5 U.S.C. 552a

![](media/image1.pct)

##### Index of System and System Numbers

**Consolidated System of Records Notice**

(System linked by Privacy Act Issuance system number)

**Link to Notices by Principal Office:** [OS](#os), [OESE](#_OESE),
[OCFO](#_OESE), [OCIO](#OCIO), [OM](#OM), [OCO](#OIIA), [OLCA](#OLCA),
[OCR](#OCR), [OGC](#OGC), [OIG](#OIG), [FSA](#OSFA), [OPE](#ope),
[IES](#IES), [OESE](#OESE), [OELA](#OELA), [OSERS](#OSERS),
[OPEPD](#OPEPD)

## [[]{#BacktoRoutineUses .anchor}Routine Uses](#RoutineUses) 6

# OS

[[]{#Backto180101 .anchor}***18-01-01***](#Notice180101) **Secretary's
Communications Control System 9**

[[]{#Backto180102 .anchor}***18-01-02***](#Notice180102) **Education
Senior Management Biographies 13**

[]{#_OESE .anchor}

OCFO

[[]{#Backto180301 .anchor}18-03-01](#Notice180301) Debarment and
Suspension Proceedings under Executive Order (E.O.)

12549, the Drug-Free Workplace Act, and the Federal Acquisition

Regulation 15

[[]{#Backto180302 .anchor}18-03-02](#Notice180302) Education's Central
Automated Processing System (EDCAPS) 19

[[]{#Backto180303 .anchor}18-03-03](#Notice180303) Receivables
Management System 23

[[]{#Backto180304 .anchor}18-03-04](#Notice180304) Files and Lists of
Potential and Current Consultants, Grant Application

Reviewers, Peer Reviewers, and Site Visitors 27

[[]{#Backto180305 .anchor}18-03-05](#Notice180305) Travel Manager System
31

[]{#OCIO .anchor}OCIO

[[]{#Backto180401 .anchor}18-04-01](#Notice180401) Freedom of
Information Act and Privacy Act Case Files 36

[[]{#Backto180402 .anchor}18-04-02](#Notice180402) Freedom of
Information Act and Privacy Act Tracking System 41

[[]{#Backto180403 .anchor}18-04-03](#Notice180403) ED Web
Personalization Pilot Data Collection 46

[]{#OM .anchor}OM

[[]{#Backto180501 .anchor}18-05-01](#Notice180501) Departmental Parking
Control Policy 50

[[]{#Backto180502 .anchor}18-05-02](#Notice180502) Family Educational
Rights and Privacy Act (FERPA) and the Protection of

Pupil Rights Amendment (PPRA) Record Systems 52

[[]{#Backto180503 .anchor}18-05-03](#Notice180503) Federal Personnel
Payroll System 55

[[]{#Backto180504 .anchor}18-05-04](#Notice180504) Discrimination
Complaints Records System 60

[[]{#Backto180505 .anchor}18-05-05](#Notice180505) Grievances Filed
Formally Under the Administrative Grievance Procedure 63

[[]{#Backto180506 .anchor}18-05-06](#Notice180506) Grievance Records
Filed Under Procedures Established By

Labor-Management Negotiations 67

[[]{#Backto180507 .anchor}18-05-07](#Notice180507) Unfair Labor Practice
Records 70

[[]{#Backto180508 .anchor}18-05-08](#Notice180508) Official Time Records
of Union Officials and Bargaining Unit Employees

at the Department of Education 73

[[]{#Backto180509 .anchor}18-05-09](#Notice180509) Voluntary Leave
Transfer (VLT) Program 76

[[]{#Backto180510 .anchor}18-05-10](#Notice180510) General Performance
Appraisal System (GPAS) 79

[[]{#Backto180511 .anchor}18-05-11](#Notice180511) Training Registration
and Information System (TRAINS) 84

[[]{#Backto180512 .anchor}18-05-12](#Notice180512) Grievances Filed
Informally Through the Informal Dispute Resolution

Center (IDR Center) 89

[[]{#Backto180513 .anchor}18-05-13](#Notice180513) Child Care Subsidy
Program System 93

[[]{#Backto180514 .anchor}18-05-14](#Notice180514) Human Capital
Learning and Performance Improvement System 97

[[]{#Backto180515 .anchor}18-05-15](#Notice180515) Student Loan
Repayment Benefits Case Files 106

[[]{#Backto180517 .anchor}18-05-17](#Notice180517) Investigatory
Material Compiled for Personnel Security and Suitability, Positive

> Identification Verification and Access Control for the Department of
> Education Security Tracking and Reporting System (EDSTAR) 110

[[]{#Backto180518 .anchor}18-05-18](#Notice180518) Education
Publications Center (ED PUBS) 117

OCO

[[]{#Backto180601 .anchor}18-06-01](#Notice180601) Federal Advisory
Committee Membership Files 121

[[]{#Backto180602 .anchor}18-06-02](#Notice180602) Telephone
Directory/Locator System 124

[[]{#Backto180603 .anchor}18-06-03](#Notice180603) Presidential Scholars
Program\--Files of Selected Participants 127

[[]{#Backto180604 .anchor}18-06-04](#Notice180604) Satellite Event
Participant Registration System 131

[[]{#Backto180605 .anchor}18-06-05](#Notice180605) Partners in Education
135

[]{#OLCA .anchor}OLCA

[[]{#Backto180701 .anchor}18-07-01](#Notice180701) Congressional
Members\' Biographies System 138

[[]{#Backto180702 .anchor}18-07-02](#Notice180702) Congressional Grant
Notification Control System 140

[]{#OCR .anchor}OCR

[[]{#Backto180801 .anchor}18-08-01](#Notice180801) Complaint Files and
Log 143

[]{#OGC .anchor}OGC

[[]{#Backto180901 .anchor}18-09-01](#Notice180901) Administrative Claims
148

[[]{#Backto180902 .anchor}18-09-02](#Notice180902) OGC Attorney
Applicant Files 151

[[]{#Backto180903 .anchor}18-09-03](#Notice180903) Employee
Conduct\--Government Ethics 153

[[]{#Backto180904 .anchor}18-09-04](#Notice180904) Litigation Files,
Administrative Complaints, and Adverse Personnel Actions 156

[[]{#Backto180905 .anchor}18-09-05](#Notice180905) Department of
Education Federal Docket Management System (EDFDMS) 159

[]{#OIG .anchor}OIG

[[]{#Backto181001 .anchor}18-10-01](#Notice181001) Investigative Files
of the Inspector General 163

[]{#Backto181003 .anchor}18-10-02 Moved to [18-05-17](#Notice180517)

[18-10-03](#Notice181003) Non-Federal Auditor Referral, Suspension, and
Debarment File 168

[[]{#Backto181004 .anchor}18-10-04](#Notice181004) Hotline Complaint
Files of the Inspector General 172

[]{#OSFA .anchor}FSA

[[]{#Backto181101 .anchor}18-11-01](#Notice181101) Federal Student Aid
Application File 176

