system to the Office ofPersonnel Management, Merit SystemsProtection Board (including its Office ofSpecial Counsel), Equal Employment

Opportunity Commission, and theFederal Labor Relations Authority(including the General Counsel of theAuthority and the Federal SystemsImpasses Panel) to facilitate theiradministrative or enforcementfunctions.








(v) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components;




(d) Parties, counsels, representativesand witnesses. If the Department



determines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the party, counsel,representative or witness.




POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEMS:


and electronic media after transcriptionfrom hard copy.

RETRIEVABILITY:Records are retrievable by name.

SAFEGUARDS:Records are stored in electronic

databases stored in secured rooms withaccess limited to those whose officialduties require access.

RETENTION AND DISPOSAL:According to the National Archives

and Records Administration’s GeneralRecords Schedules, records aremaintained for 5 years.


Director, Labor Relations Group,Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 2C136, Washington, DC20202-4754.


If you wish to determine whether arecord exists regarding you in thesystem of records, provide the systemmanager with your name, approximatedate of grievance, and managementcomponent or individual or both againstwhom the grievance was filed. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


in this system, contact the systemmanager at the above address. Yourrequest must meet the requirements of

the regulations at 34 CFR 5b.5,including proof of identity.


If you wish to contest the content ofrecords regarding you in this system,contact the system manager at the aboveaddress and reasonably identify therecord and specify the informationcontested. Your request must meet therequirements of the regulations at 34CFR 5b.7.


Information in this system of recordsis:

(1) Supplied directly by theindividual, or

(2) Supplied by union officials, or(3) Supplied by Department officials.


None.

Appendix to 18-05-08

Additional system Locations

Employee Relations Team, Office ofManagement, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 2E233, Washington, DC 20202-4737.

Informal Dispute Resolution Center, Office ofHearings and Appeals, U.S. Departmentof Education, L’Enfant Plaza, Room2100A, Washington, DC 20202.

Regional Personnel Office, U.S. Departmentof Education, O’Neill Federal Building,10 Causeway Street, Room 1095, Boston,MA 02222.

Regional Personnel Office, U.S. Departmentof Education, 75 Park Place, 12th Floor,New York, NY 10007.

Regional Personnel Office, U.S. Departmentof Education, Wanamaker Building, 100Penn Square East, Suite 503,Philadelphia, PA 10107.

Regional Personnel Office, U.S. Departmentof Education, 61 Forsyth Street, SW,Suite 8T55, Atlanta, GA 30303.

Regional Personnel Office, U.S. Departmentof Education, 111 N. Canal Street, Room1084, Chicago, IL 60606.

Regional Personnel Office, U.S. Departmentof Education, 1999 Bryan Street, Suite2710, Dallas, TX 75201-6817.

Regional Personnel Office, U.S. Departmentof Education, 10220 North ExecutiveHills Boulevard, 9th Floor, Kansas City,MO 64153.

Regional Personnel Office, U.S. Departmentof Education, 1244 Speer Boulevard,Room 353, Denver, CO 80204-3582.

Regional Personnel Office, U.S. Departmentof Education, 50 United Nations Plaza,Room 207, San Francisco, CA 94102-4987.

Regional Personnel Office, U.S. Departmentof Education, 915 Second Avenue, Room3388, Seattle, WA 98174-1099.

18-05-09

SYSTEM NAME:Voluntary Leave Transfer (VLT)

Program.


SYSTEM LOCATION:Director, Office of Management, U.S.

Department of Education, 400 MarylandAvenue, SW., Room 2W300,Washington, DC 20202.


This system contains records onDepartment of Education employeesseeking voluntary donations of annualleave from other federal employees inorder to cover leave shortfalls broughtabout by documented medicalemergencies.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of written

applications of employees seekingassistance from the program, medicalstatements certifying need, agencyapprovals or denials, leave donationrecords, leave transfer records,supervisor/timekeeper approvals,payroll notification records, leaveprogram termination records, and otherrelated documents. Most of theserecords contain individual SocialSecurity numbers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Pub. L. 100–566; 5 CFR 630.913.1.


system is used for the purposes ofdetermining program eligibility and fordocumenting voluntary transfers ofleave to program recipients.



(1) Program Disclosures. TheDepartment may disclose records to (1)the Office for Personnel Management inorder to respond to requests forinformation or other official inquiries;



and (2) the staff of the Department ofInterior responsible for preparation ofpayroll documents,












(4) Disclosure for Use by Other LawEnforcement Agencies. The Department

may disclose information to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation if thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility within thereceiving entity’s jurisdiction.



(a) For Decisions by the Department.The Department may disclose a recordto a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, or to another public authorityor professional organization, ifnecessary to obtain information relevantto the Department decision concerningthe hiring or retention of an employeeor other personnel action, the issuanceof a security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.





DISCLOSURE TO CONSUMER PROTECTIONAGENCIES:



STORAGE:Records are stored in file folders in a

manual filing system.

RETRIEVABILITY:Records are retrievable by name of

program recipient.


limited to personnel whose officialduties require such access. Personnelscreening is employed to preventunauthorized disclosure.

RETENTION AND DISPOSAL:Records are retained for one year after

the end of the year in which the file isclosed and are then destroyed.

SYSTEM MANAGER AND ADDRESS:Director, Office of Management, U.S.

Department of Education, 400 MarylandAvenue, SW., Room 2W300,Washington, DC 20202.


record exists regarding you in thesystem of records, provide the systemmanager with your name, approximatedate of grievance, and managementcomponent and/or individual againstwhom the grievance was filed. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


in this system, contact the system



manager at the above address. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


records regarding you in this system,contact the system manager at the aboveaddress and reasonably identify therecord and specify the informationcontested. Your request must meet therequirements of the regulations at 34CFR 5b.7.


is provided by the individual to whomit applies, is derived from informationhe or she supplied or is obtained frominformation supplied by others.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONSOF THIS ACT:

None.

18–05–10

SYSTEM NAME:General Performance Appraisal

System (GPAS).


SYSTEM LOCATION:Human Resources Group, Office of

Management, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 2E300, Washington, DC 20202–4737. See the Appendix at the end ofthis system notice for additional systemlocations.


The U.S. Department of Education(Department), General PerformanceAppraisal System (GPAS) contains theperformance appraisal of all Departmentemployees in General Schedule (GS),General Merit (GM), AdministrativelyDetermined (AD), and prevailing rateplans.

CATEGORIES OF RECORDS IN THE SYSTEM:The Department GPAS software holds

two categories of data on employeesparticipating in Department’sperformance appraisal process. Theserecords include:

(1) Personnel data, such as name,social security number, organizationalentity, supervisor, position title, seriesand grade; and

(2) Performance appraisal data: GPASEmployee Performance Agreement,evaluation standards, list of evaluators,scores and comments.

Hard copies of an employee’s GPASEmployee Performance Agreement,

Rating of Record, and any requiredcomments are maintained in anEmployee Performance File (EPF).These files are located in cabinets in alocked secure room with Departmentemployees’ Official Personnel Folders.

Hard copies of the ‘‘SummaryEvaluation and Comments Reports’’, aregenerated by the GPAS System/GroupAdministrator. These reports are treatedwith utmost confidentiality. They areprovided to the employee’s supervisorand shared with the employee,approving official and with otherappropriate management employees ona ‘‘need-to-know’’ basis. The GPASSystem/Group Administrator retains ahard copy of the Summary andComments Reports for each employeefor one year.

The GPAS System/GroupAdministrator maintains hard copies ofthe feedback and comments reports forone year.

Hard copies of the GPAS EmployeePerformance Agreement, Rating ofRecord, and any required comments aremaintained in the employee’s EmployeePerformance File for four years.


5 U.S.C. 43; Title 5, Code of FederalRegulations (CFR), part 430,Performance Management, subparts Aand B.

PURPOSE(S):

The information in this system is usedto generate feedback reports onemployees which are taken intoconsideration when the employee’ssupervisor provides the summary ratingincorporated in the ‘‘Rating of Record,’’which is the official rating documentplaced in an employee’s EmployeePerformance File (EPF).


The Department may discloseinformation contained in a record inthis system of records under the routineuses listed in this system of recordswithout the consent of the individual ifthe disclosure is compatible with thepurpose for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.

(1) Employment-Related Disclosures.The Department may disclose records toDepartment supervisors and othermanagement personnel on a ‘‘need-to-know’’ basis. The records may be usedas a basis for, or in conjunction with,

Reduction-in-Force, performance-basedactions, within-grade actions, adverseactions, decisions regarding retention ofemployees during probationary period,recognition, promotions, reassignmentsand other appropriate personnel actions.When the Official Personnel Folder(OPF) and EPF of a GPAS employee aresent to another agency or to the NationalPersonnel Records Center, the ServicingPersonnel Office shall include allRatings of Record that are four years oldor less, any required comments, and theassociated GPAS Employee PerformanceAgreements in the EPF.

(2) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation if thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecute responsibility within thereceiving entity’s jurisdiction.



(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation or ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) and (d)of this routine use under the conditionsspecified in those paragraphs:





(v) The United States where theDepartment determines that the



litigation is likely to affect theDepartment or any of its components.





(a) Decisions by the Department. TheDepartment may disclose a record to aFederal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, or to another public authorityor professional organization, ifnecessary to obtain information relevantto a Department decision concerning thehiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.

(b) Decisions by Other PublicAgencies and ProfessionalOrganizations. The Department maydisclose a record to a Federal, State,local, or foreign agency or other publicauthority or professional organization,in connection with the hiring orretention of an employee or otherpersonnel action, the issuance of asecurity clearance, the reporting of aninvestigation of an employee, the lettingof a contract, or the issuance of alicense, grant, or other benefit, to theextent that the record is relevant andnecessary to the receiving entity’sdecision on the matter.

(6) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to an arbitrator or anotheragency of the Federal Government if therecord is relevant to one of the followingproceedings regarding a present or

former employee of the Department:complaint, grievance, discipline orcompetence determination proceedings.The disclosure may only be madeduring the course of the proceeding.






(12) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the writtenrequest of that individual. Themember’s right to the information is no

greater than the right of the individualwho requested it.


DISCLOSURES TO CONSUMER REPORTINGAGENCIES:



STORAGE:

The Department GPAS electronicrecords reside on a single dedicatedcomputer that is housed in a securearea. The GPAS System Administratorretains for one year a hard copy of eachemployee’s ‘‘Summary AppraisalReport,’’ ‘‘Summary Evaluation Report,’’and any Comments Reports. These arehoused in locked file cabinets in theGPAS unit at the Department. Hardcopies of Ratings of Records, GPASEmployee Performance Agreements andany related required comments arestored in an employee’s EPF in a lockedroom.

RETRIEVABILITY:The GPAS records may be retrieved

by an employee’s name or socialsecurity number.

SAFEGUARDS:All physical records are maintained in

locked file cabinets. Employees haveaccess to the GPAS software at theirworkstations, controlled by passwordsthat the employees designate. Ifindividuals walk into employees’ workarea while employees are using theGPAS software, the software includes aHide key so that the evaluations will notbe compromised. System and groupadministrators maintain the GPASsoftware. These individuals are the onlyindividuals who have access to theentire database. They do not haveemployees’ passwords, but have theability to change the passwords uponrequest.

The database is protected by stringentsecurity mechanisms that include acombination of hardware, operatingsystem, application software, databasesoftware, and procedures. All physicalaccess to the Department site, and thesites of Department contractors wherethis system of records are maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge.



RETENTION AND DISPOSAL:An employee’s records remain in the

GPAS database until employment withthe Department is terminated. Somedata is housed temporarily in the GPASdatabase during each of theDepartment’s annual and midpointreviews or surveys during which newdata is entered directly into the GPASsystem by the employee and theirevaluation team members andaccumulates over the course of thereview process. An employee’s GPASEmployee Performance Agreement,which identifies their performanceelements and standards, and the ‘‘Ratingof Record,’’ Department’s officialperformance review document, are keptin the employee’s EPF for four years. Ifthe employee leaves the Departmentprior to the end of the 4 years, the GPASrecords are forwarded to either theNational Personnel Records Center orthe agency to which the employeetransferred.

SYSTEM MANAGER(S) AND ADDRESS:Director, Human Resources Group,

Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., FB–6, Room 2E300, Washington,DC 20202–4737. See the Appendix atthe end of this system notice foradditional system managers.

NOTIFICATION PROCEDURE:If an employee wishes to determine

whether a record exists regarding themin the system of records, the employeeshould provide the system managerwith his name (including all namesused) and social security number. Therequest must meet the requirements ofthe regulations at Title 5, Code ofFederal Regulations, part 34 § 5b.5,including proof of identity. Theemployee may present a request inperson at any of the locations identifiedfor this system of records or address itto the appropriate system manager.

RECORD ACCESS PROCEDURES:If you wish to gain access to the

records regarding you in this system ofrecords, you should contact the systemmanager at the above address. Yourrequest must meet the regulations at 34CFR 5b.5, including proof of identity.


a record, you should contact the systemmanager at the above address. Yourrequest must meet the regulations at 34CFR 5b.7.

RECORD SOURCE CATEGORIES:The information in this system comes

from the Department’s integratedpersonnel/payroll system, the

employees, supervisors, and evaluationteam members.


None.



Regional Personnel Officer, HumanResources Group, U.S. Department ofEducation, 61 Forsyth Street, SW., Suite18T55, Atlanta, GA 30303.

Regional Personnel Officer, HumanResources Group, U.S. Department ofEducation, 111 N. Canal Street, Room1084, Chicago, IL 60606.

Regional Personnel Officer, HumanResources Group, U.S. Department ofEducation, 50 United Nations Plaza,Room 207, San Francisco, CA 94102–4987.

18–05–11

SYSTEM NAME:Training Registration and Information

System (TRAINS).


SYSTEM LOCATION:Training and Development Center,

Office of Management, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 2W210, Washington, DC20202. See Appendix at the end of thissystem notice for additional systemlocations.


TRAINS contains records ofemployees who register to attendtraining classes within the Departmentor who request training with an outsidevendor for which approval and paymentis required.

CATEGORIES OF RECORDS IN THE SYSTEM:TRAINS consists of records relating to

an employee’s applications for, andparticipation in, Department trainingclasses (internal training) and trainingcourses, conferences, or other training-related activities offered by vendors orgovernment agencies outside theDepartment (external training). Inaddition to the employee’s name, thesystem contains the employee’s SocialSecurity Account Number, positionlevel, pay plan, grade, series,organization in which employed,building/room/telephone number,service completion date, supervisor’sname, training requests, record ofwhether the employee attended or didnot attend the internal class, and recordof approval by principal office and costof the external training, conference or

training-related activity. For internaltraining use, TRAINS has tables ofcourse names and categories required toset up internal training classes andreport the statistics on training offerings(numbers of attendees for specificcourses during specific date parameters,for example). TRAINS also containstables of users’ identificationinformation, building addresses, roomlocations, and vendor names andaddresses.


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

PURPOSE(S):

TRAINS is used for the followingpurposes: (1) To track courseenrollments; (2) provide course rosters;(3) to produce attendance records foremployees who attend internal trainingclasses; (4) to produce reports onindividual employees’ trainingactivities; (5) to produce reports ontraining activities conducted byindividual organizations within theDepartment; and (6) by employees torequest approval to attend trainingactivities conducted outside theDepartment.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis notice without the consent of theindividual if the disclosure iscompatible with the purposes for whichthe record was collected. Thesedisclosures may be made on a case-by-case basis or, if the Department hascomplied with the computer matchingrequirements of the Act, under acomputer matching agreement.


(2) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords to the appropriate agency,



whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating or prosecuting thatviolation or charged with enforcing orimplementing the statute, executiveorder, rule, regulation, or order issuedpursuant thereto.












(a) For Decisions by the Department.The Department may disclose a recordto a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinent

records, or to another public authorityor professional organization, ifnecessary to obtain information relevantto a Department decision concerning thehiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.






(9) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of the

contractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.







STORAGE:The records are maintained on a

networked computer server with backupprocedures standard to all Departmentservers. Individual offices may maintaina hard copy of the training requests.Since entries are made and storedelectronically, any hard copy recordsare kept following the procedures and/or requirements of the individualprincipal office. The Training andDevelopment Center maintains hardcopies of data such as signed classrosters only until the TRAINS databaseis updated.

RETRIEVABILITY:The system is indexed by Social

Security number. The Training andDevelopment Center staff, designated



employees, and contractors who supportthe staff can access data in the systemby employee name. Data for reports areretrievable by information from tablessuch as organization code andidentifying codes for course names.

SAFEGUARDS:

All physical access to the Departmentof Education site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge. Thecomputer system employed by theDepartment of Education offers a highdegree of resistance to tampering andcircumvention. This security systemlimits data access to Department ofEducation and contract staff on a ‘‘need-to-know’’ basis, and controls individualusers’ ability to access and alter recordswithin the system. All users of thissystem of records are given a uniqueuser ID with personal identifiers. At aprogram/server level all interactions byindividual users with the system arerecorded. Utilities within the programcan identify users’ last logon and recordchanges made in registrations. There arefour categories of individuals who havesome access to this system: trainingcoordinators, executive officers, TDCstaff and designated employees andcontractors who support TDC activitiesand system administrators.


Records of individuals are in thesystem indefinitely. Employees whosenames are no longer in the personneldatabase are marked for archivingwithin the system. A utility is availableto reactivate the records of an employeewho returns to the Department.


Training and Development GroupDirector, Training and DevelopmentCenter, Office of Management, U.S.Department of Education, 400 MarylandAvenue, SW., Room 2W210,Washington, DC 20202-4614.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the trainingcoordinator for your principal office andprovide the training coordinator withyour name and social security number.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.You may also present your request inperson at any of the locations identifiedfor this system of records which include

your specific organization or addressyour request to the system manager atthe address listed above.

RECORD ACCESS PROCEDURES:You may request a copy of your

student transcript from TRAINS throughthe training coordinator for thatorganization. Managers may requestreports that may include the names ofemployees in that organization from thetraining coordinator or principal officefor that organization. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.5, including proof ofidentity.

CONTESTING RECORD PROCEDURES:If you wish to contest the information

in this system pertaining to you, youshould contact the system manager atthe above address. You will need toprovide specific information concerningany errors or omissions. It should benoted that not all employee training isentered into TRAINS and thereforecannot be tracked on the studenttranscript. Questions about externaltraining for which there is no recordmust be addressed to the appropriateprincipal office.

RECORD SOURCE CATEGORIES:The employee database is a subset of

information from the Department’semployee payroll database. Thisprovides the employee Social Securitynumber, name, grade, job series, andservice completion date. Locatorinformation (building/room/phonenumber) is updated manually fromemployee-provided information.Supervisor’s name is updated manuallyfrom employee-provided information.All information regarding externaltraining requests are provided by theemployee requesting the training.


None.


Additional System Locations

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

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

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

ROB–3, 7th and D Streets, SW., Washington,DC 20202.

Portals Building, 1250 Maryland Avenue,SW., Washington, DC 20202.

Region I, McCormack Post Office &Courthouse, Boston, MA 02109.

Region II, 75 Park Place, New York, NY10007.

Region III, The Wanamaker Building, 100Penn Square East, Room 502,Philadelphia, PA 19107.

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

Region V, 111 North Canal Street, Chicago, IL60606.

Region VI, 1999 Bryan Street, Dallas, TX75201.

Region VII, 10220 North Executive HillsBlvd., Kansas City, MO 64153.

Region VII, 7505 Tiffany Springs Parkway,Kansas City, MO 64153.

Region VIII, 1244 Speer Boulevard, Denver,CO 80204.

Region VIII, 1391 N. Speer Boulevard,Denver, CO 80204.

Region IX, 50 United Nations Plaza, SanFrancisco, CA 94102.

Region X, 915 Second Avenue, Seattle, WA98174.

Region X, 1000 Second Avenue, Seattle, WA98174.

18–05–12

SYSTEM NAME:Grievances Filed Informally Through

the Informal Dispute Resolution Center(IDR Center).


SYSTEM LOCATION:Informal Dispute Resolution Center,

Office of Hearings and Appeals, Officeof Management, U.S. Department ofEducation, L’Enfant Plaza, Room 2100A, Washington, DC 20202.


This system contains records on non-bargaining unit employees of theDepartment regardless of type ofappointment, who individually or as agroup, request personal relief in a matterof concern or dissatisfaction which issubject to the control of Departmentmanagement. This includes formeremployees of the Department for whoma remedy can be provided, as well asapplicants.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of IDR Center

files.



system is to consider and settle mattersof dissatisfaction or concern of coveredindividuals.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without the



consent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.
























(12) Disclosure to the Office ofManagement and Budget (OMB) forCredit Reform Act (CRA) Support. The



Department may disclose records toOMB as necessary to fulfill CRArequirements.




STORAGE:

Records are maintained in hard copy.Summary data of records are alsomaintained in a computerized trackingsystem.

RETRIEVABILITY:IDR Center records are indexed by

docket number.

SAFEGUARDS:

Access to and use of these records arelimited to those persons with a ‘‘need-to-know’’ and whose official dutiesrequire such access. Personnel screeningis employed to prevent unauthorizeddisclosure. Computers are passwordprotected for individuals with access.All data bases are designed withstringent security measures to controlindividual users’ ability to access andalter records within the system.


The IDR Center records are retainedfor 4 years after resolution of the case,as set forth in the General RecordsSchedule 1, Civilian Personnel Records,Item 25(a), 30(a).


Director, Informal Dispute ResolutionCenter, U.S. Department of Education,400 Maryland Avenue, SW., Suite 2100A, L’Enfant Plaza, Washington, DC20202.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of the Act regulations at34 CFR 5b.5, including proof of identity.


If you wish to gain access to recordsregarding you in this system of records,contact the system manager at theaddress listed above and follow thesteps outlined in the NotificationProcedure. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


If you wish to contest the content ofa record in this system of records,

contact the system manager at theaddress listed above. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.7, including proof ofidentity.


is supplied from the following sources:Directly by the individual filing thegrievance, from information supplied bythe individual, by testimony ofwitnesses, employee representativesand/or Department employees/officials.


None.

18–06–01

SYSTEM NAME:Federal Advisory Committee

Membership Files.


SYSTEM LOCATION:Committee Management, Office of

Intergovernmental and InteragencyAffairs, U.S. Department of Education,400 Maryland Avenue, SW., Room5E330, Washington, DC 20202–3571.


Individuals who have been or arepresently members of or are beingconsidered for membership on advisorycommittees or other committees withinthe jurisdiction of the Department ofEducation.

CATEGORIES OF RECORDS IN THE SYSTEM:Records in this system consists of one

or more of the following: Name, title,sex, place and date of birth, homeaddress, business address,organizational affiliation, phonenumbers, fax numbers, e-mail addresses,degrees held, general educationalbackground, ethnic background, resume,curriculum vitae, dates of term onadvisory committee, status on advisorycommittee, reason for leaving advisorycommittee, previous or currentmembership on other advisorycommittee, special qualifications of theindividual for the advisory committee orother membership, source whorecommended the individual formembership on advisory andmiscellaneous correspondence.Additionally, memoranda justifying theindividual’s selection are included inthe file in cases in which the individualhas served repetitively on advisorycommittees, has not had a one-yearbreak in service on advisory, or wherevarious statutory or other requirements

for advisory committee membershipcannot be met.


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

PURPOSE(S):

The information in this system is usedto evaluate and select individuals formembership on advisory committees orother committees within the jurisdictionof the Department.



(1) Reporting Disclosures. TheDepartment may disclose a record to thePresident, the Office of Managementand Budget, the General ServicesAdministration or to the GeneralAccounting Office in order to completeits reporting requirements under 41 CFRpart 101–6.