[[]{#Backto181102 .anchor}18-11-02](#Notice181102) Recipient Financial
Management System 181

[[]{#Backto181103 .anchor}18-11-03](#Notice181103) Student Financial
Assistance Validation File 184

[[]{#Backto181105 .anchor}18-11-05](#Notice181105) Title IV Program
Files 187

[[]{#Backto181106 .anchor}18-11-06](#Notice181106) National Student Loan
Data System (NSLDS) 194

[[]{#Backto181107 .anchor}18-11-07](#Notice181107) Student Financial
Assistance Collection Files 199

[[]{#Backto181108 .anchor}18-11-08](#Notice181108) Student Account
Manager System 204

[[]{#Backto181109 .anchor}18-11-09](#Notice181109) Postsecondary
Education Participants System (PEPS) 209

[[]{#Backto181110 .anchor}18-11-10](#Notice181110) Student Aid Internet
Gateway (SAIG) Enrollment 213

[[]{#Backto181111 .anchor}18-11-11](#Notice181111) Office of the Student
Loan Ombudsman Records 218

[[]{#Backto181112 .anchor}18-11-12](#Notice181112) The Department of
Education (ED) PIN (Personal Identification Number) 221

[[]{#Backto181113 .anchor}18-11-13](#Notice181113) Student
Authentication Network Audit File 225

[[]{#Backto181114 .anchor}18-11-14](#Notice181114) FSA Students Portal
229

[[]{#Backto181115 .anchor}18-11-15](#Notice181115) Return of Title IV
Funds on the Web(R2T4OTW)....................................238

[[]{#Backto181116 .anchor}18-11-16](#Notice181116) Common Services for
Borrowers (CSB) 243

[]{#ope .anchor}OPE

[[]{#Backto181201 .anchor}18-12-01](#Notice181201) Title VI Foreign
Language and Area Studies Fellowships (FLAS) 251

[[]{#Backto181202 .anchor}18-12-02](#Notice181202)
Fulbright-Hays\--Doctoral Dissertation Research Abroad (DDRA), Faculty

Research Abroad (FRA), Seminars Abroad (SA), Fellows 255

[[]{#Backto181203 .anchor}18-12-03](#Notice181203) Jacob K. Javits
Fellowship System 259

[[]{#Backto181204 .anchor}18-12-04](#Notice181204) Title VI
International Research and Studies Program (IRS) 263

[[]{#Backto181205 .anchor}18-12-05](#Notice181205) Graduate Assistance
in Areas of National Need (GAANN) Program

Assessment System 267

[[]{#Backto181206 .anchor}18-12-06](#Notice181206) Teacher Quality
Recruitment Scholarship System 270

[]{#IES .anchor}IES

[[]{#Backto181301 .anchor}18-13-01](#Notice181301) National Center for
Education Statistics Longitudinal Studies and the

School and Staffing Surveys 274

[[]{#Backto181302 .anchor}18-13-02](#Notice181302) National Center for
Education Statistics Affidavits of Nondisclosure 277

[[]{#Backto181303 .anchor}18-13-03](#Notice181303) National Center for
Education Statistics\' National Assessment of

Educational Progress 280

[[]{#Backto181304 .anchor}18-13-04](#Notice181304) Outcomes of Diversity
in Higher Education Study 284

[[]{#Backto181305 .anchor}18-13-05](#Notice181305) Moved to
[18-05-18](#Notice180518) 117

[[]{#Backto181306 .anchor}18-13-06](#Notice181306) What Works
Clearinghouse (WWC) Database 290

[[]{#Backto181307 .anchor}18-13-07](#Notice181307) DC Choice Program
Evaluation 294

[]{#Backto181308 .anchor}

[18-13-08](#Notice181308) Early Reading First National
Evaluation............................................... 297

[[]{#Backto181309 .anchor}**18-13-09**](#Notice181309) **Even Start
Classroom Literacy Interventions and Outcomes Study 300**

[[]{#Backto181310 .anchor}18-13-10](#Notice181310) Impact Evaluation of
Teacher Preparation Models 303

[]{#Backto181311 .anchor}

[18-13-11](#Notice181311) Evaluation of the Impact of Teacher Induction
Programs 306

[]{#Backto181312 .anchor}

[18-13-12](#Notice181312) Evaluation of Impact of Literacy Interventions
on Freshman Academies 309

[]{#Backto181313 .anchor}

[18-13-13](#Notice181313) Impact Evaluation of Academic Instruction for
After-School Programs 312

[]{#Backto181314 .anchor}

[18-13-14](#Notice181314) Impact Evaluation of the U.S. Department of
Education's Student Mentoring Program 315

[]{#Backto181315 .anchor}

[18-13-15](#Notice181315) Impact Evaluation of the School-Based Violence
Protection Programs...........318

[[]{#Backto181316 .anchor}18-13-16](#Notice181316) Impact Evaluation of
Mandatory-Random Student Drug Testing 321

[[]{#Backto181317 .anchor}**18-13-17**](#Notice181317) **Impact
Evaluation of Upward Bound\'s Increased Focus on Higher-Risk**

**Students 324**

[]{#OESE .anchor}

OESE

[[]{#Backto181401 .anchor}18-14-01](#Notice181401) Educationally
Disadvantaged Students Attending Private Schools Served

Through Bypass Contracts 327

[[]{#Backto181402 .anchor}18-14-02](#Notice181402) Fellowships for
Indian Students\--Applications and Awards 331

[[]{#Backto181403 .anchor}18-14-03](#Notice181403) Native Hawaiian
Education Council Membership 333

[]{#OELA .anchor}OELA

[[]{#Backto181501 .anchor}18-15-01](#Notice181501) Bilingual Education
Graduate Fellowship Program 336

[]{#OSERS .anchor}OSERS

[[]{#Backto181601 .anchor}18-16-01](#Notice181601) OSEP Customer
Tracking Service System 340

[[]{#Backto181602 .anchor}18-16-02](#Notice181602) RSA-911 Case Service
Report 344

[[]{#Backto181603 .anchor}**18-16-03**](#Notice181603) **Study of Former
Vocational Rehabilitation Consumers\' Post-Program Experiences
(Post-Vocational Rehabilitation Experiences Study).................348**

[]{#OPEPD .anchor}OPEPD

[[]{#Backto181701 .anchor}18-17-01](#Notice181701) The Graduate
Fellowship Program Participant Study 351

[[]{#Backto181702 .anchor}18-17-02](#Notice181702) Follow-up Evaluation
of the Gear Up Program 355

[[]{#BacktoBlankSystem .anchor}System Notice
Template](#SystemNoticeTemplate) 358

[[]{#KeyAcronyms .anchor}Key to Organization Acronyms](#Acronyms) 359

# [[]{#RoutineUses .anchor}Routine Uses](#BacktoRoutineUses)

Paragraph (b)(3) of section 552a permits disclosure for a routine use. A
routine use is a use of a record for a purpose which is compatible with
the purpose for which the record was collected. Each routine use for
which an agency may disclose a record must be published in the notice of
the system of records for which the use will apply. Many of the systems
of records maintained by the Department use standard routine uses. These
standard routine uses were published in Appendix B to the Department\'s
Privacy Act regulations (34 CFR part 5b, May 9, 1980, 45 FR 30808). A
system that adopts a standard routine use refers to Appendix B. For ease
of reading, the routine uses listed in Appendix are appended to this
document before the Index of Systems and System Numbers.

Appendix B of Departmental Regulations (34 CFR part 5b)

Routine Uses Applicable To More Than One System of Records Maintained by
ED:

\(1\) In the event that a system of records maintained by this agency to
carry out its functions indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant records
in the system of records may be referred, as a routine use, to the
appropriate agency, whether federal, or foreign, charged with the
responsibility of investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto.

\(2\) Referrals may be made of assignments of research investigators and
project monitors to specific research projects to the Smithsonian
Institution to contribute to the Smithsonian Science Information
Exchange, Inc.

\(3\) In the event the Department deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice for the purpose of obtaining its advice.

\(4\) A record from this system of records may be disclosed as a
\"routine use\" to a federal, state or local agency maintaining civil,
criminal or other relevant enforcement records or other pertinent
records, such as current licenses, if necessary to obtain a record
relevant to an agency decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant or other benefit.

A record from this system of records may be disclosed to a federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract,
or the issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the record is relevant and necessary to the
requesting agency\'s decision on the matter.

\(5\) In the event that a system of records maintained by this agency to
carry out its function indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant records
in the system of records may be referred, as a routine use, to the
appropriate agency, whether state or local charged with the
responsibility of investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto.

\(6\) Where federal agencies having the power to subpoena other federal
agencies\' records, such as the Internal Revenue Service or the Civil
Rights Commission, issue a subpoena to the Department for records in
this system of records, the Department will make such records available.

\(7\) Where a contract between a component of the Department and a labor
organization recognized under E.O. 11491 provides that the agency will
disclose personal records relevant to the organization\'s mission,
records in this system of records may be disclosed to such organization.

\(8\) Where the appropriate official of the Department, pursuant to the
Department\'s Freedom of Information Regulation determines that it is in
the public interest to disclose a record which is otherwise exempt from
mandatory disclosure, disclosure may be made from this system of
records.

\(9\) The Department contemplates that it will contract with a private
firm for the purpose of collating, analyzing, aggregating or otherwise
refining records in this system. Relevant records will be disclosed to
such a contractor. The contractor shall be required to maintain Privacy
Act SAFEGUARDS with respect to such records.

\(10\) To individuals and organizations, deemed qualified by the
Secretary to carry out specific research solely for the purpose of
carrying out such research.

\(11\) Disclosures in the course of employee discipline or competence
determination proceedings.

A complete index of systems of records covered by this notice follows:

# 18-01-01 Secretary's Communications Control System

(64 FR 30108-30109)

[[]{#Notice180101 .anchor}18-01-01](#Backto180101) June 4, 1999

## SYSTEM NAME: 

Secretary\'s Communications Control System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Office of the Executive Secretariat, Office of the Secretary, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 7C114,
Washington, DC 20202. See the Appendix at the end of this system notice
for additional system locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

This system contains records about individuals who have contacted the
Secretary, Deputy Secretary, Senior Officers or other officials of the
Department for whom the Department controls responses.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system includes the following types of records:

\(1\) The official correspondence files of each principal office within
the Department, and where applicable, a principal office\'s component
office, specifically the hard copies of official documents and
electronic images of certain incoming and outgoing documents;

\(2\) Control information from the Secretary\'s, Deputy Secretary\'s,
Senior Officers\' and other officials\' correspondence that include a
subject narrative, the name of the organization drafting the response
and the type of action required from the Department; and

\(3\) records of responses to some telephone inquiries where officials
determine that a written response should be controlled.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

## PURPOSE(S): 

This system of records is maintained to account for the correspondence
received by the Department, including correspondence regarding
individual concerns and complaints regarding programs administered by
the Secretary.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Government and Privacy Organization Disclosure]{.underline}. The
Department may disclose records to governmental entities and private
organizations as necessary to resolve complaints, provide guidance,
respond to requests for documents and information, and address concerns
regarding those entities and organizations.

\(2\) [Congressional Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) or (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her official capacity where the
agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in litigation or an administrative
proceeding in which the Department has an interest is relevant and
necessary to the litigation or proceeding, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURES TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b) (12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) The amount, status and history of the
claim; and (3) The program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE: 

The records are maintained in hard copy filed in standard file cabinets;
those stored electronically are located on computer disks and on backup
media.

### RETRIEVABILITY: 

Files are indexed and retrievable by subject, name of the individual or
by the document\'s control number that is assigned at the time the
correspondence is logged into the Department.

### SAFEGUARDS: 

All physical access to the Department of Education sites are controlled
and monitored by security personnel who check each individual entering
the building for his or her employee or visitor badge. During working
hours, direct access to the file cabinets is limited to authorized
staff. During non-working hours, the rooms in which the file cabinets
are located are locked and only those individuals with access to those
rooms can access the hard copies of records.

The computer systems employed by the Department of Education offer a
high degree of resistance to tampering and circumvention.

### RETENTION AND DISPOSAL:

Hard copy records are transferred to the Washington National Records
Center one year after cutoff then transferred to the National Archives
and Records Administration 10 years after cutoff. Control records on
computer are stored indefinitely. Electronic images are retained based
on regular records disposal or retention policies identical to hard
copies.

### SYSTEM MANAGER(S) AND ADDRESS:

Executive Secretariat, Office of the Secretary, 400 Maryland Avenue,
SW., Room 7C114, Washington, DC 20202. See Appendix at the end of this
system notice for additional system managers.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, contact the system manager at the address listed in
the Appendix at the end of this system notice. You should indicate your
name, the date of the subject documents and reasonable description of
the subject matter of the issue involved. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record regarding you in this
system of records, contact the system manager at the address listed in
the Appendix at the end of this system notice, and reasonably identify
the record and specify the information to be contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

Appendix to 18-01-01

Additional System Locations and System Managers

Director, Office of the Executive Secretariat, Office of the Secretary,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 7C114,
Washington, DC 20202.

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

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

Staff Assistant, Office of the Deputy Secretary, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 7W210, Washington, DC 20202.

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

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

Operations Officer, Office of General Counsel, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 6E353, Washington, DC 20202.

Staff Assistant, Office of Intergovernmental and Interagency Affairs,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E317,
Washington, DC 20202.

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

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

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

Management and Program Analyst, Office of Postsecondary Education, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.