(b) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevant



and necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ.



(3) Congressional Member Disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. TheMember’s right to the information is nogreater than the right of the individualwho requested it.


STORAGE:Records are maintained in hard-copy

filed in file cabinets and/or index cards.

RETRIEVABILITY:For the most part records are

maintained in an alphabetical index byname of the committees. Records fromthe system are available to the staffs ofthe respective Advisory Committees andother Department staff on a ‘‘need-to-know’’ basis. Uses include specialadministrative reports; quarterlyalphabetical listings of past, present andrecommended members of AdvisoryCommittees; and other administrativeneeds.

SAFEGUARDS:Direct access to records is restricted to

authorized personnel through lockedfiles, rooms, and buildings, as well asbuilding pass and security guard sign-insystems.

RETENTION AND DISPOSAL:Retention is variable from one year to

permanent retention depending uponthe type of record, e.g., names of formermembers of advisory committees areretained permanently. Certain records

are disposed of by referral to the FederalRecords Center. Others are disposed ofas trash by the system manager or officeof security depending upon theconfidentiality of the informationcontained on the record.

SYSTEM MANAGER(S) AND ADDRESS:Committee Management Officer,

Office of Intergovernmental andInteragency Affairs, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 5E330, Washington, DC 20202–3571.

NOTIFICATION PROCEDURE:Same as above.

RECORD ACCESS PROCEDURES:Same as notification procedures.

Requestors should also reasonablespecify the record contents, beingsought. These access procedures are inaccordance with DepartmentRegulations (34 CFR 5b.5(a)(2)).

CONTESTING RECORD PROCEDURES:Contact the official at the address

specified under notification procedures,and reasonably identify the record andspecify the information to be contested.(These procedures are in accordancewith Department Regulations (34 CFR5b.7.

RECORD SOURCE CATEGORIES:The vast majority of information

contained in records on individuals isobtained directly from the individual.Other information in the form ofreferences and recommendations isobtained from other private individuals,program personnel, biographicalreference books, private organizations,former employees, regional office of theDepartment, Members of Congress, andother government sources.

Additionally the system of recordscontains information about members ofthe public who have requested that theyreceive various publications through theinclusion of their names and addresseson various mailing lists.

Information maintained on thoseindividuals who have requestedparticipation on mailing lists is limitedto name and mailing address,information maintained on individualswho are past, present, or recommended

18–06–02

SYSTEM NAME:Telephone Directory/Locator System.


SYSTEM LOCATION:Information Resource Center,

Intergovernmental and Interagency

Affairs, U.S. Department of Education,Room 5E233, 400 Maryland Avenue,SW., Washington, DC 20202-0498.


This system contains records oncurrent employees of the Department,vendors or other Federal employeeslocated in Department operating officesand facility complexes.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains records such as

first and last names, titles, agency officeaddresses, program and principal officeagency mailing addresses, telephonenumbers, fax numbers, e-mail addresses,and standard administrative codes fordepartmental employees and otherindividuals with access rights to theDepartment’s Intranet. Names, phonenumbers, principal and program offices,office addresses (building name,address, room number, region), and e-mail addresses are available via theDepartment’s website.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301, 40 U.S.C. 486(c).

PURPOSE(S):Records are used to develop and

maintain current employee locator anddirectory listings. The locator listingsare used by the Department informationcenters, employees, mail rooms, andothers specifically for the purpose oflocating employees and for routing mail.The directory listings are used toproduce departmental telephonedirectories on an as needed basis.

















Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under which

the claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEM:STORAGE:

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

RETRIEVABILITY:Records are retrievable by first and

last name, principal office name,telephone number, and a keywordsearch field.

SAFEGUARDS:Only authorized personnel have

access to master lists and the ability tomake permanent changes.

RETENTION AND DISPOSAL:Data is edited by each employee

online in real time. Therefore data canchange or be deleted each day. Once theemployee leaves the Department, alldata is deleted from the database as thedatabase only houses the most currentDepartmental employee location data.

SYSTEM MANAGER(S) AND ADDRESS:Locator Administrator(s), Information

Resource Center, Intergovernmental andInteragency Affairs, U.S. Department ofEducation, Room 5E233, 400 MarylandAvenue, SW., Washington, DC 20202–0498.


record regarding you exists in thissystem, contact the system manager atthe address provided above. Yourrequest must meet the requirements ofthe regulations at 34 5b.5, includingproof of identity.


regarding you in this system, contact thesystem manager. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.5, including proof ofidentity.


a record regarding you, contact thesystem managers. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.7.


from individual employee, the

Information Resource Center and theChief Information Office.


None.

18–07–01

SYSTEM NAME:

Congressional Members’ BiographiesSystem.


SYSTEM LOCATION:Legislative Affairs Office, Office of the

Assistant Secretary for Legislation andCongressional Affairs, U.S. Departmentof Education, 400 Maryland Avenue,SW., Room 7E301, Washington, DC20202.


This system contains records about allmembers of Congress.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains biographical

files on congressional membersconsisting of the Member’s name, title,state and district he or she represents,date of appointment to Congress, date ofbirth, place of birth, educationalbackground, previous employmentincluding political offices, House orSenate committee assignments, politicalsupport scores, how he or she voted onkey education legislation, brief personalbackground and education interestspertaining to the Department ofEducation, names of universities andcolleges located in each Housemember’s district, and a briefdescription of the district or state inwhich the Member of Congressrepresents.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:20 U.S.C. 3412(e).

PURPOSE(S):The information in this system is used

by the Secretary of Education and anydepartmental staff who needbackground information of a Member ofCongress while preparing for hearingsand meetings.


The Department may discloseinformation contained in a record inthis system of records under the routineuses listed in this system of recordswithout the consent of the individual ifthe disclosure is compatible with thepurpose for which the record was



collected. The member’s right to theinformation is no greater than the rightof the individual who requested it.

(1) Contact Disclosures. TheDepartment may disclose recordscontained in this system to individualsand entities (including educationalinstitutions) that the Departmentcontacts while formulating andenforcing education policies.




individual files stored in standard four-drawer file cabinets and also inelectronic format on a hard driveaccessible by staff of the Office forLegislation and Congressional Affairs.


last name.

SAFEGUARDS:Files are maintained in the Office of

Legislation and Congressional Affairsand requests are honored on a ‘‘need-to-know’’ basis only. All physical access tothe Department of Education site, andthe sites of Department contractorswhere this system of records ismaintained, is controlled and monitoredby security personnel who check eachindividual entering the building for hisor her employee or visitor badge.

The computer system employed bythe Department of Education offers ahigh degree of resistance to tamperingand circumvention. This securitysystem limits data access to Departmentof Education and contract staff on a‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are givena unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Records are constantly updated as

circumstances warrant relative to theactivities of Congress.

SYSTEM MANAGER(S) AND ADDRESS:Office of Legislation and

Congressional Affairs, Legislative

Affairs Office, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 7E301, Washington, DC 20202.







RECORD SOURCE CATEGORIES:Information is obtained from

Congressional Quarterly, Inc., TheAlmanac of American Politics, Roll CallNewspapers, on-line biographies andpress releases of Members of Congress,and the Office of PostsecondaryEducation at the U.S. Department ofEducation.


None.

18–07–02

SYSTEM NAME:Congressional Grant Notification

Control System.


SYSTEM LOCATION:Congressional Outreach, Office of

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


The Congressional Grant NotificationControl System contains records aboutmembers of Congress.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of direct

inquiries and letters of supportconcerning discretionary grants fromMembers of Congress.


PURPOSE:The information in this system is used

to provide responses to inquiries fromMembers of Congress regardingdiscretionary grant notification.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purpose for whichthe record was collected and only asneeded to perform one or more of thefollowing routine uses:

(1) Inter-Agency Disclosure. Inquiriesthat do not pertain to the Department,but fall under the jurisdiction of anotherFederal agency, are transferred to thatAgency with a request that a directresponse be provided to thecorrespondent.


(3) Litigation and Alternative DisputeResolution.

(a) In the event of litigation where oneof the parties listed below is involved inlitigation or ADR, the Department maydisclose such records as it deemsdesirable or necessary to the Departmentof Justice (DOJ) to enable DOJ toeffectively represent such party,provided such disclosure is compatiblewith the purpose for which the recordswere collected.





(iv) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(b) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine used to the DOJ.




(d) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose records as aroutine use to the party, counsel,representative or witness.




STORAGE:The records are maintained in hard

copy filed in standard file cabinets.


grant title.

SAFEGUARDS:Records are kept in the responsible

grant notification team member’s office.All physical access to the Department’ssite, and the sites of Departmentcontractors where this system of recordsis maintained, is controlled andmonitored by security personnel whocheck each individual entering thebuilding for his or her employee orvisitor badge.

The computer system employed bythe Department offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department andcontract staff on a ‘‘need-to-know’’basis, and controls individual users’ability to access and alter records withinthe system. All users of this system ofrecords are given a unique user ID withpersonal identifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Records are maintained for two years.

SYSTEM MANAGER(S) AND ADDRESS:Director, Congressional Outreach,

Office of Legislation and Congressional

Affairs, U.S. Department of Education,400 Maryland Avenue, SW., Room7E301, Washington, DC 20202.


record exists regarding you in thissystem of records, provide the systemmanager at the above address with thename of the Member of Congress whocorresponded with the Department, thename of the referenced constituent, thegrant title, and the date of thecorrespondence. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.5, including proof ofidentification.

RECORD ACCESS PROCEDURES:Same as the Notification Procedure.


If you wish to contest the content ofa record pertaining to you, contact thesystem manager at the address notedabove, and reasonably identify therecord and specify the information to becontested. Your request must meet therequirements of the regulations at 34CFR 5b.7.

RECORD SOURCE CATEGORIES:The information in this system is

provided by the correspondent and bythe agency that prepares the finalresponse.


None.

18–08–01

SYSTEM NAME:

Case Information System.


None.

SYSTEM LOCATION:

Office for Civil Rights, U.S.Department of Education, Mary E.Switzer Building, 330 C Street, SW.,Room 5074, Washington, DC 20202. Seethe Appendix at the end of this systemnotice for additional system locations.


This system contains records onindividuals or groups of individualswho have made civil rights complaintsto the Office for Civil Rights (OCR).

CATEGORIES OF RECORDS COVERED BY THESYSTEM:

This system lists the names of cases,characteristics of individual civil rightscomplaints, and critical events in theOCR’s processing of civil rightscomplaints.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Title VI of the Civil Rights Act of

1964, 42 U.S.C. 2000d, et seq.; Title IXof the Education Amendments of 1972,20 U.S.C. 1681, et seq.; sec. 504 of theRehabilitation Act of 1973, 29 U.S.C.794, et seq.; Age Discrimination Act of1975, 42 U.S.C. 6101, et seq.; and TitleII of the Americans With DisabilitiesAct, 42 U.S.C. 12131, et seq.

PURPOSE(S):The Office for Civil Rights uses this

system for the following purposes:(1) To report the status of individual

complaints to OCR managers and stafffor tracking the progress of individualcases and provide information used toprepare summaries of case processingactivities; and

(2) To report to Congress, otheragencies, or to the public to explain ordocument the work it has accomplished.



(1) Disclosure to Congress, OtherAgencies, or the Public. The Departmentmay disclose summary informationderived from this system of records toCongress, other agencies, and the publicto describe the kinds of work OCR hasdone, or to document the work it hasaccomplished.

(2) Disclosure to Recipients of FederalFinancial Assistance, Witnesses, orConsultants. The Department maydisclose information from this system ofrecords to recipients of federal financialassistance, witnesses, or consultantswhen it determines that such releasewould assist OCR in resolving a civilrights complaint or in obtainingadditional information or expert advicerelevant to the investigation.

(3) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation ofinformation that is relevant to any



enforcement, regulatory, investigative,or prosecutive responsibility within thereceiving entity’s jurisdiction.



(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation or ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c), and (d)of this routine use under the conditionsspecified in those paragraphs:







(c) Administrative Disclosures. If theDepartment or one of its componentsdetermines that disclosure of certainrecords to an adjudicative body beforewhich the Department or one of itscomponents is authorized to appear, anindividual or entity designated by theDepartment or otherwise empowered toresolve or mediate disputes is relevantand necessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body individual, or entity.

(d) Parties, Counsels, Representatives,and Witnesses. If the Department or oneof its components determines thatdisclosure of certain records to a party,

counsel, representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment or its component maydisclose those records as a routine useto the party, counsel, representative orwitness.

(6) Freedom of Information ActAdvice Disclosure. The Department maydisclose records to the Department ofJustice if the Department determinesthat disclosure is desirable or necessaryin determining whether particularrecords are required to be disclosedunder the FOIA.


(8) Congressional Member Disclosure.The Department may discloseindividual records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made the writtenrequest of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.


Not applicable.


STORAGE:The records in this system are kept in

magnetic media.

RETRIEVABILITY:

Records are indexed by case orcomplaint number, by the name oraddress of a complainant, the name ofthe entity against which the complaintwas made, its subject matter, or by thestage to which investigation or othercase processing has proceeded.

SAFEGUARDS:

The system is maintained on personalcomputers located in OCR offices.Information in the system is transmittedbetween its offices on OCR’s internalcommunication network. Access to OCR

offices is controlled, and available onlyto OCR staff and authorized visitors.OCR staff authorized to access thesystem receive individual useridentification and passwords. Thesystem additionally limits data accessby type of user and limits users’ abilityto alter records within the system.

Similar records made beforeDecember, 1993 were entered in adifferent format, no longer in use. Thesehistoric records are stored on magnetictape. A single employee assigned toOCR headquarters can access them.


Records are retained indefinitely.Disposal is by electronic erasure whenno longer needed for Department use.


Deputy Assistant Secretary for Policy,Office for Civil Rights, U.S. Departmentof Education, 400 Maryland AvenueSW., Room , Switzer Building,Washington, DC 20202.


If you wish to determine whether arecord exists regarding you in thissystem of records, contact the systemmanager at the address indicated above.You must provide the name of theinstitution and complainant to whichthe case pertains and the case number,if known. Requests must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


If you wish to gain access to recordspertaining to you, follow thenotification procedure described above.You must also reasonably specify therecord contents sought.

Request must meet the requirementsof the regulations at 34 CFR 5b.5,including proof of identity.


If you wish to contest any recordsregarding you, contact the official at theaddress specified under notificationprocedures, reasonably identify therecord and specify the information to becontested. Requests to amend a recordmust meet the requirements of theregulations at 34 CFR 5b.7.


Records are derived from informationin complaint investigation files.


None.





OCR, Boston Office, J.W. McCormack PostOffice and Court House Building, Room222, Boston, MA 02109–4557.

OCR, New York Office, 75 Park Place, 14thFloor, New York, NY 10007.

OCR, Philadelphia Office, 100 Penn SquareEast, Suite 515, Philadelphia, PA 19107.

OCR, Chicago Office, 111 North Canal Street,Room 1053, Chicago, IL 60606–7204.

OCR, Cleveland Office, Bank One Center, 600Superior Avenue, East, Suite 750,Cleveland, OH 44114–2611.

OCR, Atlanta Office, Sam Nunn FederalOffice Building, 61 Forsyth Street SW,Suite 19T70, Atlanta, GA 30303.

OCR, Dallas Office, 1999 Bryan Street, Suite2600, Dallas, TX 75201.

OCR, Kansas City Office, 10220 N. ExecutiveHills Boulevard, Kansas City, MO64153–1367.

OCR, Denver Office, Colonnade Building,1244 Speer Boulevard, Suite 300,Denver, CO 80204–3582.

OCR, San Francisco Office, Old FederalBuilding, 50 United Nations Plaza, Room239, San Francisco, CA 94102.

OCR, Seattle Office, Henry M. JacksonFederal Building, 915 Second Avenue,Room 3310, Seattle, WA 98174–1099.

OCR, District of Columbia Office, PO Box14620, Washington, DC 20004–4620.

18–08–02

SYSTEM NAME:

Complaint Files and Log.


None.

SYSTEM LOCATION:

Office for Civil Rights, U.S.Department of Education, Mary E.Switzer Building, 330 C Street, SW.,Room 5074, Washington, DC 20202. Seethe Appendix at the end of this systemnotice for additional system locations.


This system contains information onindividuals or groups of individualswho have made civil rights complaintsto the Office for Civil Rights (OCR).

CATEGORIES OF RECORDS COVERED BY THESYSTEM:

This system consists of recordsrelating to complaints to the Office forCivil Rights including:

(1) Names, addresses, and telephonenumbers of complainants, complaintallegations, results of investigations;

(2) Correspondence related to thecomplaint. The material may includecopies of correspondence sent by OCRto others, correspondence received byOCR, records of telephoneconversations, copies of e-mail or otherwritten communications;

(3) Investigator and attorneymemoranda;

(4) Interview notes or transcriptions,and witness statements;

(5) Documents gathered during aninvestigation, including photographs ofpersons or things, portions of a recipientinstitution’s records, and acomplainant’s or other individuals’scholastic, medical, or employmentrecords; and

(6) Charts, prepared exhibits, or otheranalytical materials prepared by OCRstaff or by consultants retained by OCR.

AUTHORITY FOR MAINTENACE OF THE SYSTEM:

Title VI of the Civil Rights Act of1964, 42 U.S.C. 2000d, et seq.; Title IXof the Education Amendments of 1972,20 U.S.C. 1681, et seq.; sec. 504 of theRehabilitation Act of 1973, 29 U.S.C.794, et seq.; Age Discrimination Act of1975, 42 U.S.C. 6101, et seq.; and TitleII of the Americans With DisabilitiesAct, 42 U.S.C. 12131, et seq.

PURPOSE(S):

The Office for Civil Rights uses thissystem for the following purposes:

(1) To determine and to documentwhether there was discriminationagainst the complainant or others;

(2) To record the steps taken toresolve a case;

(3) To store materials gathered,developed, or received during theprocessing of a case; and

(4) To document the steps taken toresolve a case.



(1) Disclosure to Congress, otherAgencies, or the Public. The Departmentmay disclose summary informationderived from this system of records toCongress, other agencies, and the publicto describe the kinds of work OCR hasdone, or to document the work it hasaccomplished.

(2) Disclosure to Recipients of FederalFinancial Assistance, Witnesses, orConsultants. The Department willrelease information contained in this

system of records to recipients of federalfinancial assistance, witnesses, orconsultants when it determines thatsuch release would assist OCR inresolving a civil rights complaint or inobtaining additional information orexpert advice relevant to theinvestigation.

(3) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation ofinformation that is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility within thereceiving entity’s jurisdiction.












(c) Administrative Disclosures. If theDepartment or one of its componentsdetermines that disclosure of certainrecords to an adjudicative body beforewhich the Department or one of itscomponents is authorized to appear, anindividual or entity designated by theDepartment or otherwise empowered toresolve or mediate disputes is relevantand necessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body individual, or entity.

(d) Parties, counsels, representatives,and witnesses. If the Department or oneof its components determines thatdisclosure of certain records to a party,counsel, representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment or its component maydisclose those records as a routine useto the party, counsel, representative orwitness.

(6) Freedom of Information ActAdvice Disclosure. The Department maydisclose records to the Department ofJustice if the Department determinesthat disclosure is desirable or necessaryin determining whether particularrecords are required to be disclosedunder the FOIA.


(8) Congressional Member Disclosure.The Department may discloseindividual records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made the writtenrequest of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

DISCLOSURE TO CONSUMER REPORTING

AGENCIES:

Not applicable.


STORAGE:The records in this system are

contained in file folders.

RETRIEVABILITY:The records in this system are

indexed by and retrievable by the nameof the case or the complaint number.

SAFEGUARDS:OCR keeps case files in lockable

cabinets located in lockable storagerooms. Access to offices in whichstorage rooms are located is restricted toOCR staff and authorized visitors.

RETENTION AND DISPOSAL:Pursuant to the Department’s Record

Disposition Schedules, files at theHeadquarters Office will be transferredto the Federal Records Center (FRC)after the case has been inactive for fiveyears. Files at the regional offices aretransferred to the FRC after the file hasbeen inactive for two years. All files aredestroyed fifteen years after the end ofthe fiscal year in which the case isresolved.

SYSTEM MANAGER(S) AND ADDRESS:Deputy Assistant Secretary for Civil

Rights, U.S. Department of Education,400 Maryland Avenue, SW., Room ,Switzer Building, Washington, DC20202.

RECORD SOURCE CATEGORIES:Records are derived from information

in complaint investigation files.

NOTIFICATION PROCEDURES:This system is exempted from 5

U.S.C. 552a (e)(4)(G) pursuant to 34 CFR5b.11(c)(2)(iii).

RECORD ACCESS PROCEDURES:This system is exempted from 5

U.S.C. 552a(e)(4)(H) pursuant to 34 CFR5b.11(c)(2)(iii).

CONTESTING RECORD PROCEDURES:This system is exempted from 5

U.S.C. 552a(e)(4)(H) pursuant to 34 CFR5b.11(c)(2)(iii).


The Secretary has by regulationsexempted the Complaint Files and Log,Office for Civil Rights from thefollowing provisions of the Privacy Actpursuant to 5 U.S.C. 552(k)(2) (civilenforcement):

(1) 5 U.S.C. 552a(c)(3), regardingaccess to an accounting of disclosures ofrecords.

(2) 5 U.S.C. 552a(d)(1) through (4) and(f), regarding notification of and access

to records and correction or amendmentof records.

(3) 5 U.S.C. 552a(e)(1), regarding therequirement to maintain only relevantand necessary information.

(4) 5 U.S.C. 552a(e)(4)(G), (H), and (I),regarding inclusion of information inthe system notice about procedures fornotification, access, correction, andsource of records. These exemptions arestated in 34 CFR 5b.11. As indicated in34 CFR 5b.11(c)(2), individuals will beprovided information from this recordsystem except when in accordance withthe provisions of 5 U.S.C. 552a(k)(2),unless:

(1) Disclosure of such informationwould reveal the identity of a sourcewho furnished information to theGovernment under an express promisethat the identity of the source would beheld in confidence, or

(2) If the information was obtainedprior to September 28, 1975, disclosureof such information would reveal theidentity of the source under an impliedpromise that the identity of the sourcewould be held in confidence.



OCR, Boston Office, J.W. McCormack PostOffice and Court House Building, Room222, Boston, MA 02109-4557.

OCR, New York Office, 75 Park Place, 14thFloor, New York, NY 10007.

OCR, Philadelphia Office, 100 Penn SquareEast, Suite 515, Philadelphia, PA 19107.

OCR, Chicago Office, 111 North Canal Street,Room 1053, Chicago, IL 60606–7204.

OCR, Cleveland Office, Bank One Center, 600Superior Avenue, East, Suite 750,Cleveland, OH 44114–2611.

OCR, Atlanta Office, Sam Nunn FederalOffice Building, 61 Forsyth Street SW,Suite 19T70, Atlanta, GA 30303.

OCR, Dallas Office, 1999 Bryan Street, Suite2600, Dallas, TX 75201.

OCR, Kansas City Office, 10220 N. ExecutiveHills Boulevard, Kansas City, MO64153–1367.

OCR, Denver Office, Colonnade Building,1244 Speer Boulevard, Suite 300,Denver, CO 80204–3582.

OCR, San Francisco Office, Old FederalBuilding, 50 United Nations Plaza, Room239, San Francisco, CA 94102.

OCR, Seattle Office, Henry M. JacksonFederal Building, 915 Second Avenue,Room 3310, Seattle, WA 98174–1099.