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

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

# 18-01-02 Education Senior Management Biographies

(64 FR 30109-30112)

[[]{#Notice180102 .anchor}18-01-02](#Backto180102) June 4, 1999

## SYSTEM NAME: 

Education Senior Management Biographies.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

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

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of a short biography and a standard portrait
photograph, both of which the senior Department official may elect to
provide. The biography includes the official\'s name, title, office, and
a brief overview of the duties performed at the Department.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301

## PURPOSE(S):

The information contained in this system is made available to the public
and staff of the Department who have an interest in seeing the
photographs or reading the background information on senior Department
officials.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.

\(1\) [General Interest Disclosure]{.underline}. The records in this
system may be released to the public who have an interest in the
background or photographs or both of Department senior officials.

\(2\) [Media Disclosure]{.underline}. The Department may disclose
records in this system for use by the news media and education
organizations when preparing articles, interviews or presentations at
meetings with senior Department officials.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system notice.

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

### STORAGE: 

The biographies and photographs are available in electronic format on
the Department\'s Internet website (http://www.ed.gov). Hard copies of
the biographies and photographs are kept in file cabinets in OPA and in
the individual offices of the respective Department senior officials.

### RETRIEVABILITY: 

The biographies and photographs are indexed by the officials\' last
names in alphabetical order. The general public is encouraged to access
this information via the Department\'s website (http://www.ed.gov). Hard
copies are retrieved by the last name of the senior Department official.

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

Paper copies of biographical information of senior level officials are
transferred to the National Archives and Records Administration for
permanent preservation at the end of each calendar year. Electronic
copies of biographical information are periodically updated as
circumstances warrant due to promotions, reassignments, resignations and
death.

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in this
system of records, provide the system manager with your name, title and
office at the time your biographical information was submitted. Requests
for notification about an individual must meet the requirements of the
regulations at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager and provide the information described above in the
Notification Procedure.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record, contact the system
manager. Any requests to amend a record must meet the regulations at 34
CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system is obtained from the Offices of the
Secretary, the Deputy Secretary, the Under Secretary, the General
Counsel and the Assistant Secretaries.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

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

[]{#Notice180301 .anchor} (64 FR 30112-30114)

[18-03-01](#Backto180301) June 4, 1999

## SYSTEM NAME: 

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

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

For records regarding actions under E.O. 12549 against individuals who
are involved in nonprocurement transactions related to Department of
Education programs, actions under the Drug-Free Workplace Act, and
actions under the FAR 9.4: Contracts & Purchasing Office, Office of the
Chief Financial Officer, U.S. Department of Education, Seventh and D
Streets, SW., Room 3600, ROB-3, Washington, DC 20202-4249.

For records regarding actions under E.O. 12549 against an individual
certified public accountant or principals of a CPA firm: Planning,
Analysis, and Management Services, Office of Inspector General, U.S.
Department of Education, 330 C Street, SW., Room 4022, Switzer Building,
Washington, DC 20202-1510.

For records regarding actions under E.O. 12549 against principals of
institutions of higher education, principals of lenders, or principals
of guarantee agencies: Administrative Actions and Appeals Division,
Institutional Participation and Oversight Service, Office of Student
Financial Assistance Programs, U.S. Department of Education, Seventh & D
Streets, SW., Room 3082, ROB-3, Washington, DC 20202-5267.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Principals undergoing debarment or suspension proceedings and principals
that have been debarred or suspended. Principals are officers,
directors, owners, partners, key employees, or other persons who have a
critical influence on or substantive control over a covered transaction,
whether or not employed by a participant. A participant is any person
who submits a proposal for, enters into, or reasonably may be expected
to enter into a covered transaction. A covered transaction is described
in the Department\'s regulations at 34 CFR 85.110(a)(1). Individuals
receiving grants subject to requirements under the Drug-Free Workplace
Act. Individual contractors undergoing debarment or suspension
proceedings and contractors that have been debarred or suspended.
Contractors covered by this system of records are individuals that
directly or indirectly submit offers for or are awarded, or may
reasonably be expected to submit offers for or be awarded, a government
contract, or who conduct business, or may reasonably be expected to
conduct business with the Department as an agent or representative of
another contractor.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

Contains documents including written referrals, communications between
the Department and the respondent, intra-agency and inter-agency
communications regarding proposed or completed debarments or
suspensions, and a record of any findings from debarment or suspension
proceedings against individuals under E.O. 12549, the Drug-Free
Workplace Act, and the FAR 9.4.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order 12549, Debarment and Suspension; secs. 5151-5160 of the
Drug-Free Workplace Act; and the Federal Acquisition Regulation, 48 CFR
part 9, subpart 9.4, Debarment, Suspension, and Ineligibility; Pub. L.
103-355, sec. 2455.

## PURPOSE(S): 

Information contained in this system of records is used to protect the
Federal Government from the actions prohibited under the Department of
Education (Department) debarment and suspension regulations, Drug-Free
Workplace regulations, and the FAR; make decisions regarding debarments
and suspensions; and ensure that other Federal agencies give effect to
debarment or suspension decisions rendered by the Department.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

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

\(1\) [Litigation Disclosure]{.underline}. In the event that one of the
parties listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (2), (3), and (4) of this routine use under the
conditions specified in those paragraphs:

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

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

\(iii\) Any employee of Department in his or her individual capacity
where the Department of Justice has agreed to provide or arrange for
representation for the employee; or

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

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

\(2\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the
Department of Justice or attorneys engaged by the Department of Justice
is relevant and necessary to litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the Department of Justice.

\(3\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, individual or
entity designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation and
is compatible with the purposes for which the records were collected,
the Department may disclose those records as a routine use to the
adjudicative body, individual or entity.

\(4\) [Opposing counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation and is compatible
with the purpose for which the records were collected, the Department
may disclose those records as a routine use to the counsel,
representative or witness.

\(5\) [Disclosure to the General Services Administration]{.underline}.
The Department makes information contained in this system of records
available to the General Services Administration for inclusion in the
Lists of Parties Excluded from Federal Procurement or Nonprocurement
Programs.

\(6\) [Disclosure to the Public]{.underline}. The Department provides
information to persons inquiring about individuals who have been
debarred or suspended by the Department as necessary to enforce
debarment and suspension actions.

\(7\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, tribal, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto.

\(8\) [FOIA Advice Disclosure]{.underline}. In the event the Department
deems it desirable or necessary, in determining whether particular
records are required to be disclosed under the Freedom of Information
Act, disclosure may be made to the Department of Justice for the purpose
of obtaining its advice.

\(9\) [Contract disclosure]{.underline}. If the Department contracts
with an entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records as a routine use to those employees.
Before entering such a contract, the Department shall require the
contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C.
552a(m) with respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. Where the appropriate official
of the Department determines that an individual or organization is
qualified to carry out specific research, that official may disclose
information from this system of records to that researcher solely for
the purpose of carrying out that research. The researcher shall be
required to maintain Privacy Act SAFEGUARDS with respect to such
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

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

### STORAGE: 

Records are kept in file folders in locked file cabinets.

### RETRIEVABILITY: 

The records are indexed by the names of the individuals.

### SAFEGUARDS: 

All physical access to the site where this system of records is
maintained is controlled and monitored by security personnel who check
each individual entering the building for his or her employee badge.
Files are kept in locked file cabinets. Immediate access to these
records is restricted to authorized staff.

### RETENTION AND DISPOSAL: 

Pending disposal, Debarment and Suspension records are retained at the
system location. The Department will retain and dispose of the records
in accordance with the Department of Education Records Disposition
Schedules (ED/RDS).

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Grants Policy & Oversight Staff, Contracts & Purchasing
Office, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3652, ROB-3, Washington, DC
20202-0498.

Assistant Inspector General for Planning, Analysis, and Management
Services, Office of Inspector General, U.S. Department of Education,
Maryland Avenue, SW., Room 4022, Mary E. Switzer Building, Washington,
DC 20202-1510.

Director, Administrative Actions and Appeals Division, Institutional
Participation and Oversight Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 3082, ROB-3, Washington, DC 20202-5267.

### NOTIFICATION PROCEDURE: 

If an individual wishes to determine whether a record exists regarding
him or her in this system of records, the individual must provide the
system manager his or her name, date of birth and social security
number. Requests for notification about an individual record must meet
the requirements of the regulations at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If an individual wishes to gain access to a record in this system, he or
she must contact the system manager and provide information as described
in the notification procedure. Requests for access to an individual\'s
record must meet the requirements of the regulations at 34 CFR 5b.5.
Consistent with 5 U.S.C. 552a(e)(5), the Department retains the
discretion not to disclose records to an individual during the course of
a debarment or suspension proceeding against the individual.

### CONTESTING RECORD PROCEDURES: 

If an individual wishes to change the content of a record in the system
of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change, including any supporting documentation. Requests to amend a
record must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Department employees involved in the management of grants and contracts,
and other organizations or persons that may have relevant information
regarding participants and their principals.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-03-02 Education\'s Central Automated Processing System (EDCAPS)

(64 FR 30114-30116)

[[]{#Notice180302 .anchor}18-03-02](#Backto180302) June 4, 1999

## SYSTEM NAME: 

Education\'s Central Automated Processing System (EDCAPS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

Recipient System (RS), Payment Management Service & Reporting Unit,
Financial Payments & Cash Management Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.

Financial Management Software System (FMSS), General Ledger Systems
Group, Financial Reporting and Systems Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4W202, Washington, DC 20202.

Contracts and Purchasing Support System, Support Services Group,
Contracts and Purchasing Operations, Office of the Chief Financial
Officer, U.S. Department of Education, Seventh & D Streets, SW., Room
3616, ROB-3, Washington, DC 20202-4651.

Contracts and Purchasing Support System (CPSS) National Finance Center,
Department of Agriculture, New Orleans, Louisiana.

Grants Administration and Payments System (GAPS) Grants and Contract
Management System (GCMS) and the Payment Management System PMS). The
grant application portion of GAPS will be managed by the Grants Policy &
Oversight Staff, Office of the Chief Financial Officer, GSA Regional
Office Building 3, Seventh & D Streets, SW, Room 3652, Washington, DC
20202-4651. The GAPS payment process will be managed by Payment
Management Service & Reporting Unit, Financial Payments & Cash
Management Operations, Office of the Chief Financial Officer,
Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Categories of individuals include employees of the Department,
consultants, contractors, grantees, advisory committee members, and
other individuals receiving funds from the department for performing
services for the Department. Although EDCAPS contains information about
institutions associated with individuals, the purpose for which the
Department collects and maintains information under this system of
records, and its usage of this information, pertains only to individuals
protected under the Privacy Act of 1974 (5 U.S.C. 552a).

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records in this system contain the individual\'s name, address, Social
Security number, eligibility codes, detailed and summary obligation
data, reports of expenditures, and grant management data, including
application and close out information.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 301.

## PURPOSE(S): 

The purpose of EDCAPS is to maintain financial and management records
associated with the normal operations of the Department. Records are
used for managing grant and contract awards, making payments, accounting
for goods and services provided and received, enforcing eligibility
requirements, conditions in awards and U.S. law relating to transactions
covered by the system, and defending the Department in actions relating
to those transactions. EDCAPS consists of four subsystems, as follows:

[RS (Recipient System)]{.underline}

RS serves as the recipient database for EDCAPS land the central
repository of recipients having a relationship with the Department
(e.g., receiving grantees.) It maintains core information about a
recipient and tracks reference data to support information on recipients
(e.g., countries, states, and congressional districts).

[FMSS (Financial Management Software System]{.underline})

The purpose of FMSS is to serve as the official general ledger for the
Department. It also performs all funds control checks for all EDCAPS
obligations, either by the GAPS or by a contractor of the Department.
FMSS maintains detailed information about obligations paid to the
contractor and maintains general ledger level balance information for
obligations paid directly by the Department through GAPS.

[GAPS (Grants Administration and Payment System)]{.underline}

The purpose of GAPS is to administer the grants award processing from
planning through closeout including disbursing funds to grants
recipients for certain Department programs. Summary payment data are
returned to FMSS for processing. GAPS maintains a record of grant awards
by the Department, including management information collected during the
award process. Payment information is retrievable in GAPS by Taxpayer
Identification Number (TIN). The TIN for an individual is the social
security number. The name, mailing address and other characteristic data
related to federal grants or institutional loans are also maintained.

[CPSS (Contract and Purchasing Support System)]{.underline}

The purpose of CPSS is to administer the contracts award process from
planning to closeout. CPSS shares information with FMSS. CPSS maintains
a record of contact awards by the Department, including management
information collected during the award process.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

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

\(a\) [Litigation disclosure]{.underline}.

\(1\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the
Department of Justice is relevant and necessary to litigation and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the Department
of Justice. Such a disclosure may be made in the event that one of the
parties listed below is involved in the litigation, or has an interest
in such litigation:

\(i\) The Department or any component of the Department; or

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

\(iii\) Any employee of the Department in his or her individual capacity
where the Department of Justice has agreed to represent the employee; or

\(iv\) Any employee of the Department in his or her individual capacity
where the agency has agreed to represent the employer; or

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

\(2\) [Other litigation disclosures]{.underline}. If the Department
determine that disclosure of certain records to a court, adjudicative
body before which the Department is authorized to appear, individual or
entity designated by the Department or otherwise empowered to resolve
disputes, counsel or other representative, or potential witness is
relevant and necessary to litigation and is compatible with the purpose
for which the records were collected, the Department may disclose those
records as a routine use to the court, adjudicative body individual or
entity, counsel or other representative, or witness. Such a disclosure
may be made in the event that one of the parties listed below is
involved in the litigation, or has an interest in the litigation;

\(i\) The Department or any component of the Department; or

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

\(iii\) Any employee of the Department in his or her individual capacity
where the Department has agreed to represent the employee; or

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

[(b) FOIA advice of disclosure]{.underline}. In the event the Department
deems it desirable or necessary, in determining whether particular
records are required to be disclosed under the Freedom of Information
Act or other authority permitting disclosure of records, disclosure may
be made to the Department of Justice for the purpose of obtaining its
advice.