OCR, District of Columbia Office, PO Box14620, Washington, DC 20004–4620.

18–09–01

SYSTEM NAME:

Administrative Claims.


None.



SYSTEM LOCATION:Office of General Counsel, U.S.

Department of Education, 400 MarylandAvenue, SW, Room 6E301, Washington,DC 20202.


This system contains records aboutDepartment employees, recipients ofFederal assistance under Departmentfunded programs, and members of thepublic who have a claim against theDepartment or against whom theDepartment has a claim under theFederal Torts Claims Act, MilitaryPersonnel and Civilian EmployeesClaims Act, Federal Claims CollectionAct or Act for Waiver of Overpaymentof Pay.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains information that

is pertinent to the particular claim beingasserted, including accident reports,hospital records, charges for medicalservice; certifications of overpayments,audits of payroll accounts during periodof overpayments, earning and leavestatements; claims officersmemorandum, final determinationsmade on claims, identity of debtors andinformation pertaining to how debtsarose.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Federal Torts Claims Act (28 U.S.C.

2671–2680, 1346(b); Waiver ofOverpayment of Pay Act (5 U.S.C. 5584;Military Personnel and CivilianEmployees Claims Act, 31 U.S.C. 240 etseq.; Federal Claims Collection Act, 31U.S.C. 951–953.


to adjudicate claims between the U.S.and private parties.



(1) Program Disclosure. TheDepartment may disclose information toFederal, State, and local lawenforcement agencies, private

individuals, private and publichospitals, allegedly negligent parties,private attorneys, insurance companies,the United States Attorney and otherFederal officials and agencies,individual law enforcement officers,and tribal officials for the purpose ofinvestigating, settling, or litigatingclaims.














(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.



(7) Congressional Member Disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at the



written request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.


STORAGE:Records are maintained in legal size

files in filing cabinets.

RETRIEVABILITY:

Records can be retrieved by the nameof the non-Government party, whetherclaimant, plaintiff, or alleged debtor. Insome instances, these records areretrievable by cross reference to indexcards, containing name of the partyinvolved and the subject matter.

SAFEGUARDS:Office buildings in which files are

kept are locked after the close of thebusiness day. These files are onlyaccessible to General Counsel staff.

RETENTION AND DISPOSAL:The records are maintained in

accordance with the Department ofEducation Records DispositionSchedules (ED/RDS).


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








from a number of sources includingprivate individuals, private and publichospitals, doctors, law enforcementagencies and officials, private attorneys,accident reports, third parties, claimants

for beneficiaries and their relatives,other Federal agencies, State and localgovernments, agencies andinstrumentalities.


None.

18–09–02

SYSTEM NAME:

OGC Attorney Applicant Files.


SYSTEM LOCATION:Office of the General Counsel, U.S.

Department of Education, 400 MarylandAvenue, SW., Room 6E301, Washington,DC 20202.


This system contains records oncurrent Attorney Applicants forpositions in the Office of the GeneralCounsel.

CATEGORIES OF RECORDS IN THE SYSTEM:The Attorney Applicant system

consists of a variety of records relatingto persons applying for attorneypositions. These records containinformation about an individual’s birthdate; home address; telephone number;Social Security number; educationalbackground (e.g., law schools attendedand grades); past work experience;writing samples furnished on request;recommendations from past employersand academic officials.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 3301 et seq.


to evaluate the qualifications of thoseindividuals who apply for attorneypositions in the Office of the GeneralCounsel.

















STORAGE:These records are maintained in file

folders, alphabetized by name, and insome cases the records are separated byindividual law school affiliation and bythe date the application is received. Insome instances records are located inlockable conserva-file cabinets and in alocked secured room with accesslimited to those officials whose dutiesrequire access. In other instancesrecords are maintained in file rooms orwith other Office of General Counselfiles.

RETRIEVABILITY:These records are retrievable by name.

SAFEGUARDS:Access is limited to those Department

officials whose duties require access.

RETENTION AND DISPOSAL:These records are retained in


SYSTEM MANAGER(S) AND ADDRESS:The General Counsel, U.S.

Department of Education, Office of theGeneral Counsel, 400 Maryland Avenue,SW., Room 6E301, Washington, DC20202.








comes from the individual to whom itapplies, law school officials and pastemployers.


None.

18-09-03

SYSTEM NAME:Employee Conduct—Government

Ethics.


SYSTEM LOCATION:Ethics Counsel Division, Office of the

General Counsel, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 6E231, Washington, DC 20202.


This system contains informationabout current and past Departmentemployees who have requested orreceived advice or guidance in subjectmatter areas relating to employeeconduct.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains information

relating to acceptance or offer of gifts,entertainment and favors, outsideemployment; financial interests; use ofgovernment funds, property or officialinformation; partisan political activity;or other matters relating to employeeconduct.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:18 U.S.C. 202, 203, 205, 207, 208, 209;

Executive Order 11222; and 5 CFR parts735, 104; 34 CFR Part 73.


in providing advice or guidance insubject matter areas relating toemployee conduct.



(1) Disclosure for Use by Other LawEnforcement Agencies. May discloseinformation to any Federal, State, local,or foreign agency or other publicauthority responsible for enforcing,investigating, or prosecuting violationsof administrative, civil, or criminal lawor regulation if that information isrelevant to any enforcement, regulatory,

investigative, or prosecutiveresponsibility within the receivingentity’s jurisdiction.









(iii) Any Department employee in hisor her individual capacity if theDepartment of Justice (DOJ) has agreed



to provide or arrange for representationfor the employee;









STORAGE:These records are kept in legal size

files in filing cabinets.

RETRIEVABILITY:These records are retrievable by name

in most cases. In some instances, theserecords are retrievable by cross-reference to index cards containing the

name of the party involved and thesubject matter.

SAFEGUARDS:

These records are only accessible toGeneral Counsel staff. Office buildingsin which these records are maintainedare locked after the close of the businessday.


The records are maintained for anindefinite duration.


Assistant General Counsel, EthicsCounsel Division, Office of the GeneralCounsel, U.S. Department of Education,400 Maryland Avenue, SW, Room6E231, Washington, DC 20202.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of the Department ofEducation’s Privacy Act regulations at34 CFR 5b.5, including proof of identity.






None.

18-09-04

SYSTEM NAME:

Litigation Files, AdministrativeComplaints, and Adverse PersonnelActions.


None.

SYSTEM LOCATION:

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


The individuals on whom records aremaintained in this system areindividuals who are involved in

litigation with the Department or theUnited States (regarding matters withinthe jurisdiction of the Department)either as plaintiffs or as defendants inboth civil and criminal matters, andindividuals who either fileadministrative complaints initiated bythe Department, except claims whichare the subjects of records maintained inthe Administrative Claims System.

CATEGORIES OF RECORDS IN THE SYSTEM:These records contain information

pertaining to the subject matter of thelitigation, administrative complaint, oradverse personnel action. Such recordswould include complaints, litigationreports, administrative transcripts,various litigation documents,investigative materials, correspondence,briefs, court orders and judgments, andin cases where personal injury isinvolved, evaluations by physicianspecialists.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The authority for maintaining this

system are the various statutes,regulations, rules or orders pertaining tothe subject matter of the litigation,administrative complaint or adversepersonnel action, (e.g., Civil Rights Act,Federal Torts Claim Act).


for litigating civil cases, criminal casesand administrative complaints to whichthe Department or the United States isa party.















(iv) Any Department employee in hisor her individual capacity where the

agency has agreed to represent theemployee; or








STORAGE:These records consist of legal size

files stored in file cabinets.

RETRIEVABILITY:These records are retrievable by name

of the plaintiff or the first plaintiff ifthere is more than one, or by the nameof the first defendant if the plaintiff isthe United States. In the case of adversepersonnel actions, records areretrievable by name of the individualinvolved.

SAFEGUARDS:Office buildings in which these

records are maintained are locked afterthe close of the business day. Theserecords are only accessible by GeneralCounsel staff.

RETENTION AND DISPOSAL:These records are maintained in


SYSTEM MANAGER(S) AND ADDRESS:The General Counsel, Office of the

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




regarding you in the system of records,contact the system manager. Yourrequest must meet the requirementsregulations at 34 CFR 5b.5, includingproof of identity.



RECORD SOURCE CATEGORIES:The information for this system is

obtained through a number of sourcesincluding the exchange of legalpleadings, documents, formal andinformal discovery, program offices andcomponent agencies, private attorneys,State and local governments, theiragencies and instrumentalities, andofficers of other Federal agencies andthe individuals involved.


None.

18–10–01

SYSTEM NAME:Investigative Files of the Inspector

General.


SYSTEM LOCATION:Office of Inspector General, U.S.

Department of Education, 330 C Street,



SW., Room 4004, Switzer Building,Washington, DC 20202-1500. See theAppendix at the end of this systemnotice for additional system locations.


Categories include current and formerDepartment of Education employees andindividuals who have any relationshipto financial assistance or othereducational programs administered bythe Department of Education, or tomanagement concerns of theDepartment, including but not limitedto: grantees, subgrantees, contractors,subcontractors, program participants,recipients of Federal funds or federallyinsured funds, and officers, employeesor agents of institutional recipients orprogram participants.

CATEGORIES OF RECORDS IN THE SYSTEM:Investigation files pertaining to

violations of criminal laws, fraud,waste, and abuse with respect toadministration of Department programsand operations, and violations ofemployee Standards of Conduct as setout in 34 CFR part 73.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The Inspector General Act of 1978, as

amended (5 U.S.C. Appendix 3) and 5U.S.C. 301.

PURPOSE(S):Pursuant to the Inspector General Act,

the system is maintained for thepurposes of: (1) Conducting anddocumenting investigations by the OIGor other investigative agencies regardingDepartment of Education programs andoperations and reporting the results ofinvestigations to other Federal agencies,other public authorities or professionalorganizations which have the authorityto bring criminal prosecutions or civil oradministrative actions, or to imposeother disciplinary sanctions; (2)documenting the outcome of OIGinvestigations; (3) maintaining a recordof the activities which were the subjectof investigations; (4) reportinginvestigative findings to otherDepartment of Education componentsfor their use in operating and evaluatingtheir programs or operations, and in theimposition of civil or administrativesanctions; and (5) acting as a repositoryand source for information necessary tofulfill the reporting requirements of theInspector General Act, 5 U.S.C.Appendix 3, 5.


The Department of Education(Department) may disclose information

contained in a record in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purposes for whichthe record was collected, under thefollowing routine uses:

(1) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information from thissystem of records as a routine use to anyFederal, State, local, or foreign agencyor other public authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation where thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility of thereceiving entity.

(2) Disclosure to Public and PrivateEntities to Obtain Information Relevantto Department of Education Functionsand Duties. The Department maydisclose information from this system ofrecords as a routine use to public orprivate sources to the extent necessaryto obtain information from those sourcesrelevant to a Department investigation,audit, inspection or other inquiry.

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

(4) For Decisions by the Department.The Department may discloseinformation from this system of recordsas a routine use to a Federal, State,local, or foreign agency maintainingcivil, criminal or other relevantenforcement or other pertinent records,or to another public authority orprofessional organization, if necessaryto obtain information relevant to aDepartment decision concerning thehiring or retention of an employee orother personnel action, the issuance orretention of a security clearance, theletting of a contract, or the issuance orretention of a license, grant, or otherbenefit.

(5) For Decisions by Other PublicAgencies and ProfessionalOrganizations. The Department maydisclose information from this system ofrecords as a routine use to a Federal,State, local, or foreign agency or otherpublic authority or professionalorganization, in connection with thehiring or retention of an employee orother personnel action, the issuance orretention of a security clearance, thereporting of an investigation of anemployee, the letting of a contract, orthe issuance or retention of a license,grant or other benefit.

(6) Disclosure to Public and PrivateSources in Connection with the HigherEducation Act of 1965, as Amended(‘‘HEA’’). The Department may discloseinformation from this system of records

as a routine use to any accreditingagency which is or was recognized bythe Secretary of Education pursuant tothe HEA; to any guaranty agency whichis or was a party to an agreement withthe Secretary of Education pursuant tothe HEA; or to any agency which is orwas charged with licensing or legallyauthorizing the operation of anyeducational institution or school whichwas eligible, is currently eligible, or maybecome eligible to participate in anyprogram of Federal student assistanceauthorized by the HEA.

(7) Litigation Disclosure.(a) Disclosure to the Department of

Justice. If the Department determinesthat disclosure of certain records to theDepartment of Justice is relevant andnecessary to litigation and is compatiblewith the purpose for which the recordswere collected, the Department maydisclose those records as a routine useto the Department of Justice. Such adisclosure may be made in the eventthat one of the parties listed below isinvolved in the litigation, or has aninterest in the litigation:


(ii) Any employee of the Departmentin his or her official capacity;

(iii) Any employee of the Departmentin his or her individual capacity wherethe Department of Justice has agreed torepresent the employee; or

(iv) The United States, where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(8) Other Disclosure. If theDepartment determines that disclosureof certain records to a court,adjudicative body before which theDepartment is authorized to appear,individual or entity designated by theDepartment or otherwise empowered toresolve disputes, counsel or otherrepresentative, or potential witness isrelevant and necessary to litigation andis compatible with the purpose forwhich the records were collected, theDepartment may disclose those recordsas a routine use to the court,adjudicative body, individual or entity,counsel or other representative, orwitness. Such a disclosure may be madein the event that one of the parties listedbelow is involved in the litigation, orhas an interest in the litigation:



(iii) Any employee of the Departmentin his or her individual capacity wherethe Department has agreed to representthe employee; or



(iv) The United States, where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(9) Disclosure to Contractors andConsultants. The Department maydisclose information from this system ofrecords as a routine use to a private firmwith which the Departmentcontemplates it will contract or withwhich it has contracted for the purposeof performing any functions or analysesthat facilitate or are relevant to an OIGinvestigation, audit, inspection, or otherinquiry. Such contractor or private firmshall be required to maintain PrivacyAct safeguards with respect to suchinformation.

(10) Debarment and SuspensionDisclosure. The Department maydisclose information from this system ofrecords as a routine use to anotherFederal agency considering suspensionor debarment action where theinformation is relevant to thesuspension or debarment action.

(11) Disclosure to the Department ofJustice. The Department may discloseinformation from this system of recordsas a routine use to the Department ofJustice, to the extent necessary forobtaining its advice on any matterrelevant to Department of Educationoperations.


(13) Computer Matching Disclosure.The Department may discloseinformation from this system of recordsas a routine use to a Federal, State,local, or foreign agency, or other publicauthority, for use in computer matchingprograms to prevent and detect fraudand abuse in benefit programsadministered by any agency, to supportcivil and criminal law enforcementactivities of any agency and itscomponents, and to collect debts andoverpayments owed to any agency andits components.


None.


STORAGE:The records are maintained on index

cards, investigative reports,

microcomputer disks, computermainframe files and computer-printedlistings.

RETRIEVABILITY:The records are retrieved by manual

or computer search of alphabeticalindices or cross-indices. Indices listnames of individuals, companies andorganizations.

SAFEGUARDS:Written documents and computer

disks are maintained in secure rooms, insecurity-type safes or in bar-lock filecabinets with manipulation-proofcombination locks. Computermainframe files are on-line in guarded,combination-locked computer rooms.

RETENTION AND DISPOSAL:Investigative files are retained and

disposed of in accordance with theDepartment’s Records DispositionSchedules (ED/RDS, Part 16). The ED/RDS may be obtained by writing to theSystem Manager at the address below.

SYSTEM MANAGER(S) AND ADDRESS:Assistant Inspector General for

Investigation Services, Office of theInspector General, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 4200, Switzer Building,Washington, DC 20202–1510.

NOTIFICATION PROCEDURE:See ‘‘system exempted,’’ below. As

provided in 34 CFR 5b.11(b)(2) and(c)(1), the notification procedure is notapplicable to criminal investigative filesexcept at the discretion of the InspectorGeneral. To the extent that thisprocedure may apply to criminalinvestigative files, it is governed by 34CFR 5b.5. The notification procedure isapplicable to non-criminal investigativefiles under the conditions defined by 34CFR 5b.11(c). Under those conditions itis governed by 34 CFR 5b.5.

RECORD ACCESS PROCEDURES:See ‘‘system exempted,’’ below. As

provided in 34 CFR 5b.11(b)(2) and(c)(1), the record access procedure is notapplicable to criminal investigative filesexcept at the discretion of the InspectorGeneral. To the extent that thisprocedure may apply to criminalinvestigative files, it is governed by 34CFR 5b.5. The record access procedureis applicable to non-criminalinvestigative files under the conditionsdefined by 34 CFR 5b.11(c). Under thoseconditions it is governed by 34 CFR5b.5.

CONTESTING RECORD PROCEDURES:Not applicable. See ‘‘system

exempted,’’ below.

RECORD SOURCE CATEGORIES:Departmental and other Federal, State

and local government records;interviews of witnesses; documents andother material furnished by non-governmental sources. Sources mayinclude confidential sources.


Pursuant to the general authority inthe Privacy Act in 5 U.S.C. 552a(j)(2),the Secretary has by regulationexempted the Investigative Files of theInspector General from the followingsubsections of the Privacy Act:

5 U.S.C. 552a(c)(3)—access toaccounting of disclosure;

5 U.S.C. 552a(d)(1)–(4) and (f)—procedures for notification of, access to,and correction or amendment ofrecords;

5 U.S.C. 552(e)(3)—notice to anindividual who is required to provideinformation to the Department;

5 U.S.C. 552a(e)(4)(G), (H)—inclusionof information on Departmentprocedures on notification of, access to,correction or amendment of records, inthe system of records notice.

These exemptions are stated in 34CFR 5b.11.



Office of Inspector General, U.S. Departmentof Education, Room 512, P.O. Box 2142,Boston, MA 02106.

Office of Inspector General, U.S. Departmentof Education, 75 Park Place, 12th Floor,New York, NY 10007.

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

Office of Inspector General, U.S. Departmentof Education, Atlanta Federal Center, 61Forsyth Street, Room 18T71, Atlanta, GA30303.

Office of Inspector General, U.S. Departmentof Education, 111 N. Canal Street, Suite940, Chicago, IL 60606–7204.

Office of Inspector General, U.S. Departmentof Education, 1999 Bryan Street, Suite2630, Dallas, TX 75201–6817.

Office of Inspector General, U.S. Departmentof Education, 2nd Floor, 10220 NorthExecutive Hills Blvd., Kansas City, MO64153–1367.

Office of Inspector General, U.S. Departmentof Education, 501 W. Ocean Blvd. #1200,Long Beach, CA 90802.

18–10–02

SYSTEM NAME:Investigatory Material Compiled for

Personnel Security and SuitabilityPurposes.


None.



SYSTEM LOCATION:

Security Program Staff, Office ofInspector General, U.S. Department ofEducation, 600 Independence Avenue,SW., Washington, DC 20202–1510.

U.S. Office of Personnel Management,Investigations Group, P.O. Box 886,Washington, DC 20044–0886.


Applicants seeking employment withthe Department of Education(Department), former and currentemployees of, and other persons andentities doing business with, theDepartment.


These records contain investigativeinformation pertaining to current andformer Department employees, currentand former contractor personnel, andcurrent employees of entities makingoffers to the Department for purposes ofdoing business. This informationregards individuals’ character, conduct,and loyalty to the United States asrelevant to their association with theDepartment. These records may, asappropriate to the individual beinginvestigated, include the followingtypes of information: (1) Documentationas to his or her arrests and convictionsfor violations of the law. (2) Reportingas to interviews held with theindividual, his or her present andformer supervisors, co-workers,associates, neighbors, educators, etc. (3)Correspondence relating to adjudicationmatters involving the individual. (4)Reports of inquiries made of lawenforcement agencies for informationabout the individual contained in theagencies records. (5) Informationprovided by organizations havingassociation with the individual, such asemployers, educational institutionsattended, professional or fraternal orsocial organizations to which theindividual is or was a member, etc. (6)Reports of action following an Office ofPersonnel Management (OPM)investigation or a Federal Bureau ofInvestigation Section 8(d) full fieldinvestigation. (7) Other informationdeveloped from the previous sources.


Executive Orders 10450, 10577, and12968; as amended.

PURPOSE(S):

Records in this system are maintainedto provide the Inspector General andother responsible Department officialswith information to assist them inmaking individual personneldeterminations concerning suitability

for Federal employment, securityclearances, access to classifiedinformation or restricted areas, andevaluations as to suitability forperformance under Federal contracts orother agreements with the FederalGovernment. Incidental to this purpose,for those investigations conducted bythe OIG, these records may also bedisclosed to other Federal and non-Federal investigatory agencies to protectthe public or Federal interest, or both.


The Department may discloseinformation in a record in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purpose for whichthe record was collected. Thesedisclosures may be made on a case-by-case basis or, if the Department hascomplied with the computer matchingagreement.

(1) Program Purpose: To public orprivate sources to the extent necessaryto obtain information to be included inthis system of records.

(2) To officials and employees of aFederal, State, or local governmentalentity in response to its request inconnection with the issuance of securityclearances or the conduct of security orsuitability investigations of individualsseeking employment, licensure, otherbenefits, or to perform contractualservices, or to otherwise associate withthe governmental entity.

(3) To a Federal, State, local, orforeign entity or other public authorityresponsible for the investigation,prosecution, enforcement, orimplementation of a statute, rule,regulation, or order, when a record onits face or in combination with anyother information indicates a violationor potential violation of law (whethercivil, criminal, or regulatory in nature)if that information is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility of thereceiving entity. It is OIG policy not todisclose records under this routine usethat pertain to those questions for whichthe OIG has promised confidentialityunder Standard Form 85P,Questionnaire for Public TrustPositions.

(4) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractor

to maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.

(5) Litigation Disclosure. To partiespertaining to litigation disclosure asfollows:

(a) In the event that one of thefollowing parties is involved inlitigation, or has an interest in litigation,the Department may disclose certainrecords to the parties described in thefollowing paragraphs b, c, and d of thisroutine use under the conditionsspecified in those paragraphs:

(i) The Department or any of itscomponents.

(ii) Any Department employee in hisor her official capacity.

(iii) Any employee of the Departmentin his or her official capacity where theDepartment of Justice (Justice) hasagreed to provide or arrange forrepresentation of the employee.

(iv) Any employee of the Departmentin his or her individual capacity wherethe Department has agreed to representthe employee.


(b) Disclosure to the Department ofJustice (DOJ). If the Departmentdetermines that disclosure of certainrecords to the DOJ or attorneys engagedby DOJ is relevant and necessary tolitigation and is compatible with thepurpose for which the records werecollected, the Department may disclosethose records as a routine use to DOJ.

(c) If the Department determines thatdisclosure of certain records to anadjudicative body before which theDepartment is authorized to appear,individual, or entity designated by theDepartment or otherwise empowered toresolve disputes is relevant andnecessary to the administrativelitigation and is compatible with thepurpose for which the records werecollected, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.

(d) If the Department determines thatdisclosure of certain records to anopposing counsel, representative, orwitness in an administrative proceedingis relevant and necessary to thelitigation and is compatible with thepurpose for which the records werecollected, the Department may disclosethose records as a routine use to thecounsel, representative, or witness.

(6) Freedom of Information Act(FOIA) Advice Disclosure. To theDepartment of Justice for the purpose ofobtaining advice regarding thereleasability of records maintained in



this system of records under the FOIAand the Privacy Act of 1974.

(7) Congressional Member Disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of the individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(8) Disclosure for Use by Other LawEnforcement Agencies. The Departmentmay disclose information to theintelligence agencies of the Departmentof Defense, the National SecurityAgency, the Central IntelligenceAgency, and the Federal Bureau ofInvestigation for use in intelligence orinvestigation activities.

POLICIES AND PRACTICES OF STORING,RETRIEVING, SAFEGUARDING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:Records are maintained in folders

secured in fire resistant safes withmanipulation proof combination locks,or in metal lock-bar file cabinets withthree position combination locks, and ina computer database.

RETRIEVABILITY:Records are alphabetically indexed by

name of the individual subject of thefile. Retrieval is made by the name, dateof birth, and social security number ofthe individual on whom they aremaintained.

SAFEGUARDS:Folders are maintained and secured in

fire resistant safes with manipulationproof combination locks, or in metal filecabinets secured by three positioncombination locks. All records,including those records that aremaintained on the computer database,are in limited access rooms with keylesscipher locks. All employees are requiredto have an appropriate securityclearance before they are allowedaccess, on a ‘‘need-to-know’’ basis, tothe records. Computer databases arekept on a local area network that is notconnected to any outside networkincluding the Internet. Databaseaccessibility is restricted to hard wirenetwork connection from within theoffice or via modem. Authorized log-oncodes and passwords preventunauthorized users from gaining accessto data and system resources. All usershave unique log-on codes andpasswords. The password schemerequires that users must changepasswords every 90 days and may notrepeat the old password. Any individualattempting to log on who fails is locked

out of the system after three attempts.Access after that time requiresintervention by the system manager.

RETENTION AND DISPOSAL:Most background investigative

records are maintained for five yearsafter the individual separates from hisor her departmental association ifsubject to Executive Orders 12968 and10450, as amended. Reports ofbackground investigations conducted bythe Office of Inspector General areretained for 15 years, plus the currentyear of the most recent investigativeactivity, in accordance with OPMguidance. The records are disposed ofby electronic erasure, shredding, orburning.

SYSTEM MANAGER(S) AND ADDRESS:Security Officer, Office of Inspector

General, U.S. Department of Education,600 Independence Avenue, SW,Washington, DC 20202–1510.


whether a record exists regarding him orher in this system of records, theindividual must provide the systemmanager with his or her name, date ofbirth, social security number, signature,and the address to which the recordinformation should be sent. Requests fornotification about an individual mustmeet the requirements of the regulationsin 34 CFR 5b.5.

RECORD ACCESS PROCEDURE:If an individual wishes to gain access

to a record in this system, he or shemust contact the system manager andprovide information as described in thenotification procedure.

CONTESTING RECORD PROCEDURE:If an individual wishes to change the

content of a record in the system ofrecords, he or she must contact thesystem manager with the informationdescribed in the notification procedure,identify the specific item or items to bechanged, and provide a writtenjustification for the change, includingany supporting documentation.Requests to amend a record must meetthe requirements of the regulations in 34CFR 5b.7.

RECORD SOURCE CATEGORIES:Information contained in this system

of records is obtained from:(a) Investigative and other record

material furnished by other Federalentities, other departmentalcomponents, State, local, and foreigngovernments;

(b) Applications and other personneland security forms;

(c) Personal investigation, writteninquiry, interview, or the electronicaccessing of computer databases ofsources, such as the OPM system ofrecords known as PersonnelInvestigations Records (OPM/Central-9),employers, educational institutions,references, neighbors, associates, policedepartments, courts, credit bureaus,medical records, probation officials,prison officials, newspapers, magazines,periodicals, and other publications; and

(d) Confidential sources.


As indicated in 34 CFR 5b.11,individuals will be providedinformation from this record systemunless, in accordance with theprovisions of 5 U.S.C. 552a(k)(5)—(1)Disclosure of that information wouldreveal the identity of a source whofurnished information to theGovernment under an express promisethat the identity of the source would beheld in confidence; or (2) Theinformation was obtained prior toSeptember 27, 1975 and disclosure ofthat information would reveal theidentity of a source who providedinformation under an implied promisethat the identity of the source would beheld in confidence.

18–10–03

SYSTEM NAME:Non-Federal Auditor Referral,

Suspension, and Debarment File.


SYSTEM LOCATION:Audit Services, Office of Inspector

General, U.S. Department of Education,330 C Street, SW., Room 4200, SwitzerBuilding, Washington, DC 20202–1510.


Auditors and audit firms notemployed by the Federal governmentwhom the Office of Inspector Generalhas referred to State boards ofaccountancy or professionalassociations and/or suspended ordebarred for violations of generallyaccepted auditing standards or generallyaccepted government auditing standardsin connection with audits of federallyassisted education programs.

CATEGORIES OF RECORDS IN THE SYSTEM:Information relating to the audit

activity which led to the referral,suspension or debarment action,including the referral, suspension ordebarment documents; and records onthe status of each referral.



AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The Inspector General Act of 1978, as

amended (5 U.S.C. Appendix 3, 4(a)(1)and 4(b)(1)(C)) and 34 CFR part 85, theNonprocurement Debarment andSuspension Regulations.

PURPOSE(S):This system of records is maintained

for the general purpose of enabling theOIG to fulfill the requirements of section(4)(b)(1)(C) of the Inspector General Actof 1978, 5 U.S.C. Appendix 3, 4(b)(1)(C)which requires Federal InspectorsGeneral, including the DepartmentInspector General, to take appropriatesteps to assure that any work performedby non-Federal auditors complies withthe standards established by theComptroller General. Records are usedto document OIG actions with regard toopen and closed referrals, suspensionsor debarments by the OIG; to producestatistical data; and to share informationwith Federal, State and professionalorganizations which are also responsiblefor maintaining or monitoringadherence to audit standards.


As provided in the EducationDepartment’s Privacy Act regulations(34 CFR 5b.1(j)), the following routineuses are authorized without the consentof the individual, but only for a purposewhich is compatible with the purposefor which the record was collected:

(1) Audit oversight and referraldisclosure. A record from this system ofrecords may be disclosed to otherFederal agencies, the GeneralAccounting Office, State agenciesresponsible for audit oversight, and theAmerican Institute of Certified PublicAccountants to make referrals regardinginadequate audits performed byindependent auditors, to track the resultof proceedings against those auditors,and to inform these agencies if priorreferrals have been made under thisroutine use.

(2) Suspension and debarmentdisclosure. A record from this system ofrecords may be disclosed, as authorizedunder section 3 of Executive Order12549 for purposes of suspending anddebarring an auditor pursuant to 34 CFRpart 85.

(3) Disclosure to auditee. A recordfrom this system of records may bedisclosed to the auditee which was thesubject of audit oversight by theDepartment OIG.

(4) Engagement disclosure. A recordfrom this system of records may bedisclosed to a contractor or grantee ofthe Department or other participant in

Department programs which may becontemplating engaging the firm orindividual named in the record toperform auditing or related servicespertaining to federally assistededucation programs, unless the entitiesto which the Assistant Inspector Generalfor Audit Services has made a referralunder routine use number 1, decline totake action against the auditor or act toexonerate the auditor.

(5) Disclosure to Public and PrivateEntities To Obtain Information. Arecord from this system of records maybe disclosed to public or private sourcesto the extent necessary to obtaininformation from those sources relevantto an OIG audit oversight activity,referral action, suspension anddebarment action, investigation, audit,inspection, or other activity.

(6) Enforcement disclosure. In theevent that any records from this systemof records, either alone or incombination with any otherinformation, indicate a violation orpotential violation of criminal or civillaw or regulation, the Department maydisclose information from this system ofrecords as a routine use to any Federal,State, local, or foreign agency or otherpublic authority responsible forenforcing, investigating, or prosecutingviolations of administrative, civil, orcriminal law or regulation if thatinformation is relevant to anyenforcement, regulatory, investigative,or prosecutive responsibility of thereceiving entity.

(7) Disclosure to the Department ofJustice. A record may be disclosed fromthis system of records to the Departmentof Justice to the extent necessary forobtaining its advice on any matterrelevant to an OIG investigation, audit,inspection, or other inquiry related tothe responsibilities of the OIG.

(8) Hiring/contracting disclosure.(a) The Department. A record from

this system of records may be disclosedas a routine use to a Federal, State, orlocal agency maintaining civil, criminalor other relevant enforcement records orother pertinent records, such as currentlicenses, if necessary to obtain a recordrelevant to an agency decisionconcerning the hiring or retention of anemployee to perform audit services, theissuance of a security clearance, or theletting or continuation of a contract toperform audit services by theDepartment or by any recipient ofFederal funds administered by theDepartment or its agent.

(b) Other Federal agencies. A recordfrom this system of records may bedisclosed to a Federal agency, inconnection with the hiring or retentionof an employee to perform audit

services, the issuance of a securityclearance, the letting or continuation ofa contract to perform audit services bythe agency or by any recipient ofFederal funds, or the issuance of alicense, grant, or other benefit by therecipient agency.

(9) Litigation disclosure.(a) Disclosure to the Department of

Justice. A record from this system ofrecords may be disclosed to theDepartment of Justice if the record isrelevant and necessary to litigation.Such a disclosure may be made in theevent that one of the parties listed belowis involved in the litigation, or has aninterest in the litigation:

(i) The Department or any componentof the Department;


(iii) Any Department employee in hisor her individual capacity where theJustice Department has agreed torepresent such employee; or

(iv) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(b) Other litigation disclosure. Arecord from this system of records maybe disclosed to a court or adjudicativebody, to a party, counsel or witnesses,in the course of the litigation or relatedsettlement proceedings. Such disclosuremay be made in the event that a personor entity listed below is a party to thelitigation, or has an interest in thelitigation:

(i) The Department or any componentof the Department;

(ii) Any employee of the agency in hisor her official capacity;

(iii) Any employee of the Departmentin his or her individual capacity wherethe agency has agreed to represent theemployee; or

(iv) The United States, where theagency determines that litigation islikely to affect the agency or any of itscomponents.

(9) Congressional member disclosure.The Department may disclose records toa member of Congress from the recordof an individual in response to aninquiry from the member made at thewritten request of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.

(10) Employee grievance, complaint orconduct disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the Federalgovernment if the record is relevant toone of the following proceedingsregarding a present or former employeeof the Department: Complaint,grievance, discipline or competence



determination proceedings. Thedisclosure may only be made during thecourse of the proceeding.

(11) Contract disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.




STORAGE:Records are maintained in file folders

and/or microcomputer disk.

RETRIEVABILITY:Records are indexed and retrieved by

name of individuals, firms or otherprofessional associations.

SAFEGUARDS:Records are secured in file cabinets

and are locked in offices after officehours.

RETENTION AND DISPOSAL:Records are maintained and destroyed

in accordance with the Department’sRecords Disposition Schedule (ED/RDS,Part 16). A copy of the ED/RDS can beobtained from the system manager at theaddress below.

SYSTEM MANAGER(S) AND ADDRESSES:

Assistant Inspector General for AuditServices, Office of Inspector General,U.S. Department of Education, 400Maryland Avenue, SW., SwitzerBuilding, Washington, DC 20202–1510.


Individuals wishing to know if theyare named in this system of recordsmust submit a written request to thesystem manager. Requests mustreasonably specify the system of recordscontaining the information and theparticular record contents being sought.For a complete statement of notificationprocedures, see the regulations, 34 CFR5b.5.

RECORD ACCESS PROCEDURES:Individuals wishing to gain access to

a record in this system of records mustsubmit a written request to the systemmanager. Requests must reasonably

specify the system of records containingthe information, the particular recordcontents being sought, and the reasonfor the request. For a completestatement of notification procedures, seethe regulations, 34 CFR 5b.5.

CONTESTING RECORD PROCEDURES:Individuals desiring to contest

information contained in a record inthis system of records should contactthe system manager. Requests must bemade either in writing or in person, andmust specify: (1) The system of recordsfrom which the record is to be retrieved;(2) the particular record which therequestor is seeking to amend; (3)whether a deletion, an addition, or asubstitution is being sought; and (4) thereason(s) for the requested change(s).Requestors may wish to include in theirrequests any appropriate documentationsupporting the requested change(s). Fora complete statement of contestingrecord procedures, see the regulations,34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information contained in the system

will be obtained principally from OIGemployees. Information regarding thestatus of referral actions will beobtained from the appropriate Statelicensing board and professionalorganizations to which the referral wasmade.


None.

18–10–04

SYSTEM NAME:Hotline Complaint Files of the

Inspector General.


SYSTEM LOCATION:Office of Inspector General, U.S.

Department of Education, 330 C Street,SW., Room 4116, Switzer Building,Washington, DC 20202–1510.


Categories include individuals whoare sources of information or have madecomplaints to the OIG Hotline,individuals who allegedly haveknowledge regarding wrongdoingaffecting the programs and operations ofthe Department, and individuals aboutwhom complaints and allegations havebeen made concerning wrongdoinginvolving the programs and operationsof the Department of Education. Theseindividuals may include, but are notlimited to, current and former

Department employees, grantees,subgrantees, contractors, subcontractors,program participants, recipients ofFederal funds or federally insuredfunds, and officers, employees, or agentsof institutional recipients or programparticipants.


Records in this system containinformation obtained from complainantswho report allegations of wrongdoingrelating to Department of Educationprograms and operations. Specific datamay include name and address (ifavailable) of the complainant, the datethe complaint was received, the affectedprogram area, the nature and subject ofthe complaint, and any additionalcontacts and specific commentsprovided by the complainant. Inaddition, information on the OIGdisposition of the complaint is includedin the system.


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

PURPOSES:

Pursuant to the Inspector General Act,the system is maintained for thepurposes of maintaining a record ofcomplaints and allegations receivedconcerning Department of Educationprograms and operations andconcerning the disposition of thosecomplaints and allegations.


The Department of Education maydisclose information contained in arecord in this system of records withoutthe consent of the individual if thedisclosure is compatible with thepurpose for which the record wascollected, under the following routineuses:

(1) Disclosure for Use by Other LawEnforcement Agencies. In the event thatany records from this system of records,either by themselves or in combinationwith any other information, indicate aviolation or potential violation ofcriminal or civil law or regulation, theDepartment may disclose informationfrom this system of records as a routineuse to any Federal, State, local, orforeign agency or other public authorityresponsible for enforcing, investigating,or prosecuting violations ofadministrative, civil, or criminal law orregulation if that information is relevantto any enforcement, regulatory,investigative, or prosecutiveresponsibility of the receiving entity.

(2) Litigation Disclosure.



(a) Introduction. In the event that oneof the following parties is involved inlitigation, or has an interest in litigation,the Department may disclose certainrecords to the parties described inparagraphs (2), (3), and (4) of thisroutine use under the conditionsspecified in those paragraphs:

(i) The Department, or any componentof the Department; or


(iii) Any employee of the Departmentin his or her individual capacity if theDepartment of Justice has agreed toprovide or arrange for representation forthe employee; or

(iv) Any employee of the Departmentin his or her individual capacity if theagency has agreed to represent theemployee; or

(v) The United States if theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(b) Disclosure to the Department ofJustice. If the Department determinesthat disclosure of certain records to theDepartment of Justice or attorneysengaged by the Department of Justice isrelevant and necessary to litigation, theDepartment may disclose those recordsas a routine use to the Department ofJustice.

(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear or to an individualor an entity designated by theDepartment or otherwise empowered toresolve disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.

(d) Opposing Counsels,Representatives, and Witnesses. If theDepartment determines that disclosureof certain records to an opposingcounsel, representative, or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the counsel,representative, or witness.

(3) Disclosure to Public and PrivateEntities to Obtain Information Relevantto the Department’s OIG Functions andDuties. The Department may discloseinformation from this system of recordsas a routine use to public or privatesources to the extent necessary to obtaininformation from those sources relevantto a Department of Education/OIGinvestigation, audit, inspection, or otherinquiry.

(4) Disclosure to Public and PrivateSources in Connection with the Higher

Education Act of 1965, as amended(HEA). The Department may discloseinformation from this system of recordsas a routine use to any accreditingagency that is or was recognized by theSecretary of Education pursuant to theHEA, to any guarantee agency that is orwas a party to an agreement with theSecretary of Education pursuant to theHEA, or to any agency that is or wascharged with licensing or legallyauthorizing the operation of anyeducational institution or school thatwas eligible, is currently eligible, or maybecome eligible to participate in anyprogram of Federal student assistanceauthorized by the HEA.

(5) Disclosure to the Department ofJustice. The Department may discloseinformation from this system of recordsas a routine use to the Department ofJustice to the extent necessary forobtaining its advice on any matterrelevant to an OIG investigation, audit,inspection, or other inquiry related tothe responsibilities of the OIG.

(6) Congressional Disclosure. TheDepartment may disclose records to amember of Congress from the record ofan individual in response to an inquiryfrom the member made at the writtenrequest of that individual. Themember’s right to the information is nogreater than the right of the individualwho requested it.


None.


STORAGE:

The records are maintained incomplaint files, computer mainframefiles, and computer-printed listings.

RETRIEVABILITY:

Hard copy records are organized byand retrievable by the assigned Hotlinenumber. The computer files are indexedand retrievable by Hotline number,name of complainant, and the name ofthe subject or subjects.

SAFEGUARDS:

Records are maintained in locked filecabinets or in metal file cabinets insecured rooms or premises to whichaccess is limited to those persons whoseofficial duties require access. Computerterminals are secured in controlled areasthat are locked when unoccupied.Access to automated records is limitedto authorized personnel who must usea password system to gain access.

RETENTION AND DISPOSAL:Hotline records not resulting in

investigations are destroyed when fiveyears old, in accordance with theDepartment’s Records DispositionSchedules (ED/RDS, part 16).Investigative case files are destroyed 10years after close-out in accordance withthe Department’s Records DispositionSchedules (ED/RDS, Part 16).

SYSTEM MANAGER AND ADDRESS:Assistant Inspector General for

Investigation Services, Office ofInspector General, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 4106, Switzer Building,Washington, DC 20202-1510.

NOTIFICATION PROCEDURE:See Systems Exempted. As provided

in 34 CFR 5b.11(f), the notificationprocedures are not applicable to Hotlinefiles except at the discretion of theInspector General. The notificationprocedures are applicable to non-criminal files only under the conditionsin 34 CFR 5b.11(f)(2). To the extentthese procedures apply to theDepartment of Education HotlineComplaint Files, they are governed by34 CFR 5b.5.

RECORD ACCESS PROCEDURES:See Notification Procedure.

CONTESTING RECORD PROCEDURES:Not applicable. See Systems

Exempted.

RECORD SOURCE CATEGORIES:Complainants who include, but are

not limited to, current and formeremployees of the Department,employees of other Federal agencies,employees of State and local agencies,private individuals, and officers andemployees of non-governmentalorganizations that are involved withDepartment programs, contracts, orfunds or have knowledge aboutDepartment programs, contracts, orfunds.


The Secretary has by regulationsexempted the Hotline Complaint Filesof the Inspector General from thefollowing provisions of the Privacy Act:

(1) Pursuant to 5 U.S.C. 552a(j)(2):(a) 5 U.S.C. 552a(c)(3), regarding

access to an accounting of disclosures ofa record.

(b) 5 U.S.C. 552a(c)(4), regardingnotification to outside parties andagencies of correction or notation ofdispute made in accordance with 5U.S.C. 552a(d).

(c) 5 U.S.C. 552a(d)(1) through (4) and(f), regarding notification or access to



records and correction or amendment ofrecords.

(d) 5 U.S.C. 552a(e)(1), regardingmaintaining only relevant and necessaryinformation.

(e) 5 U.S.C. 552a(e)(2), regardingcollection of information from thesubject individual.

(f) 5 U.S.C. 552a(e)(3), regardingnotice to individuals asked to provide arecord to the Department.

(g) 5 U.S.C. 552a(e)(4)(G), (H), and (I),regarding inclusion of information inthe system notice about procedures fornotification, access, correction, andsource of records.

(h) 5 U.S.C. 552a(e)(5), regardingmaintaining records with requisiteaccuracy, relevance, timeliness, andcompleteness.

(i) 5 U.S.C. 552a(e)(8), regardingservice of notice on subject individual ifa record is made available undercompulsory legal process if that processbecomes a matter of public record.

(j) 5 U.S.C. 552a(g), regarding civilremedies for violation of the PrivacyAct.

(2) Pursuant to 5 U.S.C. 552a(k)(2):(a) 5 U.S.C. 552a(c)(3), regarding

access to an accounting of disclosures ofrecords.

(b) 5 U.S.C. 552a(d)(1) through (4) and(f), regarding notification of and accessto records and correction or amendmentof records.

(c) 5 U.S.C. 552a(e)(1), regarding therequirement to maintain only relevantand necessary information.

(d) 5 U.S.C. 552a(e)(4)(G), (H), and (I),regarding inclusion of information inthe system notice about procedures fornotification, access, correction, andsource of records.

These exemptions are stated in 34CFR 5b.11.

18–11–01

SYSTEM NAME:Federal Student Aid Application File.


SYSTEM LOCATION:Application & Pell Processing

Systems Division, Office of StudentFinancial Assistance Programs, U.S.Department of Education, Seventh andD Streets, SW., Room 4621, ROB–3,Washington, DC 20202–5459.

Federal Student Aid ApplicationProcessing Center, Iowa City, IA 52240.


This system contains records onstudents applying for Federal studentfinancial assistance under Title IV of theHigher Education Act of 1965 (HEA).

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of the name,

address, birth date, Social Securitynumber, and financial data necessary toidentify applicants, verify applicantdata, and calculate their expected familycontributions for Federal studentfinancial assistance. In addition,information on the student’s prior PellGrant awards and student loan statusfrom the National Student Loan DataSystem (NSLDS) database is maintainedin the system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Title IV of the Higher Education Act

of 1965, as amended.


is maintained for the purposes of: (1)Determining an applicant’s eligibilityfor the Federal student financialassistance programs authorized by titleIV of the HEA; (2) Maintaining a recordof the data supplied by those requestingassistance; (3) Documenting the resultsof an applicant’s need analysis and PellGrant eligibility; (4) Reporting theresults of the need analysis and PellGrant eligibility determination toapplicants, postsecondary institutions,and State agencies designated by theapplicant, and to other Departmentaland investigative components for use inoperating and evaluating the title IV,HEA programs and in the imposition ofcriminal, civil or administrativesanctions; and (5) Acting as a repositoryand source for information necessary tofulfill the requirements of title IV of theHEA.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDPURPOSES OF SUCH USERS:


(1) Disclosure to institutions ofpostsecondary education. TheDepartment may disclose identifyinginformation, financial data, andexpected family contributions ofapplicants to those institutions ofpostsecondary education (or theirdesignated agents) in which theapplicants plan to enroll or are enrolled.

Disclosure of such information is madeonly to postsecondary institutions thatare listed by the applicant on theFederal Student Aid Application file.

(2) Disclosure to State agencies. TheDepartment may disclose the datadescribed in paragraph (1) to Stateagencies having agreements with theSecretary for purposes of coordinatingstudent aid.

(3) Disclosure to parents and spouses.The Department, upon request, maydisclose information that is provided byparents or spouses on the applicationform to those individuals.




















Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) The

name, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE:Original applications are maintained

in standard Federal Records Centerboxes in locked storage rooms withinthe facility of the Application forFederal Student Aid Processor.Computerized applicant records aremaintained on magnetic tape reels,cartridges and hard disks in thecomputer facility and locked storagerooms within the Federal Student AidApplication Central Processing Center.Microfiche records maintained in theWashington, DC office are locked instandard file cabinets.

RETRIEVABILITY:Records are indexed by Social

Security number and the first two lettersof the applicant’s last name.