\(c\) [Contract disclosure]{.underline}. The Department may disclose
information from this system of records as a routine use to the private
firm or contractor with which the Department contemplates it will
contract or with which it has contracted for the purpose of performing
any functions or analyses that facilitate or are relevant to an
investigation, audit, inspection, or other inquiry. Such contract or
private firm shall be required to maintain Privacy Act safeguards with
respect to such information.

\(d\) [Enforcement disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
or any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, Tribal, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto.

\(e\) [Congressional member disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(e)(4) and the procedures contained in subsection 31 U.S.C. 3711(f).
A consumer reporting agency to which these disclosures may be made is
defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE: 

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

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

### SAFEGUARDS: 

Direct access is restricted to authorized Department staff performing
official duties. Authorized staff are assigned passwords which must be
used for access to computerized data. Also, an additional password is
necessary to gain access to the system. The system-access password is
changed frequently. The data is maintained in a secured-access area.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

The Financial Management Software System is managed by the General
Ledger Systems Group, Financial Reporting and Systems Operations, Office
of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW., Washington, DC 20202.

The Contracts and Purchasing Support System is managed by the Support
Services Group, Contracts and Purchasing Operations, Office of the Chief
Financial Officer, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 3616, ROB-3, Washington, DC 20202-4651.

The grant application portion of the Grants Administration and Payments
System will be managed by the Grants Policy & Oversight Staff, Office of
the Chief Financial Officer, U.S. Department of Education, Room 3652,
ROB-3, Washington, DC 20202-4651.

The GAPS payment process will be managed by Payment Management Service &
Reporting Unit, Financial Payments & Cash Management Operations, Office
of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3332, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If an individual wishes to determine whether a record pertaining to him
or herself is the system of records, the individual should provide his
or her name and Social Security number to the appropriate system
manager. Such request must meet the requirements in the regulations at
34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If an individual wishes to gain access to a record in this system, he or
she should contact the appropriate system manager and provide
information as described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in the
regulations at 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

Information in this system will be obtained from applicants applying for
a Department contract, grant, or loan at the time of application.
Information will also be obtained from Department program offices,
employees, consultants, and others performing personnel services for the
Department.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-03-03 Receivables Management System

(64 FR 30116-30118)

[[]{#Notice180303 .anchor}18-03-03](#Backto180303) June 4, 1999

## SYSTEM NAME: 

Receivables Management System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

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

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

Nationwide Credit, Inc., Credit Claims and Collection, 2253 Northwest
Parkway, Marietta, GA 30067.Payco American Corporation, 180 N. Executive
Drive, Brookfield, WI 53005-6011.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals covered by the system include: Persons billed by the
Department of Education (Department) for materials and services such as
Freedom of Information Act requests and computer tapes of statistical
data, persons ordered by a court of law to pay restitutions to the
Department, individuals who received grants under the Bilingual
Education Fellowship Program and who have not provided evidence to the
Department of fulfilling their work requirements as described in the
Bilingual Education Fellowship Program Contract, individuals who have
received funds through the Rehabilitation Services Administration (RSA)
Scholarship program and who have not provided evidence of fulfilling
their obligations under that program, current and former Department
employees who received overpayments on travel allowances or who received
salary overpayments and the overpayments have not been waived by the
Department, individuals who were overpaid or inappropriately paid under
grant programs administered by the Department other than Title IV of the
Higher Education Act of 1965, as amended (HEA) and claims against
individuals, including orders by a court or other authority to make
restitution for the misuse of Federal funds in connection with any
program administered by the Department.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The Receivables Management System is a database system that is kept for
servicing general consumer debts owed to the Department and issuing
reports of operations and the status of accounts to the U.S. Department
of Treasury (Treasury) and the Office of Management and Budget. The
receivables are generated from bills to individuals for materials and
services from the Department, claims arising from court-ordered
restitutions for any program administered by the Department, loans and
overpayments to individuals under programs other than the student
financial assistance programs authorized under Title IV of the Higher
Education Act of 1965, as amended. Records will be used by debt
servicing staff to bill debtors to the Department and collect the debts.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. Disclosures under the following routine uses may be made
on a case-by-case basis or, in appropriate circumstances under computer
matching agreements authorized under the Privacy Act of 1974 (5 U.S.C.
552a). Records may be disclosed for the following debt servicing program
purposes:

\(a\) [Program purposes]{.underline}: (1) To verify the identity and
location of the debtor, disclosures may be made to credit agencies and
Federal agencies. (2) To enforce the terms of a loan or where disclosure
is required by Federal law, disclosure may be made to credit agencies,
educational and financial institutions, and Federal, State, or local
agencies.

\(b\) [Debt servicing]{.underline}. Records under routine use may be
disclosed to the United States Department of the Treasury and privately
contracted collection companies for debt servicing.

\(c\) [Litigation disclosure]{.underline}. (1) In the event that one of
the parties listed below is involved in litigation, or has an interest
in litigation, the Department may disclose certain records to the
parties described in paragraphs (2), (3) and (4) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department;

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

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

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

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

\(2\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation and is compatible with the purpose for which the records
were collected, the Department may disclose those records as a routine
use to the DOJ.

\(3\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation and
is compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the
adjudicative body, individual or entity.

\(4\) [Opposing counsel, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation and is compatible
with the purpose for which the records were collected, the Department
may disclose those records as a routine use to the counsel,
representative or witness.

\(5\) [Enforcement disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, Tribal, or local, charged with the responsibility of
investigating or prosecuting this violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto.

\(6\) [Contract disclosure]{.underline}. If the Department contracts
with an entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records as a routine use to those employees.
Before entering into a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5 U.S.C.
552a(m) with respect to the records in the system.

\(7\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose individually identifiable information to OMB as necessary to
fulfill CRA requirements.

\(8\) [Employee grievance, complaint or conduct disclosure]{.underline}.
Records may be disclosed if a record maintained in this system of
records is relevant to present or former employee grievance, complaint,
discipline or competence determination proceedings of another agency of
the Federal Government. In this case, the Department may disclose the
record as a routine use in the course of the proceedings if the
disclosure is compatible with the purposes for this system of records.

\(9\) [Labor organization disclosure]{.underline}. Records under this
routine use may be disclosed whenever a contract between a component of
the Department and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(10\) [Research disclosure]{.underline}. Records under this routine use
may be disclosed whenever an appropriate official of the Department
determines that an individual or organization is qualified to carry out
specific research related to functions or purposes of this system of
records. The official may disclose records from this system of records
to that researcher solely for the purpose of carrying out that research
related to the functions or purposes of this system of records. The
researcher is required to maintain Privacy Act safeguards with respect
to these records.