SAFEGUARDS:Records are available to staff of the

Student Financial Assistance Programs(including appropriate contract supportstaff). The Department will mail anElectronic Access Code (EAC) directlyto certain students who have used theWorld Wide Web to electronically file aFree Application for Federal StudentAid (FAFSA). The student uses the EACto complete their renewal FreeApplication for Federal Student Aid(FAFSA) via the Internet. Physicalaccess to the data systems housedwithin the facility is controlled by acomputerized badge reading system,and the entire complex is patrolled bysecurity personnel during nonbusinesshours. The computer system employedby the Department offers a high degreeof resistance to tampering andcircumvention. Multiple levels ofsecurity are maintained within thecomputer system control program. Thissecurity system limits data access toDepartment and contract staff on a‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are given

a unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Original records are maintained and

stored in a Federal Records Center.Grant aid records are kept for a periodnot to exceed fifteen years after paymentor audit of the grantee, whichever comessooner; and loan records are kept threeyears after cancellation or repayment ofa loan, in accordance with theDepartment of Education RecordsDisposition Schedules (ED/RDS).

SYSTEM MANAGER(S) AND ADDRESS:Director, Application & Pell

Processing Systems Division, Office ofStudent Financial Assistance Programs,U.S. Department of Education, 400Maryland Avenue, SW., Room 4621,ROB–3, Washington, DC 20202–5459.

NOTIFICATION PROCEDURE:A copy of the applicant’s record,

known as the Student Aid Report, ismailed to the applicant’s home addressafter the application information hasbeen processed. If you wish todetermine whether a record existsregarding you in the system of records,contact the system manager and provideyou name, date of birth, and SocialSecurity number or call 1–800–4–FED–AID (1–800–433–3243) and give thesame information. Requests fornotification about whether the system ofrecords contains information about anindividual must meet the requirementsof the regulations at 34 CFR 5b.5,including proof of identity.


in this system, contact the systemmanager and provide information asdescribed in the Notification Procedure.Requests by an individual for access toa record must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.

CONTESTING RECORD PROCEDURES:If you wish to change the content of

a record in the system of records (for thecurrent Free Application for FederalStudent Aid (FAFSA)), contact thesystem manager with the informationdescribed in the Notification Procedure,identify the specific items to bechanged, and provide a justification forthe change. Requests to amend a recordmust meet the requirements ofregulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Applicants for Federal student

financial aid provide the information



used in this system by filing a FreeApplication for Federal Student Aid(FAFSA) with the Department ofEducation. (For students who haveaccess to the Internet, the FreeApplication for Federal Student Aid(FAFSA) is available on the world wideweb (located at www.fafsa.ed.gov).Although students using the web siteare required to send in a paper signaturepage and students must update theirinformation each year, applyingelectronically using the Internet is lessburdensome than applying on paper.)


None.

18–11–02

SYSTEM NAME:Recipient Financial Management

System.


SYSTEM LOCATION:Central Computer Facility, U.S.

Department of Education, 400 MarylandAvenue, SW., Washington, DC 20202.


This system contains records on allPell Grant Recipients.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of the names,

addresses, birth dates, Social Securitynumbers, financial data, and status ofaward for Pell Grant recipients.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Title IV–A of the Higher Education

Act of 1965.


to prepare processed student paymentdata for submission to schools or theiragents in order to verify payments madeto students.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDPURPOSES OF SUCH USES:


(1) Program Disclosures. Anyinformation from this system of records,including personal information obtainedfrom other agencies through computermatching programs, may be disclosed toany third party through a computermatching program in connection withan individual’s application orqparticipation in any grant or loanprogram administered by theDepartment. Purposes of thesedisclosures may be to determineprogram eligibility and benefits, enforcethe conditions and terms of the loan orgrant, permit the servicing andcollecting of the loan or grant, counselthe individual in repayment efforts,investigate possible fraud and verifycompliance with program regulations,locate a delinquent or defaulted debtor,and initiate legal action against anindividual involved in program fraud orabuse.








(v) The United States where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components


(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department is

authorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.



Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim which isdetermined to be valid and overdue asfollows: (1) The name, address, taxpayeridentification number and otherinformation necessary to establish theidentity of the individual responsiblefor the claim; (2) the amount, status, andhistory of the claim; and (3) the programunder which the claim arose. TheDepartment may disclose theinformation specified in this paragraphunder 5 U.S.C. 552a(b)(12) and theprocedures contained in subsection 31U.S.C. 3711(f). A consumer-reportingagency to which these disclosures maybe made is defined at 31 U.S.C.3701(a)(3).


STORAGE:

Origination and disbursement reportsare now stored electronically. Decreaseaward and audit reports are maintainedin hard copy.

RETRIEVABILITY:

Records are indexed by institutionand by recipient name and SocialSecurity number within school.

SAFEGUARDS:

Direct access is restricted toauthorized staff. A computerized badgereading system controls physical accessto the records housed within thefacility.


Original copies are maintained untilfiscal year funds are closed out and thenare stored at the Federal Records Center.




Director, Student Aid OriginationTeam, Programs Systems Service, 400Maryland Avenue, SW., Washington,DC 20202.


A student who has received a FederalPell Grant, should presume that a recordexists. If you wish to determine whethera record exists regarding you in thesystem of records, contact the systemmanager and provide your name, socialsecurity number and date of birth. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


If you wish to gain access to a recordin this system, you should contact thesystem manager and provideinformation as described in theNotification Procedure. Your requestmust meet the requirements of theregulations at 34 CFR 5b.5, includingproof of identity.


If you wish to change the content ofa record in the system of records, youshould contact the system manager withthe information described in theNotification Procedure, identify thespecific items to be changed andprovide a written justification for thechange. Your request must meet therequirements of the regulations at 34CFR 5b.7.


Information in this system is obtainedfrom origination and disbursementrecords provided by the school or itsagent to the Department of Education.


None.

18–11–03

SYSTEM NAME:

Student Financial AssistanceValidation File.


None.

SYSTEM LOCATION:

Debt Collection, Division ofCertification and Program Review,Office of Student Financial AssistancePrograms, U.S. Department ofEducation, Seventh and D Streets, SW.,Room 4520, ROB–3, Washington, DC20202.


This system contains records onapplicants and recipients of studentfinancial assistance.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of student

financial assistance application, awardand servicing forms and documentation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Title IV of the Higher Education Act

of 1965.


to determine program eligibility andbenefits, enforce the conditions andterms of the loan or grant, permit theservicing and collecting of the loan orgrant, counsel the individual inrepayment efforts, investigate possiblefraud and verify compliance withprogram regulations, locate a delinquentor defaulted debtor, and initiate legalaction against an individual involved inprogram fraud or abuse.















(3) Program Disclosures. Anyinformation from this system of records,including personal information obtainedfrom other agencies through computermatching programs, may be disclosed toany third party through a computermatching program in connection withan individual’s application orparticipation in any grant or loanprogram administered by theDepartment of Education. Purposes ofthese disclosures may be to determineprogram eligibility and benefits, enforcethe conditions and terms of the loan orgrant, permit the servicing andcollecting of the loan or grant, counselthe individual in repayment efforts,investigate possible fraud and verifycompliance with program regulations,locate a delinquent or defaulted debtor,and initiate legal action against anindividual involved in program fraud orabuse.


Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim which is



determined to be valid and overdue asfollows: (1) The name, address, taxpayeridentification number and otherinformation necessary to establish theidentity of the individual responsiblefor the claim; (2) the amount, status, andhistory of the claim; and (3) the programunder which the claim arose. TheDepartment may disclose theinformation specified in this paragraphunder 5 U.S.C. 552a(b)(12) and theprocedures contained in subsection 31U.S.C. 3711(f). A consumer reportingagency to which these disclosures maybe made is defined at 31U.S.C.3701(a)(3).


STORAGE:

Records are maintained in standardfile cabinets.

RETRIEVABILITY:

Records are indexed by name.

SAFEGUARDS:

Access is restricted to authorized staffonly and files are maintained in lockedcabinets.


Records are maintained until resolvedand then transferred to the FederalRecords Center.


Director, Division of Certification andProgram Review, Office of StudentFinancial Assistance Programs, U.S.Department of Education, 400 MarylandAvenue, SW., Room 4520, ROB–3,Washington, DC 20202.


If you wish to determine whether arecord exists regarding you in thesystem of records, contact the systemmanager. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.






Information in this system is obtainedfrom application data, incomingcorrespondence and related material,obtained during course of investigation;Program System Service (PSS), NationalStudent Loan Data Systems Division(NSLDS).


None.

18–11–05

SYSTEM NAME:

Title IV Program Files.


None.

SYSTEM LOCATION:

Program System Service, Office ofStudent Financial Assistance Programs,U.S. Department of Education, Seventhand D Streets, SW., Room 4640, ROB–3, Washington, DC 20202–5258.

Computer Sciences Corporation,Meridan, Connecticut.


This system contains records on thefollowing individuals:

(1) Individuals who apply for Federalfinancial student aid;

(2) Recipients of Pell Grants;(3) Recipients of Federal Direct

Student Loans; and(4) Borrowers whose loan defaulted or

borrower died, became disabled or hada loan discharged in bankruptcy underthe Federal Direct Student LoanProgram.


This system contains recordsregarding the amount of Pell Grantapplicant receives; applicant’sdemographic background, loan, andeducational status; family income;Social Security number; address andtelephone number; and employmentinformation on borrowers and co-signers; default claim number; amountof claim; information pertaining tolocating a borrower; collection andrepayment history; informationpertaining to the amount of the loan andrepayment obligation; forbearance;cancellation; disability; and defermentinformation.


Higher Education Act of 1965, TitlesIV–A, IV–B, IV–D, and IV–E, asamended (20 U.S.C. 1070–1070a–6,1070b–1070b–3, 1071–1087–2, 1087a,1087aa–hh).

PURPOSE(S):The information maintained in this

system is used for the purposes ofdetermining program eligibility andbenefits, verifying the identity of theindividual, enforcing the conditions andterms of the loan or grant, permitting theservicing and collecting of the loan orgrant, counseling the individual inrepayment efforts, investigating possiblefraud and verifying compliance withprogram regulations, locating adelinquent or defaulted debtor orlocating a recipient owing anoverpayment on a grant, initiating legalaction against an individual involved inprogram fraud, abuse, ornoncompliance, and enforcing Title IVrequirements against schools, lenders,and guaranty agencies.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purpose for whichthe record was collected under thefollowing routine uses:

(1) Program Disclosures. ED maydisclose records for the followingprogram purposes:

(a) To verify the identity of theapplicant, disclosures may be made toguaranty agencies, educational andfinancial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,contractors, business and personalassociates and consumer reportingagencies.

(b) To determine program eligibilityand benefits, disclosures may be madeto guaranty agencies, educational andfinancial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,contractors, business and personalassociates and consumer reportingagencies.

(c) To facilitate default reductionefforts by program participants,disclosures may be made to guarantyagencies, educational and financialagencies or institutions, Federal, Stateor local agencies, consumer reportingagencies, contractors and hearingofficials.

(d) To enforce the conditions or termsof the loan, disclosures may be made toguaranty agencies, educational andfinancial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present and



former employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(e) To enforce the conditions or termsof the grant, disclosures may be made toeducational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(f) To permit servicing, collecting oraccepting the loan, disclosures may bemade to guaranty agencies, educationaland financial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(g) To permit collecting overpaymenton grants, disclosures may be made to,educational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(h) To counsel the borrower inrepayment efforts, disclosures may bemade to guaranty agencies, educationaland financial agencies or institutions,contractors and Federal, State or localagencies.

(i) To investigate possible fraud andverify compliance with loan programregulations, disclosures may be made toguaranty agencies, educational andfinancial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(j) To investigate possible fraud andverify compliance with grant programregulations, disclosures may be made toeducational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(k) To locate a delinquent or defaultedborrower, disclosures may be made toguaranty agencies, educational andfinancial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(l) To locate an individual who owesa refund on a grant, disclosures may bemade to educational and financialagencies or institutions, Federal, Stateor local agencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(m) To issue collection letters todefaulted borrowers, disclosures may bemade to guaranty agencies, educationaland financial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(n) To issue collection letters to anindividual who owes a refund on agrant, disclosures may be made toeducational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(o) To locate a missing borrower,disclosures may be made to guarantyagencies, educational and financialagencies or institutions, Federal, Stateor local agencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(p) To locate a missing individualwho owes a refund on a grant,disclosures may be made to educationaland financial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,consumer reporting agencies,contractors and hearing officials.

(q) To collect in-file historyinformation and to determine assets andability to pay a loan debt, disclosuresmay be made to guaranty agencies,educational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(r) To collect in-file historyinformation and to determine assets andability to refund an overpayment,disclosures may be made to educationaland financial agencies or institutions,Federal, State or local agencies, privateparties such as relatives, present andformer employers and creditors,business and personal associates,

consumer reporting agencies,contractors and hearing officials.

(s) To determine last known address,disclosures may be made to guarantyagencies, educational and financialagencies or institutions, Federal, Stateor local agencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(t) To conduct a salary offset hearingunder 34 CFR Part 31, disclosures maybe made to Federal agencies, contractorsand hearing officials.

(u) To prepare for litigation or tolitigate collection service and audit,disclosures may be made to guarantyagencies, Federal, State or localagencies, contractors and hearingofficials.

(v) To initiate a limitation, suspensionand termination (LS&T) or debarment orsuspension action, disclosures may bemade to guaranty agencies, educationaland financial agencies or institutionsand hearing officials.

(w) To ensure Title IV requirementsare met by schools, lenders andguaranty agencies, disclosures may bemade to guaranty agencies, educationaland financial agencies or institutions,Federal, State or local agencies, andhearing officials.

(x) To verify death, disclosures maybe made to guaranty agencies,educational and financial agencies orinstitutions, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and Federal, State or localagencies.

(y) To conduct credit checks,disclosures may be made to guarantyagencies, educational and financialagencies or institutions, private partiessuch as relatives, present and formeremployers and creditors, business andpersonal associates, consumer reportingagencies, contractors and Federal, Stateor local agencies.

(z) To investigate complaints, updatefiles, and correct errors, disclosures maybe made to guaranty agencies,educational and financial agencies orinstitutions, Federal, State or localagencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, consumer reporting agencies,contractors and hearing officials.

(2) Feasibility Study Disclosure. Anyinformation from this system of recordsmay be disclosed to other Federalagencies and to guaranty agencies todetermine whether computer matchingprograms should be conducted by theDepartment regarding an individual’s



application for or participation in anygrant or loan program administered bythe Department. Purposes of thesedisclosures may be to determineprogram eligibility and benefits,facilitate default reduction efforts,enforce the conditions and terms of aloan or grant, permit the servicing andcollecting of the loan or grant, enforcedebarment, suspension, andexclusionary actions, counsel theindividual in repayment efforts,investigate possible fraud and verifycompliance with program regulations,locate a delinquent or defaulted debtor,and initiate legal action against anindividual involved in program fraud orabuse.

(3) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, the relevantrecords in the system of records may bereferred, as a routine use, to theappropriate agency, whether foreign,Federal, State, or local, charged with theresponsibility of investigating orprosecuting such violation or chargedwith enforcing or implementing thestatute, or executive order or rule,regulation, or order issued pursuantthereto if the information is relevant toany enforcement, regulatory,investigative, or prosecutiveresponsibility of the receiving entity.













(a) For Decisions by the Department.The Department may disclose a recordfrom this system of records as a routineuse to a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, such as current licenses, if thedisclosure is necessary to obtain arecord the Department believes may berelevant to a Department decisionconcerning the hiring, retention of, orany personnel action concerning anemployee, the issuance of a securityclearance, the letting of a contract, orthe issuance of a license, grant, or otherbenefit.

(b) For Decisions by Other PublicAgencies and Professional LicensingOrganizations. The Department maydisclose information from this system ofrecords as a routine use to a Federal,State, local, or foreign agency or otherpublic authority or professionallicensing organization, in connectionwith the hiring or retention of anemployee, the issuance of a securityclearance, the reporting of aninvestigation of an employee, the lettingof a contract, or the issuance of alicense, grant, or other benefit.

(6) Employee Grievance, Complaint orConduct Disclosure. If a recordmaintained in this system of records isrelevant to an employee grievance orcomplaint or employee discipline orcompetence determination proceedingsof another party of the FederalGovernment, the Department maydisclose the record as a routine use inthe course of the proceedings.

(7) Labor Organization Disclosure.Where a contract between a componentof the Department and a labor

organization recognized under Chapter71, U.S.C. Title V provides that theDepartment will disclose personalrecords relevant to the organization’smission, records in this system ofrecords may be disclosed as a routineuse to such an organization.

(8) Contract Disclosure. When theDepartment contemplates that it willcontract with a private firm for thepurpose of collating, analyzing,aggregating, or otherwise refiningrecords or performing any otherfunction with respect to the records inthis system, relevant records will bedisclosed to such a contractor. Thecontractor shall be required to maintainPrivacy Act Safeguards with respect tosuch records.

(9) Disclosure to the Department ofJustice. The Department may discloseinformation from this system of recordsas a routine use to the Department ofJustice to the extent necessary forobtaining its advice on any matterrelevant to an audit, inspection, or otherinquiry related to the Department’sresponsibilities under Title IV of theHigher Education Act of 1965.

(10) Research Disclosure. When theappropriate official of the Departmentdetermines that an individual ororganization is qualified to carry outspecific research, that official maydisclose information from this system ofrecords to that researcher solely for thepurpose of carrying out that research.The researcher shall be required tomaintain Privacy Act Safeguards withrespect to such records.

(11) Computer Matching Disclosure.Any information from this system ofrecords, including personal informationobtained from other agencies throughcomputer matching programs, may bedisclosed to any third party through acomputer matching program inconnection with an individual’sapplication for, or participation in, anygrant or loan program administered bythe Department. The purposes of thesedisclosures may be to determineprogram eligibility and benefits, enforcethe condition and terms of a loan orgrant, permit the servicing andcollecting of the loan or grant, prosecuteor enforce debarment, suspension, andexclusionary actions, counsel theindividual in repayment efforts,investigate possible fraud and verifycompliance with program regulations,locate a delinquent or defaulted debtor,and initiate legal action against anindividual involved in program fraud orabuse.

Among other disclosures, this routineuse authorizes disclosure to any otherFederal agency, including the DefenseManpower Data Center, Department of



Defense, for the purposes of identifyingand locating individuals who aredelinquent in their repayment of debtsowed to the U.S. Government underTitle IV, HEA programs of theDepartment, in order to collect the debtsunder the provisions of the DebtCollection Act of 1982 (including 31U.S.C. Chapter 37 and 5 U.S.C. 5514)and 31 CFR Part 31 by voluntaryrepayment or by administrative or salaryoffset.

(13) Freedom of Information Act(FOIA) Advice Disclosure. In the eventthat the Department deems it desirableor necessary, in determining whetherparticular records are required to bedisclosed under the Freedom ofInformation Act, disclosure may bemade to the Department of Justice or theOffice of Management and Budget forthe purpose of obtaining their advice.

(14) Congressional MemberDisclosure. The Department maydisclose information contained in arecord in this system of records underthe routine uses listed in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purposes for thewhich the record was collected. Themember’s right to the information is nogreater than the right of the individualwho requested it.


Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim which isdetermined to be valid and overdue asfollows: (1) The name, address, socialsecurity number, and other informationnecessary to establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in 31 U.S.C. 3711(f). Aconsumer reporting agency to whichthese disclosures may be made isdefined at 15 U.S.C. 1681a(f) and 31U.S.C. 3701(a)(3).


STORAGE:The records are maintained in either

hard copy, microfilm, magnetic tape, orother electronic media.

RETRIEVABILITY:The file is indexed by Social Security

number or name. Data for loans made

under the Federal Direct Student LoanProgram, FISL Program, Federal PerkinsLoan (formerly National Direct StudentLoan) Program, Federal Pell GrantProgram, and some FFELs areretrievable by Social Security number.

SAFEGUARDS:All physical access to the Department

of Education site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge.

The computer system employed bythe Department of Education offers ahigh degree of resistance to tamperingand circumvention. This securitysystem limits data access to Departmentof Education and contract staff on a‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are givena unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Records of individual loans may be

destroyed five years after cancellation,forgiveness or final repayment of theloan. Records of Federal SupplementalEducational Opportunity Grantrecipients may be destroyed five yearsafter the fiscal operations report is filed.Records of Federal Pell Grant recipientsmay be destroyed five years after theinitial award year has ended, as set forthin appropriate record retentionschedules.

SYSTEM MANAGER(S) AND ADDRESS:Director, Program Systems Service,

Office of Student Financial AssistancePrograms, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 4640, ROB–3, Washington, DC20202–5258.


record exists regarding you in thesystem of records, you should provideto the system manager your name, dateof birth, Social Security number, andthe name of the school or lender fromwhich the loan or grant was obtained.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


in this system, you should contact thesystem manager and provideinformation as described in the

Notification Procedure. Requests by anindividual for access to a record mustmeet the requirements of the regulationsat 34 CFR 5b.5, including proof ofidentity.


a record in the system of records,contact the system manager with theinformation described in theNotification Procedure, identify thespecific items to be changed, andprovide a written justification for thechange. Requests to amend a recordmust meet the requirements of theregulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information is obtained from reports

from borrowers and their families,lenders, schools, examining or treatingphysicians, employers, credit agencies,Federal and State governmentalagencies, and State or private nonprofitguaranty agencies. However, lendersand guaranty agencies are not a sourceof information for participants in theFederal Direct Student Loan Program,since the Department maintainsindividual records of borrowers for thisprogram.


None.

18–11–07

SYSTEM NAME:Student Financial Assistance

Collection Files.


SYSTEM LOCATIONS:Program Systems Support, Office of

Student Financial Assistance Programs,U.S. Department of Education, Seventhand D Streets, SW., Room 4640, ROB-3,Washington, DC 20202–5258. See theAppendix to this system notice foradditional system locations.


This system contains records on thoseindividuals who have student loansmade under the Federal FamilyEducation Loan (FFEL) Program:Stafford Loans (formerly the GuaranteedStudent Loan Program (GSL), includingFederally Insured Student Loans(FISL)), Supplemental Loans forStudents (SLS), PLUS Loans (formerlyParental Loans for UndergraduateStudents), and Consolidation Loans; theWilliam D. Ford Federal Direct StudentLoan (Direct Loan) Program (formerlyknown as the Stafford/Ford Loan



Program (SFLP), Federal DirectUnsubsidized Stafford/Ford LoanProgram, Federal Direct ConsolidationLoan, and Federal Direct Plus Loans;and Federal Perkins Loans (formerlyNational Direct/Defense Student Loans(NDSL)) and those who are awardedgrants under the Pell Grant Program andthe Supplemental EducationOpportunity Grant Program (SEOG).

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains records

regarding an applicant’s demographicbackground; loan, repayment history;and educational status; family income;social security number; address andtelephone numbers; employmentinformation on borrowers and co-signers; collection activity on accounts;default claim number; amount of claim;information pertaining to locating aborrower; collection and repaymentobligation; forbearance; cancellation;disability; deferment; administrativewage garnishment; bankruptcy, death;close school discharge; hearings;photocopy of all promissory notes;account collection records; andadministrative resolutions andlitigations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Higher Education Act of 1965, Titles

IV–A, IV–B, IV–D, and IV–E, asamended, (20 U.S.C. 1070–1070a–6,1070b–1070b–3, 1071–1087–2, 1087a,and 1087aa–hh).

PURPOSE(S):The information contained in the

records maintained in this system isused for the purposes of determiningprogram eligibility and benefits,verifying the identity of the individual,enforcing the conditions and terms ofthe loan or grant, permitting theservicing and collecting of the loan orgrant, counseling the individual inrepayment efforts, investigating possiblefraud and verifying compliance withprogram regulations, locating adelinquent or defaulted debtor orlocating a recipient owing anoverpayment on a grant, initiating legalaction against an individual involved inprogram fraud, abuse, ornoncompliance, and enforcing Title IVrequirements against schools, lenders,and guaranty agencies.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if the

disclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.

(1) Program Disclosures. TheDepartment may disclose informationfrom this system to Federal, State, orlocal agencies, private parties such asrelatives, present and former employersand creditors, business and personalassociates, guaranty agencies,educational and financial agencies orinstitutions, consumer reportingagencies, contractors and hearingofficials for the following purposes: (1)To verify the identity of the applicant;(2) to determine program eligibility andbenefits; (3) to facilitate defaultreduction efforts by programparticipants; (4) to enforce theconditions or terms of the loan; (5) topermit servicing, collecting, oraccepting the loan; (6) to counsel theborrower in repayment efforts; (7) toinvestigate possible fraud and verifycompliance with program regulations;(8) to locate a delinquent or defaultedborrower; (9) to issue collection letters;(10) to locate a missing borrower; (11) tocollect in-file history information todetermine assets and ability to pay; (12)to determine last known address; (13) toconduct a salary offset hearing under 34CFR part 31; (14) to prepare forlitigation or to litigate collection serviceand audit; (15) to initiate a limitation,suspension, and termination (LS&T) ordebarment or suspension action; (16) toensure Title IV requirements are met byschools, lenders, and guaranty agencies;(17) to verify death; (18) to conductcredit checks; and (19) to investigatecomplaints, update files, and correcterrors.

(2) Feasibility Study Disclosure. TheDepartment may disclose informationfrom this system of records to otherFederal agencies and to guarantyagencies to determine whethercomputer matching programs should beconducted by the Department regardingan individual’s application for orparticipation in any grant or loanprogram administered by theDepartment. Purposes of thesedisclosures may be to determineprogram eligibility and benefits,facilitate default reduction efforts,enforce the conditions and terms of aloan or grant, permit the servicing andcollecting of the loan or grant, enforcedebarment, suspension, andexclusionary actions, counsel theindividual in repayment efforts,investigate possible fraud and verify

compliance with program regulations,locate a delinquent or defaulted debtor,and initiate legal action against anindividual involved in program fraud orabuse.











(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicative



body before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.






(8) Labor Organization Disclosure. Acomponent of the Department maydisclose records to a labor organizationif a contract between the componentand a labor organization recognizedunder Title V of the United States Code,

Chapter 71, provides that theDepartment will disclose personalrecords relevant to the organization’smission. The disclosures will be madeonly as authorized by law.





(13) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the writtenrequest of that individual. TheMember’s right to the information is nogreater than the right of the individualwho requested it.


Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) The

name, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE:

The records are maintained in eitherhardcopy, microfilm, magnetic tape, orother electronic media.

RETRIEVABILITY:

Records are retrievable by SocialSecurity number.

SAFEGUARDS:

All physical access to theDepartment’s site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge.

The computer system utilized by theDepartment offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to the Department andcontract staff on a ‘‘need-to-know’’basis, and controls individual users’ability to access and alter records withinthe system. All users of this system ofrecords are given a unique user ID withpersonal identifiers. All interactions byindividual users with the system arerecorded.


Records of individual loans may bedestroyed five (5) years aftercancellation, forgiveness or finalrepayment of the loan. Records ofFederal Supplemental EducationalOpportunity Grant (SEOG) recipientsmay be destroyed five (5) years after thefiscal operations report is filed. Recordsof Federal Pell Grant recipients may bedestroyed five (5) years after the initialaward year has ended, as set forth inappropriate record retention schedules.


Director, Program Systems Support,Office of Student Financial AssistancePrograms, U.S. Department ofEducation, 400 Maryland Avenue, SW.,



Room 4640, ROB–3, Washington, DC20202–5258. See the Appendix at theend of this system notice for additionalsystem managers.


record exists regarding you in thesystem of records, provide the systemmanager with your name, date of birthand Social Security number. Requestsmust meet the requirements of theregulations at 34 CFR 5b.5.


in this system, contact the systemmanager and provide information asdescribed in the notification procedure.Requests by an individual for access toa record must meet the requirements ofthe regulations at 34 CFR 5b.5.


a record in the system of records,contact the system manager with theinformation described in thenotification procedure, identify thespecific items to be changed, andprovide a written justification for thechange. Requests to amend a recordmust meet the requirements of theregulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information is obtained from reports

from borrowers and their families,lenders, schools, examining or treatingphysicians, employers, credit agencies,Federal and State governmentalagencies, and State or private nonprofitguaranty agencies. However, lendersand guaranty agencies are not a sourceof information for participants in theFederal Direct Student Loan Program,since the Department maintainsindividual records of borrowers for thisprogram.


None.

Appendix to 18-11-07

Additional System Managers and SystemLocationsRaytheon/E-Systems, 6201 I-30, Greenville,

TX 75402. Assistant RegionalAdministrator, U.S. Department ofEducation, Region IV, Division of Claimsand Collections, Office of StudentFinancial Assistance, 61 Forsyth Street,SW., Rm. 19T89, Atlanta, GA 30303.

Assistant Regional Administrator, U.S.Department of Education, Region V,Division of Claims and Collections,Office of Student Financial Assistance,111 North Canal Street, Suite 1009,Chicago, Illinois 60605.

Assistant Regional Administrator, U.S.Department of Education, Region IX,Division of Claims and Collections, Office

of Student Financial Assistance, 50 UnitedNations Plaza, Room 250, San Francisco,California 94102.

18–11–08

SYSTEM NAME:Student Account Manager System.


SYSTEM LOCATION(S):Program Systems Service, Office of

Student Financial Assistance Programs,U.S. Department of Education, Seventhand D Streets, SW., Room 4640, ROB–3, Washington, DC 20202. NationalComputer Systems, 2510 North DodgeStreet, Iowa City, Iowa 52240.

Total Systems Services, Inc, 6101Stone Mill Drive, Columbus, GA;Golden Retriever System, 8 N. RooseveltAvenue, Chandler, AZ 85221.


The Student Account Manager Systemcontains student financial assistancerecords about students and/or borrowersboth who have applied for loans underany Title IV Federal loan program andstudents who have applied for grantsunder any Title IV Federal grantprogram.

CATEGORIES OF RECORDS IN THE SYSTEM:The Student Account Manager System

contains records relating to a studentand/or borrower’s originated awardsand disbursements of Title IV financialassistance. The system contains threedata element types as outlined below:demographic information, such asstudent and/or borrower name, mailingand permanent address, e-mail address,current and original Social Securitynumber, phone number, date of birth,student account number; loan and grantfunding and award information,including the Title IV code for theschool(s) for which students and/orborrowers have requesteddeterminations of Federal financialassistance eligibility, the originationdate and I.D., the funding source I.D.,loan holder, credit limit or awardamount; loan and grant transactioninformation, including the transactiondate, posting date, disbursementamount, acceptance/rejection field,batch number.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Higher Education Act of 1965, Title

IV–A through IV–H, as amended, (20U.S.C. 1092b).

PURPOSE(S):This system of records is provided for

the purposes of:(1) Giving students a single point of

contact for information, statements, and

customer service concerning theirFederal student financial assistance(loans and grants) from variousprograms and sources;

(2) Providing eligible institutions ofhigher education with a standardizedmethod for the receipt of Title IVstudent financial assistance; and

(3) Creating summary reports forFederal loan and grant funding sourcesand program offices for loans and grantsdelivered through the Student AccountManager.



(1) Program purposes. Records may bedisclosed for the following programpurposes:

(a) To report disbursement activity,disclosures may be made to appropriateguaranty agencies, educational andfinancial institutions, and Federalagencies.

(b) To deliver Federal studentassistance funds to the educationalinstitution at which the student isenrolled, disclosures may be made tothat educational institution.


(3) Enforcement disclosures. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords to the appropriate agency,whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating



or prosecuting that violation or chargedwith enforcing or implementing thestatute, or executive order, rule,regulation, or order issued pursuantthereto.

(4) Litigation disclosure andAlternative Dispute Resolution (ADR)Disclosures.







(b) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation or ADR, theDepartment may disclose those recordsas a routine use to the DOJ

(c) Administrative disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.



(a) For Decisions by the Department.The Department may disclose a recordto a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, or to another public authority

or professional organization, ifnecessary to obtain information relevantto a Department decision concerning thehiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.


(6) Employee Grievance, Complaint,or Conduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant toone of the following proceedingsregarding a present or former employeeof the Department: Complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.




(10) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclose

the records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.


(12) Congressional memberdisclosure. The Department maydisclose information to a member ofcongress from the record of anindividual in response to an inquiryfrom the member made at the writtenrequest of that individual. TheMember’s right to the information is nogreater than the right of the individualwho requested it.



Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in 31 U.S.C. 3711(e). Aconsumer reporting agency to whichthese disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISCLOSING OF RECORDS IN THE SYSTEM:

STORAGE:The records at the National Computer

Systems (NCS) are maintained on the



mainframe at the NCS data center inIowa City, IA and archived ontomagnetic tape. Total System records aremaintained on a mainframe database inColumbus, GA and backed up ontomagnetic tapes. Golden RetrieverSystem records are maintained on asequel server database in Chandler, AZand backed up onto CD–ROM.

RETRIEVABILITY:Each student and/or borrower’s file is

indexed by social security number andthe first two characters of their lastname.

SAFEGUARDS:All users of this system are given a

unique user ID with a personalidentifier. Student and parent users areassigned an Electronic Access Code(EAC) through the Federal Student AidApplication Files Privacy Act system ofrecords number 18–11–01 by whichthey can access their accounts. Allphysical access to the Department’s site,and the sites of Department contractorswhere this system of records ismaintained, is controlled and monitoredby security personnel who check eachindividual entering the building for hisor her employee or visitor badge.

The computer system employed bythe Department offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to the Department,agents of the Department (includingschools and funding sources), andcontract staff on a ‘‘need-to-know’’basis, and controls individual users’ability to access and alter records withinthe system. All users of this system ofrecords are given a unique user ID withpasswords.

RETENTION AND DISPOSAL:Federal Loan Records: The

Department will retain and dispose ofloan records in accordance with theDepartment’s Records DispositionSchedules (ED/RDS), Part 10, Item 16.Individual records (applications,certifications, disbursements,correspondence, and related records) forFederal loans may be destroyed threeyears after cancellation, forgiveness orfinal repayment of the Loan (ED/RDS,Part 10, Item 16). Electronic Federalloan records will be kept online andeasily available for 24 months afterreconciliation with the funding source,then retained in accordance with ED/RDS, Part 10, Item 16.

Federal Pell Grant Records: TheDepartment will retain and dispose ofPell Grant records in accordance withED/RDS, Part 10, Item 17. Records ofFederal Pell Grant recipients

(applications, payment, correspondence,and related records) will be transferredto a Federal Records Center after finalpayment to grantee. Individual PellGrant records may be destroyed 15 yearsafter final payment to grantee (ED/RDS,Part 10, Item 17). Individual records forunapproved Federal Pell Grantapplications will be transferred to aFederal Records Center 120 days after arejection or withdrawal, and may bedestroyed three years after date ofrejection or withdrawal (ED/RDS, Part10, Item 17(d)). Electronic Federal PellGrant records will be kept online andeasily available for 24 months afterreconciliation with the funding source,then retained in accordance with ED/RDS, Part 10, Item 17.

SYSTEM MANAGER(S) AND ADDRESS:Service Director, Program Systems

Service, Office of Student FinancialAssistance Programs, U.S. Departmentof Education, 400 Maryland Avenue,SW., ROB–3, Room 4640, Washington,DC 20202.


whether a record exists regarding him orher in this system of records, theindividual may gain access to thesystem via the Internet or by contactingthe system administrator through theStudent Account Manager’s customerservice e-mail address or toll-freetelephone number. (To obtain access torecords by telephone, the student mustfirst authorize telephone access throughthe Student Account Manager’s websiteusing his or her Electronic AccessCode.) The student must provide thesystem manager with his or her name,date of birth, Social Security number,and Electronic Access Code (EAC).Requests for notification about anindividual must meet the requirementsof the regulations at 34 CFR 5b.5,including proof of identity. Individualsmay also present their requests inperson at any of the locations identifiedfor this system of records or addresstheir requests to the system manager atthe following address: Program SystemsService, Office of Student FinancialAssistance Programs, U.S. Departmentof Education, 400 Maryland Avenue,SW., ROB–3, Room 4640, Washington,DC 20202.

RECORD ACCESS PROCEDURES:If an individual wishes to gain access

to a record in this system, he or she maydo so via the Internet, by calling the tollfree customer service phone numberusing a touch-tone telephone, or bycontacting the system manager throughthe Student Account Manager’s

customer service e-mail address or toll-free telephone number. (To obtainaccess to records by telephone, thestudent must first authorize telephoneaccess through the Student AccountManager’s website using his or herElectronic Access Code.)

CONTESTING RECORD PROCEDURES:If an individual wishes to change the

contents of a record in the system ofrecords, he or she may challenge atransaction by contacting the systemmanager by telephone or sendingwritten notice to the Student AccountManager’s customer assistance area andproviding the information described inthe notification procedure, identifyingthe specific item(s) to be changed, andproviding a written justification for thechange, including any supportingdocumentation.

RECORD SOURCE CATEGORIES:Information is obtained from schools,

lenders, guaranty agencies, students,borrowers, the Title IV Program Files(Privacy Act system of records number18-11-05), the Federal Student AidApplication Files Privacy Act system ofrecords number 18-11-001), the DirectLoan Origination Center, and theRecipient Funds Management System(RFMS).


None.

18-11-09

SYSTEM NAME:Postsecondary Education Participants

System (PEPS).


SYSTEM LOCATION:Computer Sciences Corporation, 71

Deerfield Lane, Meriden, CT 06450.


The PEPS contains records aboutowners (individuals, either solely or aspartners, and corporate entities),officials, and authorized agents ofpostsecondary institutions; members ofboards of directors or trustees of suchinstitutions; employees of foreignentities that evaluate the quality ofeducation; third-party servicers,including contact persons.

CATEGORIES OF RECORDS IN THE SYSTEM:The PEPS contains information

regarding the eligibility, administrativecapability, and financial responsibilityof postsecondary schools thatparticipate in the student financial aid



programs, including the names,taxpayer identification numbers (SocialSecurity numbers), business addresses,and phone numbers of the individualswith substantial ownership interests in,or control over, those institutions.


Higher Education Act of 1965, TitleIV, as amended, (20 U.S.C. 1088, 1094,1099c); the Debt CollectionImprovement Act of 1996 (31 U.S.C.7701).

PURPOSE(S):

The information contained in thePEPS is used for the purposes ofdetermining initial and continuingeligibility, administrative capability andfinancial responsibility ofpostsecondary schools that participatein the student financial assistanceprograms, tracking school changes andmaintaining history of this informationregarding schools that have ever appliedto participate or participated in theseprograms and documenting any need forany protective or corrective actionagainst a school or individual associatedwith the school.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords without the consent of theindividual if the disclosure iscompatible with the purpose for whichthe record was collected and only asneeded to achieve a program objectiveunder the following routine uses:

(1) Program Purposes. TheDepartment may disclose informationcontained in the PEPS to appropriateguaranty agencies, educational andfinancial institutions, accreditingagencies, State agencies, andappropriate Federal, State, or localagencies, in order to verify and assistwith the determination of eligibility,administrative capability, and financialresponsibility of postsecondaryinstitutions that have applied toparticipate in the student financialassistance programs.

(2) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords in the PEPS, as a routine use, tothe appropriate agency, whether foreign,Federal, State, Tribal, or local, chargedwith the responsibility of investigating

or prosecuting such violation or chargedwith enforcing or implementing thestatute, or executive order or rule,regulation, or order issued pursuantthereto.

(3) Litigation and Alternative DisputeResolution (ADR) Disclosure.

(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or alternative disputeresolution (ADR), or has an interest inlitigation or ADR, the Department maydisclose PEPS records to the partiesdescribed in paragraphs (b), (c) and (d)of this routine use under the conditionsspecified in those paragraphs:



(iii) Any employee of the Departmentin his or her individual capacity wherethe Department of Justice has agreed toprovide or arrange for representation forthe employee; or

(iv) Any employee of the Departmentin his or her individual capacity wherethe agency has agreed to represent theemployee; or

(v) The United States, where theDepartment determines that thelitigation is likely to affect theDepartment or any of its components.

(b) Disclosure to the Department ofJustice. If the Department determinesthat disclosure of certain records to theDepartment of Justice is relevant andnecessary to litigation, the Departmentmay disclose those records as a routineuse to the Department of Justice.

(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, or to an individualor entity designated by the Departmentor otherwise empowered to resolve ormediate disputes, is relevant andnecessary to the administrativelitigation, the Department may disclosethose records as a routine use to thatadjudicative body, entity or individual.

(d) Opposing counsels,representatives and witnesses. If theDepartment determines that disclosureof certain records to an opposingcounsel, representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the counsel,representative or witness.

(4) Employment, Benefit andContracting Disclosure.

(a) For decisions by the Department.The Department may disclose records toa Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinent

records, or to another public authorityor professional organization, ifnecessary to obtain information relevantto a Department decision concerning thehiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.

(b) For decisions by Other PublicAgencies and ProfessionalOrganizations. The Department maydisclose records to a Federal, State, localor foreign agency or other publicauthority or professional organization,in connection with the hiring orretention of an employee or otherpersonnel action, the issuance of asecurity clearance, the letting of acontract, or the issuance of a license,grant, or other benefit, to the extent thatthe record is relevant and necessary tothe receiving entity’s decision on thematter.

(5) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in PEPS toanother agency of the Federalgovernment if the record is relevant toa complaint, grievance, discipline orcompetence determination proceedingregarding a present or former employeeof the Department. The disclosure mayonly be made during the course of theproceeding.

(6) Labor Organization Disclosure.The Department may disclose records toa labor organization if a contractbetween the Department and a labororganization recognized under Title V ofthe United States Code, Chapter 71,provides that the Department willdisclose personal records relevant to theorganization’s mission. The disclosureswill be made only as authorized by law.


(8) Disclosure to the Department ofJustice. The Department may discloserecords to the DOJ to the extentnecessary for obtaining DOJ advice onany matter relevant to an audit,inspection, or other inquiry related tothe programs covered by this system.

(9) Contract Disclosure. If theDepartment contracts with an entity forthe purpose of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, the



Department shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.





Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (a) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (b)the amount, status, and history of theclaim; and (c) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE:

The records are maintained onelectronic data files on a server.

RETRIEVABILITY:The records are indexed by the name

of the institution or organization, andmay be retrieved by the OPEID ofschool, EIN (Entity IdentificationNumber) of the school or entity; or thename or TIN (Tax Identification Numberor social security number) of theindividual.


of Education site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge. Thecomputer system employed by theDepartment of Education offers a highdegree of resistance to tampering andcircumvention. This security systemlimits data access to staff of theDepartment of Education, guarantors,.accrediting agencies, State agencies, andDepartment contractors on a ‘‘need-to-know’’ basis, and controls individualusers’ ability to access and alter recordswithin the system. All users of thissystem of records are given a uniqueuser ID with personal identifiers. Allinteractions by individual users withthe system are recorded.

RETENTION AND DISPOSAL:History records are kept in PEPS

indefinitely, or archived. Records aremaintained and destroyed in accordancewith the Department of EducationRecords Disposition Schedules (ED/RDS).

SYSTEM MANAGER(S) AND ADDRESS:Director, Postsecondary Education

Participants System, Office of StudentFinancial Assistance Programs, U.S.Department of Education, Seventh andD Streets, SW., Room 4629, ROB–3,Washington, DC 20202.


record exists regarding you in the PEPS,provide the system manager with yourname and social security number. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity. You mayaddress your request, or present thatrequest in person, to the systemmanager at the address above.

RECORD ACCESS PROCEDURES:You may gain access to any record in

the PEPS that pertain to you bycontacting the system manager andfollowing the procedures for notificationlisted above and must meet therequirements of 34 CFR 5b.5.


You may contest the content of arecord in PEPS pertaining to you bypresenting to the system manager, eitherin writing or in person, a request toamend or correct that information. Therequest to amend, or for an appointmentto present an oral request, must be madein writing mailed to the system managerat the address provided above. Therequest must identify the particularrecord within the PEPS that you wish tohave changed, state whether you wish tohave the record amended, corrected ordeleted, and explain the reasons whyyou wish to have the record changed.


Information is obtained fromapplications submitted by institutionsand entities that seek to participate inthe student financial assistanceprograms and from components of theDepartment, from other Federal, Stateand non-governmental agencies andorganizations that acquire informationrelevant to the purposes of the PEPS.


None.

18–12–01

SYSTEM NAME:

Title VI Foreign Language and AreaStudies Fellowships (FLAS).


None.

SYSTEM LOCATION:

International Education and GraduatePrograms Service, Office ofPostsecondary Education, U.S.Department of Education, 1250Maryland Avenue, SW, Room 600,Portals Building, Washington, DC20202–5331.

AppNet, 103 W. Broad Street, FifthFloor, Falls Church, VA 22046.


Graduate Students, who have beennominated for FLAS fellowships bygrantee institutions of higher education.


The Title VI FLAS Records Systemconsists of a variety of records relatingto an individual’s applications for, andparticipation in, the FLAS program. Inaddition to the individual’s name, thesystem contains the participant’sgrantee institution, degree status, awardperiod, amount of the award, languageof the award, title of language coursetaken, major discipline, career goal,foreign language proficiency self-



evaluation, and a brief description andevaluation of the study program.


The Higher Education Act of 1965, asamended, Part A, Title VI, Section602(b).

PURPOSE(S):

The information contained in thissystem is used to determine theeligibility of nominees for FLASfellowships; to monitor compliance andaccomplishments; and to use the data todemonstrate program effectiveness.



Department of Education personnel,field readers, and grantee institutionsuse the information to determine theeligibility of nominees and to monitorthe progress of foreign language andarea studies training. Department ofEducation personnel and AppNet usesome of the data to demonstrateprogram effectiveness. Disclosure maybe made to the following entities aswell:


(2) Enforcement Disclosure. In theevent that information in this system ofrecords indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords to the appropriate agency,whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating or prosecuting thatviolation or charged with enforcing or

implementing the statute, executiveorder, rule, regulation, or order issuedpursuant thereto.












(a) For Decisions by the Department.The Department may disclose a recordto a Federal, State, or local agencymaintaining civil, criminal, or otherrelevant enforcement or other pertinentrecords, or to another public authorityor professional organization, ifnecessary to obtain information relevantto a Department decision concerning the

hiring or retention of an employee orother personnel action, the issuance ofa security clearance, the letting of acontract, or the issuance of a license,grant, or other benefit.






(9) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractor



to maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.





Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE:The records are maintained in

hardcopy, filed in standard filingcabinets and in an electronic datawarehouse maintained by AppNet andaccessible by AppNet, individual

participants, participants’ institutionsand US Department of Educationpersonnel.

RETRIEVABILITY:Hardcopy files are retrieved by

individual names and educationalinstitution. Electronic files can beaccessed through all data elements.


of Education site, and the site ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by personnelwho check each individual entering thebuilding.

The computer system employed byAppNet offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department ofEducation and contract staff grantees ona ‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are givena unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Hardcopy records are maintained for

five years and then destroyed. Datastored in the electronic data warehouseare maintained until the need forlongitudinal studies to demonstrateprogram effectiveness is no longerrequired.