\(11\) [Freedom of Information Act]{.underline} (FOIA) Advice
Disclosure. Records under this routine use may be disclosed to the DOJ
and the OMB in the event that the Department deems it desirable or
necessary in determining whether particular records are required to be
disclosed under the FOIA.

\(12\) [Disclosure to the Department of Justice]{.underline}. Records
may be disclosed under this routine use to the DOJ from this system of
records as a routine use to the extent necessary for obtaining DOJ
advice on any matter relevant to an audit, inspection, or other inquiry
related to the programs covered by this system.

\(13\) [Congressional member disclosure]{.underline}. The Department may
disclose information from this system of records to a member of Congress
from the record of an individual in response to an inquiry from the
member made at the written request of that individual. The Members\'
right to the information is no greater than the right of the individual
who requested it.

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

### STORAGE: 

Records under this system will be kept on paper files in metal file
cabinets and in data files in computers. They are stored in desktop and
mainframe computers with records backed up on magnetic media.

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

All physical access to the sites of the Department of Education and the
contractors where this system of records is maintained, are controlled
and monitored by security personnel who check each individual entering
the building for an employee\'s or visitor\'s badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department of Education and contract staff on a
\"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system are
given a unique user ID. All interactions by individual users with the
system are recorded.

At contractor sites, access to all automated data processing facilities
are restricted by photo identification, sign-in and out logs, CYPHER
locks, or ID card readers. Smoke and fire detection devices are
installed and maintained operational on all facilities including tape
and disk library areas. Physical security of the building involves
restricted access as well as 24-hour security guard at the ground-floor
entrance to the building. Access to building is obtained through the use
of key entry doors. The system permits entry to an individual only with
an access code.

### RETENTION AND DISPOSAL: 

Records are disposed of in accordance with the National Archives and
Records Administration\'s General Records Schedule (GRS) 6, items 1a,
10b, and 10c; and GRS 7.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, Financial Improvement and Post-Audit Operations, Office of the
Chief Financial Officer, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 4C135, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If an individual wishes to determine whether a record exists regarding
him or her in this system of records, the individual should provide the
system manager his or her name, Social Security number, case or loan
number, or other debt identifying number. Requests for notification
about an individual must meet the requirements in the regulations at 34
CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If an individual wishes to gain access to a record in this system, he or
she should contact the system manager and provide information described
in the notification procedure. Requests by an individual for access to a
record must meet the requirements in the regulations at 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

If an individual wishes to change the content of a record in the system
of records, he or she should contact the system manager with the
information described in the notification procedure, identify the
specific item(s) to be changed, and provide a written justification for
the change. Requests to amend a record must meet the requirements of the
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

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

### EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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

(64 FR 30118-30119)

[[]{#Notice180304 .anchor}18-03-04](#Backto180304) June 4, 1999

## SYSTEM NAME: 

Files and Lists of Potential and Current Consultants, Grant Application
Reviewers Peer Reviewers, and Site Visitors.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

See the Appendix attached to this system notice.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who have been or may be used by the Department as
consultants, field readers, grant application reviewers, peer reviewers
or site visitors, to review and evaluate various program activities.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

Name, address, telephone number, title, institutional or agency
affiliation, resume, social security number or other individual
identifier, compensation and/or reimbursement information (if any), and
area(s) of individual expertise of each individual serving as a
consultant, field reader, grant application reviewer or site visitor.
Records of past performance of individuals covered by this notice.
Disability (if special arrangement need to be made).

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The Department uses the information in this system of records to
determine qualification and fitness of individuals the Department may
use to review and evaluate documents, programs, and projects of the
Department of Education, its grantees and contractors.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Congressional member disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(2\) [Enforcement disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority,

The Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged with
the responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, The Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If The Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(4\) [Employment, benefit, and contracting disclosure]{.underline}.

\(5\) [For decisions by the Department]{.underline}. A record from this
system of records may be disclosed as a \"routine use\" to a Federal,
state, or local agency maintaining civil, criminal or other relevant
enforcement records or other pertinent records, such as current
licenses, if necessary to obtain a record relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.

\(6\) [For decisions by other Federal agencies]{.underline}. A record
from this system of records may be disclosed to a Federal agency, in
response to its request, in connection with the hiring or retention of
an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance
of a license, grant, or other benefit by the requesting agency, to the
extent that the record is relevant and necessary to the requesting
agency\'s decision on the matter.

\(7\) [Employee conduct disclosure]{.underline}. If a record maintained
by The Department is relevant to an employee discipline or competence
determination proceeding of another agency of the Federal Government,
The Department may disclose the record in the course of the proceeding.

\(8\) [Labor organization disclosure]{.underline}. Where a contract
between a component of the Department and a labor organization
recognized under Chapter 71, U.S.C. Title V provides that the agency
will disclose personal records relevant to the organization\'s mission,
records in this system of records may be disclosed to such an
organization.

\(9\) [FOIA advice disclosure]{.underline}. In the event the Department
deems it desirable or necessary, in determining whether particular
records are required to be disclosed under the Freedom of Information
Act, disclosure may be made to the Department of Justice for the purpose
of obtaining its advice.

\(10\) [Contract disclosure]{.underline}. When the Department
contemplates that it will contract with a private firm for the purpose
of collating, analyzing, aggregating or otherwise refining records in
this system. Relevant records will be disclosed to such a contractor.
The contractor shall be required to maintain Privacy Act safeguards with
respect to such records.

\(11\) [Research disclosure]{.underline}. The Department may, if the
disclosure of a record is compatible with the purpose for which the
record was collected, disclose a record from this system of records as a
routine use to individuals and organizations deemed qualified by the
Secretary to carry out specific research solely for the purpose of
carrying out such research.

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

### STORAGE: 

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

### RETRIEVABILITY: 

By name, title, area(s) of individual expertise, dates served,
institutional or agency affiliation, or social security number of
potential, current or past consultant, field reader, grant application
reviewer, or site visitor.

### SAFEGUARDS: 

Direct access is restricted to persons designated by system managers to
be responsible for maintenance of file(s) or decisions regarding
selection of consultants, field readers, grant application reviewers, or
site visitors. Automated locations are protected by requiring a password
as well as ID users\' code.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

See the Appendix to this system notice for additional system managers.

### NOTIFICATION PROCEDURE: 

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

### RECORD ACCESS PROCEDURES: 

Same as notification procedure above.

### RECORD SOURCE CATEGORIES: 

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

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

## Appendix to 18-03-04 

## Additional System Managers and System Locations

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

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

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

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

Management and Program Analyst, Office of Postsecondary Education, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 4082,
Washington, DC 20202.

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

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

Director, International Education and Graduate Programs Service, Office
of Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Washington, DC 20202-5247.

Director, Office of Indian Education, Office of Elementary and Secondary
Education, 400 Maryland Avenue, SW., Room 4300, Portal Building,
Washington, DC 20202-6335.

# 18-03-05 Travel Manager System 

(67 FR 5908-5910)

[[]{#Notice180305 .anchor}18-03-05](#Backto180305) February 7, 2002

## SYSTEM NAME:

Travel Manager System.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. Chapter 57.