SYSTEM MANAGER(S) AND ADDRESS:Director, International Education and

Graduate Programs Service, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 600B, PortalsBuilding, Washington, DC 20202–5247.


If you wish to determine whether arecord exists regarding you in thesystem of records, provide the systemmanager with your name, the year of theaward, the name of the granteeinstitution, and language of the award.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


Contact the system manager.


Contact the system managers.

RECORD SOURCE CATEGORIES:Information is obtained from the

individual and grantee institutions on

approved forms in hardcopy orelectronic format.


None.

18–12–02

SYSTEM NAME:Fulbright-Hays—Doctoral Dissertation

Research Abroad (DDRA), FacultyResearch Abroad (FRA), SeminarsAbroad (SA), Fellows.


SYSTEM LOCATION:International Education and Graduate

Programs Service, Office ofPostsecondary Education, U.S.Department of Education, 1250Maryland Avenue, SW., Room 600,Portals Building, Washington, DC20202–5331.



This system contains records onteachers or prospective teachers whohave been selected to be recipients forFulbright-Hays awards to enable them toengage in foreign language and areastudies projects overseas.

CATEGORIES OF RECORDS IN THE SYSTEM:The Fulbright-Hays Records System

consists of a variety of records relatingto an individual’s applications for, andparticipation in, the Fulbright-HaysDDRA, FRA or SA programs. In additionto the individual’s name, the systemcontains the participant’s address,telephone number, educationalinstitution, date and place of birth,citizenship, social security number,veteran’s status, names of accompanyingdependents, previous overseas travel,educational and employmentbackground, student loan default status,a health statement, transcripts,references, project description andproject cost based on either the cost-of-living in the host country or theannualized salary of a faculty member,field reader and US Embassy comments,award documents, and final projectreports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The Mutual Educational and Cultural

Exchange Act of 1961, as amended (22U.S.C. 2451–2458).


system is used for the followingpurposes: (1) To determine the



applicants’ qualifications, eligibility,suitability and feasibility; (2) to awardbenefits for overseas research; (3) tomonitor the progress of the projectincluding its accomplishments; and (4)to demonstrate the program’seffectiveness.



(1) Program Disclosure. TheDepartment may disclose information tofield readers, the U.S. Department ofState, U.S. Embassies, binationalcommissions, the J. William FulbrightForeign Scholarship Board, foreigneducators and officials so that theinformation can be used to determinethe qualifications, eligibility, suitability,feasibility, and award benefits foroverseas research.




(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest in

litigation ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) and (d)of this routine use under the conditionsspecified in those paragraphs:











(b) For Decisions by Other PublicAgencies and ProfessionalOrganizations. The Department may

disclose a record to a Federal, State,local, or foreign agency or other publicauthority or professional organization,in connection with the hiring orretention of an employee or otherpersonnel action, the issuance of asecurity clearance, the reporting of aninvestigation of an employee, the lettingof a contract, or the issuance of alicense, grant, or other benefit, to theextent that the record is relevant andnecessary to the receiving entity’sdecision on the matter.






(11) Research Disclosure. TheDepartment may disclose records to aresearcher if an appropriate official ofthe Department determines that theindividual or organization to which the



disclosure would be made is qualified tocarry out specific research related tofunctions or purposes of this system ofrecords. The official may discloserecords from this system of records tothat researcher solely for the purpose ofcarrying out that research related to thefunctions or purposes of this system ofrecords. The researcher shall berequired to maintain Privacy Actsafeguards with respect to the disclosedrecords.

(12) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the writtenrequest of that individual. TheMember’s right to the information is nogreater than the right of the individualwho requested it.





STORAGE:The records are maintained in

hardcopy, filed in standard filingcabinets and in an electronic datawarehouse maintained by AppNet andaccessible by AppNet, individualparticipants, participants’ institutionsand U.S. Department of Educationpersonnel.


individual names and educationalinstitution. Electronic files can beaccessed through all data elements.

SAFEGUARDS:

All physical access to the Departmentof Education site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by personnelwho check each individual entering thebuilding.

The computer system employed byAppNet offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department ofEducation and contract staff grantees ona ‘‘need-to-know’’ basis, and controlsindividual users’ ability to access andalter records within the system. Allusers of this system of records are givena unique user ID with personalidentifiers. All interactions byindividual users with the system arerecorded.


Hardcopy records are maintained forfive years and then destroyed. Datastored in the electronic data warehouseare maintained until the need forlongitudinal studies to demonstrateprogram effectiveness is no longerrequired.


Director, International Education andGraduate Programs Service, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 600B, PortalsBuilding, Washington, DC 20202–5247.


If you wish to determine whether arecord exists regarding you in thesystem of records, provide the systemmanager with your name, date of birth,social security number, the year of theaward, the name of the granteeinstitution, major country in which youconducted your educational activity.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


If you wish to gain access to recordsregarding you in this system of records,contact the system manager at theaddress listed above and follow thesteps outlined in the NotificationProcedures. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


If you wish to contest the content ofa record in this system of records,contact the system manager at theaddress listed above. Your request mustmeet the requirements of the regulations

at 34 CFR 5b.7, including proof ofidentity.


Information is obtained from theindividual on approved applicationforms and from field readers, and maybe secured from the U.S. Department ofState, U.S. Embassies, binationalcommissions, the J. William FulbrightForeign Scholarship Board, and foreigneducators and officials.


None.

18–12–04

SYSTEM NAME:

Jacob K. Javits Fellowship System.


None.

SYSTEM LOCATION:

International Education and GraduatePrograms Service, Office ofPostsecondary Education, U.S.Department of Education, 1250Maryland Avenue, SW., Room 600,Portals Building, Washington, DC20202–5247.


This system contains records onindividuals who apply for fellowshipsunder the Jacob K. Javits FellowshipProgram.


The Jacob K. Javits Fellowship Systemconsists of a variety of records relatingto a student’s application for, andparticipation in, the Javits FellowshipProgram. In addition to the student’sname, the system contains the student’ssocial security number, or nine digitidentification number, address,scholastic accomplishments, ratingscores, and reference letters.


Title VII, Part A, Subpart 1 of theHigher Education Act of 1965, asamended (20 U.S.C. 1134–1134d). Theprogram regulations are found in 34CFR part 650.

PURPOSE(S):

The information contained in thissystem is used to determine thequalifications, eligibility, and suitabilityin the selection of fellows; to maintainthe progress of fellows; to ensurecompliance with program requirements;and to use the data to demonstrateprogram effectiveness.




The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis, or if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.
















(5) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant to

one of the following proceedingsregarding a present or former employeeof the Department: complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.






(11) Congressional MemberDisclosure. The Department maydisclose records to a member ofCongress from the record of anindividual in response to an inquiryfrom the member made at the written



request of that individual. TheMember’s right to the information is nogreater than the right of the individualwho requested it.






copy, filed in standard filing cabinets;on access-controlled personalcomputers; and on removable personalcomputer diskettes that are stored infiling cabinets.


individual names and educationalinstitutions. Electronic files are accessedusing an individual’s Social Securitynumber, or other nine digitidentification number.

SAFEGUARDS:All physical access to the

Department’s site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by securitypersonnel who check each individualentering the building for his or heremployee or visitor badge.

The computer system employed bythe Department offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department andcontract staff on a ‘‘need-to-know’’basis, and controls individual users’

ability to access and alter records withinthe system. All users of this system ofrecords are given a unique user ID withpersonal identifiers. All interactions byindividual users with the system arerecorded.

RETENTION AND DISPOSAL:Hardcopy records are maintained for

five years and then destroyed. Datastored electronically is maintained untilthe need for longitudinal data todemonstrate program effectiveness is nolonger needed.

SYSTEM MANAGERS AND ADDRESS:Director, International Education and

Graduate Programs Service, Office ofPostsecondary Education, U.S.Department of Education, 400 MarylandAvenue, SW., Room 600, PortalsBuilding, Washington, DC 20202–5247.


record exists regarding you in thesystem of records, provide the systemmanager with your name, date of birthand Social Security number. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.

RECORD ACCESS PROCEDURE:If you wish to gain access to a record

regarding you in the system of records,provide the system manager with yourname, date of birth, and Social Securitynumber. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURE:If you wish to contest the content of

a record, contact the system manager.Your request must meet therequirements of the regulations at 34CFR 5b.7.


Information is obtained principallyfrom individual applicants, references,and schools attended by the applicant.


None.

18-12-04

SYSTEM NAME:

Title VI International Research andStudies Program (IRS).


None.

SYSTEM LOCATION(S):

International Education and GraduatePrograms Service, Office ofPostsecondary Education, U.S.

Department of Education, 1250Maryland Avenue, SW., Suite 600,Portals Building, Washington, DC20202–5331.



This system contains records onindividual researchers who have beenselected to be recipients of InternationalResearch and Studies (IRS) awards.

CATEGORIES OF RECORDS IN THE SYSTEM:The Title VI IRS Records System

consists of a variety of records relatingto an individual’s applications for, andparticipation in, the IRS program. Inaddition to the individual’s name, thesystem contains the participant’saddress, telephone number, educationalinstitution, citizenship, social securitynumber, institutional or individualDUNS number, educational andemployment background, salary,research or instructional materialsproject description, project costs, fieldreader comments, award documents,and final project reports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The Higher Education Act of 1965, as

amended, Part A, Title VI, section605(a).


system is used for the followingpurposes: (1) To determine thequalifications and eligibility of theproject director, competitiveness of andneed for the project, and award benefits;(2) to monitor the progress of the projectincluding its accomplishments; and (3)to demonstrate the program’seffectiveness.



(1) Field Reader Disclosures. TheDepartment may disclose information tofield readers in order to determine thequalifications and eligibility of theproject director, competitiveness of andneed for the project, and award benefits.













(c) Administrative Disclosures. If theDepartment determines that disclosureof certain records to an adjudicativebody before which the Department isauthorized to appear, an individual orentity designated by the Department orotherwise empowered to resolve ormediate disputes is relevant and

necessary to the administrativelitigation, the Department may disclosethose records as a routine use to theadjudicative body, individual, or entity.














Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by theDepartment which is determined to be



valid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE:

The records are maintained inhardcopy, filed in standard filingcabinets and in an electronic datawarehouse maintained by AppNet andaccessible by AppNet, individualparticipants, participants’ institutionsand Department personnel.

RETRIEVABILITY:

Hard copy files are retrieved byindividual names and educationalinstitution. Electronic files can beaccessed through all data elements.

SAFEGUARDS:

All physical access to theDepartment’s site, and the sites ofDepartment contractors where thissystem of records is maintained, iscontrolled and monitored by personnelwho check each individual entering thebuilding.

The computer system employed byAppNet offers a high degree ofresistance to tampering andcircumvention. This security systemlimits data access to Department andcontract staff grantees on a ‘‘need-to-know’’ basis, and controls individualusers’ ability to access and alter recordswithin the system. All users of thissystem of records are given a uniqueuser ID with personal identifiers. Allinteractions by individual users withthe system are recorded.


Hard copy records are maintained forfive years and then destroyed. Datastored in the electronic data warehouseare maintained until the need forlongitudinal to demonstrate programeffectiveness is no longer required.


Director, International Education andGraduate Programs Service, Office ofPostsecondary Education, USDepartment of Education, 400 Maryland

Avenue, SW., Washington, DC 20202-5247.


record exists regarding you in thesystem of records, provide the systemmanager with your name, date of birth,social security number, the year of theaward, the name of the granteeinstitution, major country in which youconducted your educational activity.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


regarding you in this system of records,contact the system manager at theaddress listed above and follow thesteps outlined in the NotificationProcedure. Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


a record in this system of records,contact the system manager at theaddress listed above. Your request mustmeet the requirements of the regulationsat 34 CFR 5b.7, including proof ofidentity.


individuals and institutions onapproved application forms and fromfield readers.


None.

18–13–01

SYSTEM NAME:National Center for Education

Statistics Longitudinal Studies and theSchool and Staffing Surveys.


SYSTEM LOCATION:National Center for Education

Statistics, Office of EducationalResearch and Improvement, U.S.Department of Education, 555 NewJersey Avenue, NW., Room 400,Washington, DC 20202–5574. See theAppendix at the end of this systemnotice for additional system locations.


This system contains information onthe following groups:

(1) High school seniors whoparticipated in the National

Longitudinal Study of the High SchoolClass of 1972;

(2) Approximately 26,820 high schoolseniors and sophomores from 1,015 U.S.high schools who participated in theHigh School and Beyond Survey in1980;

(3) Approximately 26,000 eighthgrade students in 1,050 U.S. schoolswho participated in the NationalEducation Longitudinal Study of 1988;

(4) Approximately 60,000 studentsenrolled in U.S. postsecondaryinstitutions who participate in eachcycle of the National PostsecondaryStudent Aid Study, the Baccalaureateand Beyond Study, or the BeginningPostsecondary Students LongitudinalStudy;

(5) Approximately 21,000kindergartners, their parents, and 6,000teachers who are participating in theEarly Childhood Longitudinal Study,Kindergarten Cohort in 1998;

(6) 14,000 children and their familiesas well as 4,500 childcare providers thatwill participate in the Early ChildhoodLongitudinal Study, Birth Cohort 2000;

(7) Approximately 78,000 teachers,administrators, and librarians whoparticipate in each administration of theSchool and Staffing Surveys of NCES;

(8) Approximately 11,000 faculty andadministrators who participated in the1987–88 National Study ofPostsecondary Faculty;

(9) Approximately 30,000 faculty,instructional staff, and administratorswho participate in subsequentadministrations of the National Study ofPostsecondary Faculty;

(10) Approximately 33,000 U.S.students who participated in the ThirdInternational Mathematics and ScienceStudy and the 15,000 U.S. students whowill participate in the subsequentadministration of the ThirdInternational Mathematics and ScienceStudy;

(11) Approximately 5,000 U.S.students who will participate in aninternational Civics Education Study;

(12) 9,000 U.S. students who willparticipate in the Program ofInternational Student Assessment;

(13) 8,000 U.S. adults who willparticipate in the International LifeSkills Survey.

CATEGORIES OF RECORDS IN THIS SYSTEM:This system consists of responses to

survey instruments which containbackground and demographic data,questions concerning educationalexperiences, employment experiences,finances, aspirations, plans and goals,family formation variables, andattitudes. Cognitive test scores, financialaid records, and high school and college



transcripts are appended to the recordsas well.

The records for schools and localeducation agencies contain informationon numbers and characteristics ofteaching staff, administrators, financialand demographic data, and data relatedto student performance.The recordsrelated to teachers and administratorscontain, in addition to the above,information on training and experience,salary history, and attitudes andopinions on educational and operationalquestions.


20 U.S.C. 1221e–1.

PURPOSE(S):

This system is used to describe thecritical influences, contexts, andtransitions of students in elementary,secondary, and postsecondary educationand into employment and adultexperience.



(1) Contract Disclosure. When theNational Center for Education Statisticsintends to contract with a private firmfor the purpose of collating, analyzing,aggregating, maintaining, appending, orotherwise refining records in thissystem, the Commissioner of EducationStatistics may release relevant records tothe contractor. The contractor will berequired to maintain safeguards underthe Privacy Act of 1974 and undersection 406(d)(4) of GEPA (20 U.S.C.1221e–1(d)(4)) with respect to suchrecords.

(2) Research Disclosure. Where theCommissioner of Education Statisticsdetermines that an individual ororganization is qualified to carry outspecific research, the Commissionermay disclose information from thesesystems of records to that researchersolely for the purpose of carrying outthat research. The researcher shall berequired to maintain under the PrivacyAct of 1974 and 20 U.S.C. 1221–e1(d)(4)safeguards with respect to such records.




STORAGE:The research files will be stored on

computer tapes and diskettes. Thelocation files will be kept on computertapes.

RETRIEVABILITY:The records are retrievable by title of

survey and name of person.

SAFEGUARDS:The research files and location files

are not directly mergeable in the formmaintained and stored. Theidentification codes on each file aredifferent. They can be related by use ofan encryption algorithm known to onlya few authorized staff. Copies of thecomputer tapes and discs containing thelocation files are stored with three levelsof password protection. Hence,immediate access to the location files ispossible only by authorized staff. Whenin active use for editing, tabulation andanalysis, files of information andidentifiers will not be kept togetherunless necessary for processing the data.The files will be accessed only throughapproved identification of the user andthe use of passwords. Passwords will bechanged at the conclusion of eachperiod of use and returned to storage.Tapes, discs and questionnaires will bekept in locked files in locked rooms.

RETENTION AND DISPOSAL:The records will be kept for five years

after the final survey administration,including the base year survey and anyfollowing surveys and then transferredto the Federal Records Center, where,after 15 years, they will be destroyed.

SYSTEM MANAGER(S) AND ADDRESS:Commissioner, National Center for

Education Statistics, Office ofEducational Research and Improvement,U.S. Department of Education, 555 NewJersey Avenue, NW., Room 400,Washington, DC 20208–5574.


record exists regarding you in thesystem of records, contact the systemmanager at the address listed above.Your request must meet therequirements in the regulations at 34CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURE:If you wish to gain access to a record

regarding you, contact system manager.

Your requests must meet therequirements in the regulations at 34CFR 5b.5, including proof of identity.

CONTESTING RECORDS PROCEDURE:If you wish to contest the content of

a record regarding you, contact thesystem manager. Your request mustmeet the requirements in the regulationsat 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information in the records comes form

responses to survey instruments.


None.



U.S. Bureau of the Census, Federal OfficeBuilding 3, Washington, DC 20233.

WESTAT, 1650 Research Boulevard,Rockville, Maryland 20850.

Research Triangle Institute, P.O. Box 12194,Research Triangle Park, North Carolina27709.

National Opinion Research Center, 1155 E.60th Street, Chicago, Illinois 60637–2799.

Educational Testing Service, 1825 Eye Street,NW, Suite 475, Washington, DC 20006.

The Gallup Organization, One Church Street,Suite 900, Rockville, MD 20850.

MPR Associates, 1995 University Avenue,Suite 225, Berkeley, California 94704.

Abt Associates, 55 Wheeler Street,Cambridge, Massachusetts 02138.

Pelavin Research Institute, 1,000 ThomasJefferson Street, Suite 400, Washington,DC 20007.

Institute for Social Research, SurveyResearch Associates, University ofMichigan, 426 Thompson, Ann Arbor,MI 48106.

School of Education, University of Michigan,610 E. University, Ann Arbor, MI 48109.

18–13–02

SYSTEM NAME:National Center for Education

Statistics Affidavits of Nondisclosure.


None.

SYSTEM LOCATION:See the Appendix to this system

notice.


This system contains information onemployees of the National Center forEducation Statistics (NCES) or otherpersons who assist NCES in theperformance of its work, who haveaccess to any record, response form,completed survey or aggregation thereoffrom which information aboutindividual students, teachers,



administrators, or other individualpersons may be revealed, and who havesigned a pledge not to disclose suchinformation. Other persons who mayassist NCES include employees ofcompanies, profit or nonprofitorganizations, State agencies, localagencies or instrumentalities having acontract, task order, interagencyagreement, or some other formalagreement with NCES and who haveaccess to individually identifiableinformation.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains the following

information:(1) The affidavit of nondisclosure that

includes the individual’s name, place ofwork (company, agency, etc.), signature,and date signed; and

(2) the name of the project or surveyin which the entity employing theindividual was involved.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Section 406(d)(4) of the General

Education Provisions Act, as amendedby Title III, Part A, Section 3001, ofPublic Law 100–297, April 28, 1988 (20U.S.C. 1221e–1(d)(4)).

PURPOSE(S):This system of records is used for the

following purposes: (1) To maintaininformation necessary for internalcontrol and monitoring of those havingaccess to individually identifiableinformation; (2) to provide evidence indisciplinary actions or prosecution ofindividuals who disclose individuallyidentifiable information protected fromdisclosure under Section 406(d)(4) ofthe General Education Provisions Act,as amended; and (3) to ensure thatindividuals utilized by theCommissioner of NCES protect theindividually identifiable data of NCES.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING THE CATEGORIES OF USERSAND THE PURPOSES OF THOSE USERS:


(1) Contractor Disclosure. A recordmay be disclosed from this system ofrecords to employees of entities havinga contract or other agreement with the

Commissioner to assist in the collectionof data on behalf of NCES to ensure thatthese entities maintain an accurate fileof individuals who have access toindividually identifiable information inperformance of their duties under thecontract or other agreement.






(iii) Any Department in his or herindividual capacity if the Department ofJustice (DOJ) has agreed to provide orarrange for representation for theemployee; or



(4) Disclosure to the DOJ. If theDepartment determines that disclosureof certain records to the DOJ is relevantand necessary to litigation and ADR, theDepartment may disclose those recordsas a routine use to the DOJ.


(6) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the party, counsel,representative or witness.

(7) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant toone of the following proceedingsregarding a present or former employeeof the Department: Complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.


(9) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclosethe records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguardsunder 5 U.S.C. 552a(m) with respect tosuch records.




STORAGE:

Information will be kept in file foldersand on computer diskettes or computertapes.

RETRIEVABILITY:

The records will be retrievable byname, date, and place of work of theindividual.

SAFEGUARDS:

The records will be kept in lockedfiles. The computer tapes and disketteswill be accessible by authorizedpersonnel through identificationnumber and password.



RETENTION AND DISPOSAL:Each affidavit will be kept for 5 years

after the individual access to NCESconfidential data has ceased and thenwill be transferred to the FederalRecords Center, where it can remain upto 15 years before it is destroyed.

SYSTEM MANAGER(S) AND ADDRESS:Chief Statistician & Individual Survey

Project Officers, National Center forEducation Statistics, U.S. Department ofEducation, 555 New Jersey Avenue,NW., Washington, DC 20208-5574.


record exists regarding you in thissystem of records, contact the systemmanager at the address listed above andprovide your name, place of work (i.e.company, agency, etc.), and the dates ofemployment. Your request must meetthe requirements in the regulations at 34CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURESS:If you wish to gain access to records

regarding you in this system of records,contact the system manager and provideyour name, place of work (i.e. company,agency, etc.), and the dates ofemployment. Your request must meetthe requirements in the regulations at 34CFR 5b.5, including proof of identity.


a record regarding you, contact thesystem manager. Your request to amenda record must meet the requirements of43 CFR 5b.7.

RECORD SOURCE CATEGORIES:Information in the records comes from

individuals who have signed theaffidavits of nondisclosure.


None.



National Center for Education Statistics, U.S.Department of Education, 555 NewJersey Avenue, NW., Washington, DC20202–5574.

U.S. Bureau of the Census, Federal OfficeBuilding 3, Washington, DC 20233.

WESTAT, 1650 Research Boulevard,Rockville, Maryland 20850.

Research Triangle Institute, P.O. Box 12194,Research Triangle Park, North Carolina27709.

National Opinion Research Center, 1155 E.60th Street, Chicago, Illinois 60637–2799.

Educational Testing Service, 1825 Eye Street,NW, Suite 475, Washington, DC 20006.

The Gallup Organization, One Church Street,Suite 900, Rockville, MD 20850.

MPR Associates, 1995 University Avenue,Suite 225, Berkeley, CA 94704.

Abt Associates, 55 Wheeler Street,Cambridge, MA 02138.

Pelavin Research Institute, 1,000 ThomasJefferson Street, Suite 400, Washington,DC 20007.

Institute for Social Research, SurveyResearch Associates, University ofMichigan, 426 Thompson, Ann Arbor,MI 48106.

School of Education, University of Michigan,610 E. University, Ann Arbor, MI 48109.

18–13–03

SYSTEM NAME:

National Center for EducationStatistics’ National Assessment ofEducational Progress.


None.

SYSTEM LOCATION:

WESTAT, 1650 Research Boulevard,Rockville, MD 20850.

Educational Testing Service, RosedaleRoad, Princeton, NJ 08541.

National Computer Systems, 2510 N.Dodge Street, Iowa City, IA 52245.


This system contains information onthe following individuals: (1)Individuals who leave school early asearly graduates or as drop-outs (definedas 17-year-olds who are no longer inschool) and are covered during a sixmonth data verification period; (2)young adults in the study who arecovered during a six month dataverification period; and (3) individualschools which are covered under theNational Assessment of EducationalProgress (NAEP) statute (20 U.S.C. 9010(c)(2)(A)).


Records contain responses toassessment and survey instruments. Thecontents of these instruments are of twotypes: (1) Cognitive test items to assessthe educational achievement of studentsand young adults in various subjectareas taught in school; and (2) questionsabout student demographic andbackground variables as well as thecharacteristics of teachers and schools.


20 U.S.C. 9010.

PURPOSE(S):

The purpose of the NationalAssessment of Educational Progress(NAEP), funded by the Department ofEducation, is to provide information onthe educational achievement of youngAmericans over time.



During a six-month verificationperiod, individually identifiableinformation about individuals wholeave school early or are young adults issubject to the Privacy Act, and may bedisclosed under routine uses that areconsistent with the Commissioner’sauthority under section 406(d)(4) ofGEPA (20 U.S.C. 1221e-1(d)(4)). Theroutine uses that apply to this periodpermit disclosures to individuals who:

(1) Take the oath and sign an affidavitof nondisclosure required under 20U.S.C. 9007;

(2) Work for a contractor, grantee, orparty to a cooperative agreement orother entity that has an agreement withthe Commissioner to conduct researchfor National Center for EducationStatistics (NCES), or

(3) Work under a research contract,grant, or cooperative agreement with aFederal, State, or local agency thatrequires the use of individuallyidentifiable information, and theresearch is compatible with the purposefor which NCES collected the data, or

(4) Work under an agreement inwriting to:

(i) Use the information for statisticalpurposes only,

(ii) Maintain the data in accordancewith applicable Federal laws,

(iii) Prohibit redisclosure inidentifiable form, and

(iv) Permit NCES’ periodic inspectionto determine adherence to the contractor agreement.

Regarding the records of individualschools, which, under 20 U.S.C.9010(c)(2)(A), must be treated asindividuals subject to the Privacy Act,NCES may make routine usedisclosures, consistent with thestatistical purposes for which a recordwas supplied, as follows:

(1) Contract Disclosure. If theDepartment contracts with an entity forthe purposes of performing any functionthat requires disclosure of records inthis system to employees of thecontractor, the Department may disclose



the records to those employees. Beforeentering into such a contract, theDepartment shall require the contractorto maintain Privacy Act safeguards asrequired under 5 U.S.C. 552a(m) withrespect to the records in the system.





(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation ADR, ED may disclose certainrecords to the parties described inparagraphs (b), (c) and (d) of this routineuse under the conditions specified inthose paragraphs:








(d) Parties, counsels, representativesand witnesses. If ED determines thatdisclosure of certain records to a party,counsel, representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those recordsas a routine use to the party, counsel,representative or witness.

POLICIES AND PRACTICES FOR RETRIEVING,ACCESSING, RETAINING AND DISPOSING OFRECORDS IN THE SYSTEM:

STORAGE:

The records are maintained onmagnetic tape and computer disk media.

RETRIEVABILITY:

Records are retrievable by assessmentyear, subject area, age or grade at theschool or individual respondent level.

SAFEGUARDS:

Access to the restricted-use data filesand completed test booklets and formsis severely limited to key contractor andNCES staff. User access to the restricted-use data files has three levels of dataaccess protection. Access to the files isrestricted to authorized NAEP staff whohave a valid need for immediate accessto NAEP data. This access is controlledand monitored by the use of secure ‘‘log-on’’ identification and passwordprotection schemes. Access toindividual restricted-use data files iscontrolled by an access control facilitythat restricts users to only those filesthat are necessary and approved fortheir perusal. In addition, the restricted-use data files are backed-up to an off-site secure location that will protectNAEP data in the event of a computercenter disaster. This off-site storage is ina secure vault that is physicallyprotected from unauthorized entry. Theopen-ended responses are stored in asecure warehouse with access limited toNAEP project staff.


The NAEP restricted-use data files arestored in a secure computer facility. Thesecurity mechanism includes physicalsecurity, data security, and disasterrecovery capability. The computerfacility is housed within a fire-resistantmasonry and steel door structure.Physical access to the facility iselectronically controlled throughmagnetically imprinted identificationbadges and is limited to authorized staffwho have functional responsibilitieswithin the secured areas. Open-endedresponses are kept indefinitely.However, data that could be used toidentify individuals are destroyed sixmonths after collection.


Associate Commissioner, EducationalAssessment Division, National Centerfor Education Statistics, Office ofEducational Research and Improvement,U.S. Department of Education, 555 NewJersey Avenue, NW., Room 308C,Washington, DC 20208–5653.

NOTIFICATION PROCEDURES:

If you wish to determine whether arecord regarding you exists in thissystem of records, you should contactthe system manager at the address listedabove and provide your name, date ofbirth and social security number. Yourrequests must meet the requirements ofthe regulations at 34 CFR 5b.5,including proof of identity.


If you wish to gain access to a recordin this system of records, you shouldcontact the system manager and providethe information described in theNotification Procedures. Your requestmust meet the requirements of theregulations at 34 CFR 5b.5, includingproof of identity.


If you wish to contest informationcontained in this system of records, youshould contact the system manager. Youshould specify the particular record youare seeking to amend, whether adeletion, an addition, or a substitutionis being sought and the reason(s) for therequested change(s). Your requestshould meet the requirements of theregulations at 34 CFR 5b.7.


The information in this system comesfrom the data collected from the subjectindividuals and individual schools.


None.



18–13–04

SYSTEM NAME:Outcomes of Diversity in Higher

Education Surveys.


SYSTEM LOCATION:National Institute on Postsecondary

Education, Libraries, and LifelongLearning, U.S. Department of Education,555 New Jersey Avenue, NW., Room627, Washington, DC 20208–5531. Seethe Appendix at the end of this systemnotice for additional system locations.


This system contains data on thefollowing individuals: (1)Approximately 5500 students who werefirst-time freshmen in Fall 1998 at 9four-year institutions of highereducation; (2) approximately 300 facultywho teach freshmen at thoseinstitutions; and (3) approximately 45administrators of those institutions.There will be follow-up data for springof 1999 and spring of 2000 on the initialset of freshmen respondents.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of responses to

survey instruments and interviewprotocols. In addition to backgroundand demographic data, the surveyinstruments include sets of itemsconcerning perception of institutionalcommitment to diversity, attitudes,campus climate, knowledge of multiplecultures and pedagogy. The opinions ofstudents, faculty and administratorsconcerning diversity andmulticulturalism are also represented.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:20 U.S.C. 6031 (h) (Supp. 1998).

PURPOSE(S):The information contained in the

system is used for the followingpurposes: (1) To increase understandingof the effects of diversity in highereducation on all students by examiningincoming attitudes of first-timefreshmen and changes in attitudes andcognitive development concerningissues of diversity and multiculturalism;and (2) to assess pedagogy and studentparticipation, attainment, development,attitudes and knowledge.


The Department may discloseinformation contained in a record inthis system of records without theconsent of the individual if the

disclosure is compatible with thepurpose for which the record wascollected and only as needed to performone or more of the following routineuses:

(1) Contract Disclosure. When OERIintends to contract with a private firmfor the purpose of collating, analyzing,aggregating, maintaining, appending, orotherwise refining records in thissystem, the Director may releaserelevant records to the contractor. Thecontractor will be required to maintainsafeguards under the Privacy Act of1974 and under section 406(d)(4) ofGEPA (20U.S.C. 1221e–1(d)(4)) withrespect to such records.

(2) Research Disclosure. Where theDirector determines that an individualor organization is qualified to carry outspecific research, the Director maydisclose information from these systemsof records to that researcher solely forthe purpose of carrying out thatresearch. The researcher shall berequired to maintain Privacy Act of1974 and 20 U.S.C. 1221e–1(d)(4)safeguards with respect to such records.


STORAGE:The research and location files will be

stored on separate computer diskettes.

RETRIEVABILITY:Aggregate files may be retrieved by

title of survey. The location files will bedestroyed upon completion of thisproject as there will be no future needto retrieve an individual record. Onlythe completed interview protocols willbe retained in hard copy by title ofindividual interviewed at each of thenine institutions.

SAFEGUARDS:The research files and location files

cannot be merged in the formmaintained and stored since theidentification codes on each file aredifferent. They can be related by use ofan encryption algorithm known only toa few staff authorized to work with thedata files. When in active use forediting, tabulation and analysis, files ofinformation and identifiers will not bekept together unless necessary for dataprocessing. Tapes, discs andquestionnaires will be kept in lockedfiles.

RETENTION AND DISPOSAL:The records will be kept for five years

after the final survey administration, inspring of 2000. In the spring of 2005, therecords will be transferred to theFederal Records Center, where, after 15years, they will be destroyed.


Director, National Institute onPostsecondary Education, Libraries andLifelong Learning, U.S. Department ofEducation, 555 New Jersey Avenue,NW., Room 627, Washington, DC20208–5531.


If you wish to determine whether arecord exists regarding you, contact thesystem manager at the address listedabove. Your requests must meet therequirements in the regulations at 34CFR 5b.5.


Same as Notification Procedure.


If you wish to contest the content ofa record, contact the system manager.Any requests to amend a record mustmeet the requirements of 34 CFR 5b.7.


Information in the records comes fromthe responses to survey instruments.


None.



Mathtech, Inc., 6402 Arlington Blvd., Suite1200, Falls Church, VA 22042–2356.

Mathtech, Inc., 202 Carnegie Center, Suite111, Princeton, NJ 08540–6239.

Mathtech, Inc., 180 Pembrooke Circle,Phoenixville, PA 19460.

18–14–01

SYSTEM NAME:

Educationally DisadvantagedStudents Attending Private SchoolsServed Through Bypass Contracts.


None.

SYSTEM LOCATION:

Contractor serving the State ofVirginia: Nonpublic EducationalServices, Inc., 14416 Jefferson DavisHighway, Suite 11, Woodbridge, VA22191.

Contractor serving the State ofMissouri: Blue Hills HomesCorporation, 1020 East 63rd Street,Kansas City, MO 64110.


This system contains records onselected elementary and secondaryschool students whom:

(1) Attend private schools;(2) Reside in target areas of bypassed

local educational agencies; and



(3) Participate in the program forstudents who are failing or most at riskof failing under Title I of the Elementaryand Secondary Education Act of 1965 asamended.

CATEGORIES OF RECORDS IN THE SYSTEM:This system contains student

documents such as test scores, reportcards, individual instructional recordsand reports from teachers to otherteachers and parents.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Elementary and Secondary Education

Act of 1965 1120(d), 20 U.S.C. 6321.


system is used for a variety of purposes.The standardized test scores obtained atthe beginning of a year are used todetermine the eligibility of students forparticipation in the Title I program. Thereport cards and reports of Title Iteachers to regular classroom teachersand to parents are used to report theprogress students are making during theschool year. The scores on theachievement tests given at the end of aschool year are used to measure theprogress students have made during theyear and the degree to which theobjectives of the Title I progress havebeen met. The purpose of the individualinstructional record is to provide a planfor meeting the students’ instructionalneeds.


The Department of Education(Department) may disclose informationcontained in a record on this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.

(1) Educational Disclosures. Title Iteachers make information contained inthis system of records available toregular classroom teachers and to theparents of those students to explain theeligibility of students and their progressin the Title I program. Supervisors ofthe Title I teachers also use theinformation contained in this system ofrecords as a part of the monitoringprocess to measure progress being madetoward achieving program objectives.

(2) Enforcement Disclosure. In theevent that information in this system of

records indicates, either on its face or inconnection with other information, aviolation or potential violation of anyapplicable statute, regulation, or orderof a competent authority, theDepartment may disclose the relevantrecords to the appropriate agency,whether foreign, Federal, State, Tribal,or local, charged with the responsibilityof investigating or prosecuting thatviolation or charged with enforcing orimplementing the statute, executiveorder, rule, regulation, or order issuedpursuant thereto.

















(8) Employee Grievance, Complaint orConduct Disclosure. The Departmentmay disclose a record in this system ofrecords to another agency of the FederalGovernment if the record is relevant toone of the following proceedings



regarding a present or former employeeof the Department: complaint,grievance, discipline or competencedetermination proceedings. Thedisclosure may only be made during thecourse of the proceeding.



DISCLOSURES TO CONSUMER REPORTINGAGENCIES:



STORAGE:

Each student’s records are kept in aseparate file folder. All folders are filedin a locked filing cabinet in the Title Iclassroom. After a student no longerparticipates in the program, his or herrecords are transferred to thecontractor’s office or storage facilitywhere they are stored in locked filingcabinets.

RETRIEVABILITY:The records are indexed by student

names, school attended and year ofattendance at that school.

SAFEGUARDS:

The records are secured in a lockedfiling cabinet. The key is kept by theTitle I teacher. After a student no longerparticipates in the program, the recordsare transferred to the contractor’s officeor storage facility where they are storedin a locked filing cabinet. Direct accessis restricted to the Title I teacher and

aide during the day-to-day programoperation. The instructional supervisor,representatives of the contractor, andDepartment of Education staff haveaccess during monitoring visits.

RETENTION AND DISPOSAL:Records are maintained in the

contractor’s office or storage facility forat least three years after final paymenton the contract. Disposal of records arein accordance with the Department ofEducation Records DispositionSchedules (ED/RDS).

SYSTEM MANAGER(S) AND ADDRESS:Director, Compensatory Education

Programs, U.S. Department ofEducation, 400 Maryland Avenue, SW.,Room 3W230, Washington, DC 20202.

NOTIFICATION PROCEDURE:If a student or his or her parent or

guardian wishes to determine whether arecord exists regarding them in thissystem of records, he or she must notifythe appropriate contractor for the Stateserved by the bypass contract. The nameand address of the appropriatecontractor is listed under the systemlocation of this notice. Foridentification, the authorized individualseeking information should provide thename, home address, and school of thestudent for whom information is beingrequested. The request must meet therequirements in the regulations at 34CFR 5b.5.

RECORD ACCESS PROCEDURES:In order to gain access to a record in

this system, you should contact thecontractor listed in the system locationor the system manager. You shouldprovide the contractor with theinformation listed in the NotificationProcedure of this notice and reasonablyspecify the record contents beingsought. The request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


the record of a participating Title Istudent, you should contact thecontractor for the State served by thebypass contract. You should identifyyourself and state, in writing, whichportion of the record you desire to bechanged and provide a justification andauthorization for the change. Thecontractor will forward the request tothe system manager. The request mustmeet the requirements of the regulationsat 34 CFR 5b.7.


from test scores on achievement tests for

program eligibility administered atprivate schools and class performanceinformation from the regular classteachers.


None.

18–14–02

SYSTEM NAME:Fellowships for Indian Students—

Applications and Awards.


SYSTEM LOCATION:Office of Indian Education, Office of

Elementary and Secondary Education,1250 Maryland Avenue, SW., Room4300, Portal Building, Washington, DC20202–6335.


American Indians who are citizens ofthe United States or residents of theUnited States for other than a temporarypurpose, who have been accepted byinstitutions of higher education in aprogram leading to an undergraduate orgraduate degree in the fields of BusinessAdministration, Engineering andNatural Resources or related fields, andgraduate degree in the fields ofeducation, law and medicine or relatedfields, and who have applied toDepartment’s Office of Indian Educationfor a fellowship.

CATEGORIES OF RECORDS IN THE SYSTEM:Name, address, phone number, date

and place of birth, tribal affiliation,tribal roll number, social securitynumber, sex, marital status, citizenship,names of dependents, educationalbackground, employment background,educational transcripts, references,income information, admission testscores.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Indian Education Act of 1972, as

amended, Pub. L. 92–318, Part B,section 423.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual if thedisclosure is compatible with thepurpose for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if the



Department has complied with thecomputer matching requirements of theAct, under a computer matchingagrement.

(1) Advisory Council Disclosure.Information may be released to membersof the National Advisory Council onIndian Education.

(2) Field Readers Disclosure. FieldReaders for the purpose of determiningeligibility and recommending awardees;selected data for developing brochuresdescribing the Fellows and their careergoals for public information purposes.



(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation or ADR, the Department maydisclose certain records to the partiesdescribed in paragraphs (b), (c) or (d) ofthis routine use under the conditionsspecified in those paragraphs:

(i) The Department of Education, anycomponent of the Department; or



(iv) Any Department employee in hisor her official capacity where the agencyhas agreed to represent the employee; or




copy, filed in locked standard filecabinets.

RETRIEVABILITY:Records are accessed by individual

names only by authorized Departmentstaff and Field Readers for the purposesof determining eligibility; selectingFellows: Establishing allowances forstipends, dependents, tuition, and otherexpenses; determining continuedeligibility; and developing profileinformation regarding recipients offellowships for program evaluation,

planning, reporting and publicitypurposes.

RETENTION AND DISPOSAL:Records on fellowship holders are

maintained and disposed of inaccordance with the Department ofEducation Records DispositionSchedules (ED/RDS).

SYSTEM MANAGER(S) AND ADDRESS:Director, Office of Indian Education,

Office of Elementary and SecondaryEducation, ATTN: Education ProgramSpecialist for Fellowships, U.S.Department of Education, 400 MarylandAvenue SW., Room 4300, Washington,DC 20202–6335.


record exists regarding you in thissystem of records, provide the systemmanager with your name, the year of theaward, the name of the granteeinstitution, and type of award. Yourrequest must meet the requirements ofthe 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 theNotification Procedure described above.Your request must meet therequirements of the regulations at 34CFR 5b.5, including proof of identity.


a record regarding you in this system ofrecords, contact the system manager atthe address listed above and reasonablyidentify the record and specify theinformation to be contested. Yourrequest must meet the requirements ofthe regulations at 34 CFR 5b.7.


individual applicant and fromreferences submitted by the applicanton approved forms.


None.

18–15–01

SYSTEM NAME:

Bilingual Education GraduateFellowship Program.


None.

SYSTEM LOCATION:U.S. Department of Education, Office

of Bilingual Education and MinorityLanguages Affairs, 330 C Street, SW.,

Room 5618, Washington, DC 20202–6642.


This system contains records aboutindividuals who apply for acceptance inthe program, and if approved, whoparticipate in the fellowship program.

CATEGORIES OF RECORDS IN THE SYSTEM:This system consists of a variety of

records relating to a student’sapplication for, and participation in, thefellowship program. In addition to thestudent’s name, the system contains thestudent’s address, telephone number,social security number, name of theinstitution attended, amount of award,obligation status, degree sought, field ofstudy, and the name and address of theemployer.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Title VII, Part A of the Bilingual

Education Act of 1994, as amended(Pub. L. 103–382) (20 U.S.C. 7475(1994)). The program regulations arefound in 34 CFR part 535.


system is used for the purposes ofadministering the Bilingual EducationGraduate Fellowship Program,including enforcing the terms andconditions of the contracts signed by thefellows, permitting the collections onloans, and locating delinquent ordefaulted debtors.


The Department of Education(Department) may disclose informationcontained in a record in this system ofrecords under the routine uses listed inthis system of records without theconsent of the individual, if thedisclosure is compatible with thepurposes for which the record wascollected. These disclosures may bemade on a case-by-case basis or, if theDepartment has complied with thecomputer matching requirements of theAct, under a computer matchingagreement.






(a) Introduction. In the event that oneof the parties listed below is involved inlitigation or ADR, or has an interest inlitigation ADR, ED may disclose certainrecords to the parties described inparagraphs (b), (c) and (d) of this routineuse under the conditions specified inthose paragraphs:








(d) Parties, counsels, representativesand witnesses. If the Departmentdetermines that disclosure of certainrecords to a party, counsel,representative or witness in anadministrative proceeding is relevantand necessary to the litigation, theDepartment may disclose those records

as a routine use to the party, counsel,representative or witness.








Disclosures pursuant to 5 U.S.C.552a(b)(12): The Department maydisclose to a consumer reporting agencyinformation regarding a claim by the

Department which is determined to bevalid and overdue as follows: (1) Thename, address, taxpayer identificationnumber and other information necessaryto establish the identity of theindividual responsible for the claim; (2)the amount, status, and history of theclaim; and (3) the program under whichthe claim arose. The Department maydisclose the information specified inthis paragraph under 5 U.S.C.552a(b)(12) and the procedurescontained in subsection 31 U.S.C.3711(e). A consumer reporting agency towhich these disclosures may be made isdefined at 31 U.S.C. 3701(a)(3).


STORAGE

The records are maintained in hardcopy and on an access-controlledpersonal computer.

RETRIEVABILITY:

The file is indexed by Social Securitynumber or name. Data for awards madeunder the Bilingual Education GraduateFellowship Program are retrieved bysocial security number or name.

SAFEGUARDS:

All physical access to theDepartment’s site where this system ofrecords is maintained is controlled andmonitored by security personnel whocheck each individual entering thebuilding for his or her employee orvisitor badge. The computer systememployed by the Department offers ahigh degree of resistance to tamperingand circumvention. This securitysystem limits data access to Departmentand contract staff on a ‘‘need-to-know’’basis, and controls individual users’ability to access and alter records withinthe system. All users of this system ofrecords are given a unique user ID withpersonal identifiers. All interactions byindividual users with the system arerecorded.


Records of individual awards aredestroyed five years after cancellation,forgiveness, final payment to grantee, oraudit, of the loan, whichever is sooner.Records relating to those individualswho are not approved to participate inthe fellowship program are transferredto the Federal Records Center anddestroyed three years after the date ofrejection or withdrawal.

SYSTEM MANAGER AND ADDRESS:

Education Program Specialist,Bilingual Education GraduateFellowship Program, Office of Bilingual



Education and Minority LanguagesAffairs, U.S. Department of Education,400 Maryland Avenue, SW., Room 5618,Switzer Building, Washington, DC20202–6642.


record exists regarding you in thissystem of records, provide the systemmanager with your name, date of birth,social security number, and the name ofthe school through which the award wasobtained. You may present your requestin person at the system manager’saddress indicated above. Your requestmust meet the requirements of theregulations at 34 CFR 5b.5, includingproof of identity.


regarding you in this system of records,

you should contact the system managerand provide the information asdescribed in the Notification Procedure.In order to avoid excessive delays andexchanges of correspondence, you areencouraged to request both notificationand access at the same time. Requestsfor access to a record should reasonablyspecify the particular record contentbeing sought. Your request must meetthe requirements of the regulations at 34CFR 5b.5, including proof of identity.


If you wish to contest informationcontained in a record in this system ofrecords, you should contact the systemmanager. Requests for amendment ofrecords may be made either in writingor in person, and should specify: (1) Thesystem of records from which the recordis to be retrieved; (2) the particular

record requested for amendment; (3)whether a deletion, an addition, or asubstitution is being sought; and (4) thereason(s) for the requested change(s).You should include in your requestsany appropriate documentationsupporting the requested change(s).Your request must meet therequirements of the regulations at 34CFR 5b.7.


Information is obtained fromfellowship recipients, institutions ofhigher education, and employers.


None.

[FR Doc. 99–12656 Filed 6–3–99; 8:45 am]BILLING CODE 4000–01–P