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

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

\(1\) [Contractor Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in his system of records indicates, either on its face or in
connection with other information, a violation or potential violation of
any applicable statute, regulation, or order of a competent authority,
the Department may disclose the relevant records to the appropriate
agency, whether foreign, Federal, State, Tribal, or local, charged with
the responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, Executive order,
rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

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

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

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

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a decision concerning the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaints, grievances, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE:

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

### RETRIEVABILITY:

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

### SAFEGUARDS:

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

### RETENTION AND DISPOSAL:

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

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

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

### RECORD ACCESS PROCEDURE:

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

### CONTESTING RECORD PROCEDURE:

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

### RECORD SOURCE CATEGORIES:

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

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

## Appendix to 18-03-05 Additional System Locations

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

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

L\'Enfant Plaza, 2100 Corridor, Washington, DC 20202.

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

1990 K Street, NW, Washington, DC 20006.

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

2100 M Street, NW, Washington, DC 20037.

1775 I Street, NW, Washington, DC 20006.

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

400 Virginia Avenue, SW, Washington, DC 20202.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(64 FR 72385-72387)

[[]{#Notice180401 .anchor}18-04-01](#Backto180401) December 27, 1999

## SYSTEM NAME: 

Freedom of Information Act and Privacy Act Case Files.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Information Management Group, Office of the Chief Information Officer,
U.S. Department of Education, Seventh and D Streets, Room 5624, ROB-3,
Washington, DC 20202-4651.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records and related correspondence on individuals
who have submitted requests for information under the provisions of the
Freedom of Information Act (FOIA) (5 U.S.C. 552) or the Privacy Act (5
U.S.C. 552a), as well as individuals whose records have been the subject
of a FOIA or Privacy Act request.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

These records are maintained to process individuals\' requests made
under the provisions of the Freedom of Information Act and the Privacy
Act. The records are also used by the Department of Education
(Department) to prepare its reports to OMB and Congress as required by
the Freedom of Information Act and the Privacy Act.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected.

These disclosures may be made on a case-by-case basis or, if the
Department has complied with the computer matching requirements of the
Privacy Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(7\) [Disclosure to the Department of Justice (DOJ]{.underline}). The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(8\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Records are retrieved by the name of the individual.

### SAFEGUARDS: 

Records are stored in locked metal filing cabinets or in a secured room,
with access limited to personnel whose duties require access. All
physical access to the Department\'s sites, and the sites of Department
contractors where this system of records is maintained, is controlled
and monitored by security personnel who check each individual entering
the building for an employee or visitor badge.

### RETENTION AND DISPOSAL: 

Records relating to the agency\'s implementation of the FOIA and the
Privacy Act are disposed of in accordance with the General Records
Schedule (GRS) 14 issued by the National Archives and Records
Administration.

### SYSTEM MANAGER(S) AND ADDRESS: 

Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland Avenue,
SW., Washington, DC 20202-4651. Privacy Act Officer, Room 5624, ROB-3,
400 Maryland Avenue, SW., Washington, DC 20202-4651.

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

### NOTIFICATION PROCEDURE: 

If you wish to inquire whether a record exists regarding you in this
system, you should contact the appropriate system manager at the
appropriate office or region where the original FOIA or Privacy Act
requests were sent, or from where the response was received. You must
provide your name, date of the request, name of organization, and
subject matter. Your request must meet the requirements of the
Department\'s Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to request access to your records, you should contact the
appropriate system manager at the appropriate office or region where the
original FOIA or Privacy Act requests were sent, or from where the
response was received. You must comply with the Department\'s Privacy
Act regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to request an amendment to your records, you should contact
the appropriate system manager at the appropriate office or region where
the original FOIA or Privacy Act requests were sent, or from where the
response was received. Your request must meet the requirements of the
Department\'s Privacy Act regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

The Department has claimed exemptions for several of its other systems
of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5),(6), and (7).
During the course of processing a Freedom of Information Act or Privacy
Act request, exempt materials from those other systems may be included
in the Freedom of Information Act and Privacy Act Case Files; these
materials maintain their exempt status.

## Appendix to 18-04-01 Additional System Locations

Office of the Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW, room 7C122, Washington, DC 20202.

Office of the Deputy Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7W310, Washington, DC 20202.

Office of the Under Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 6W300, Washington, DC 20202.

Office of Postsecondary Education, U.S. Department of Education, Seventh
and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.

Office of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW, room 4E223, Washington, DC 20202.

Office of Educational Research and Improvement, 555 New Jersey Avenue,
NW, room 602E, Capitol Place, Washington, DC 20208.

Office of Special Education and Rehabilitative Services, U.S. Department
of Education, 330 C Street, SW, Room 3613, Switzer Building, Washington,
DC 20202.

Office of Vocational and Adult Education, U.S. Department of Education,
330 C Street, SW, room 4064, Switzer Building, Washington, DC 20202.

Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, room 6C142, Washington, DC 20202.

Office of Management, U.S. Department of Education, 400 Maryland Avenue,
SW, room 2W211, Washington, DC 20202.

Office of Inspector General, U.S. Department of Education, 330 C Street,
SW, room 4200, Switzer Building, Washington, DC 20202.

Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202.

Office of Public Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW, room 7E201, Washington, DC 20202.

Office of Student Financial Assistance, U.S. Department of Education,
Seventh and D Streets, SW, room 4913, ROB-3, Washington,

DC 20202.

Office for Civil Rights, U.S. Department of Education, 330 C Street, SW,
room 5424, Switzer Building, Washington, DC 20202.

Office of Bilingual Education and Minority Affairs, U.S. Department of
Education, 330 C Street, SW, room 5616, Switzer Building, Washington, DC
20202.

Office of Educational Research and Improvement, U.S. Department of
Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC

20202\.

Office of Legislation and Congressional Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC

20202\.

Region I: U.S. Department of Education, John W. McCormack P.O. and
Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557.

Region II: U.S. Department of Education, 75 Park Place, 12th Floor, New
York, NY 10278-0043.

Region III: U.S. Department of Education, 3535 Market Street, Room
16350, Philadelphia, PA 19104-3398.

Region IV: U.S. Department of Education, 61 Forsyth Street, SW., Suite
19T40, Atlanta, GA 30303.

Region V: U.S. Department of Education, 111 N. Canal Street, Suite 1094,
Chicago, IL 60606.

Region VI: U.S. Department of Education, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.

Region VII: U.S. Department of Education, 10220 N. Executive Hills
Blvd., 8th Floor, Kansas City, MO 64153-1367.

Region VIII: U.S. Department of Education, Federal Office Building, 1244
Speer Blvd., Room 300, Denver, CO 80204-3582.

Region IX: U.S. Department of Education, 50 United Nations Plaza, San
Francisco, CA 94102.

Region X: U.S Department of Education, room 3362, Mail Code 10-9060, 915
2nd Avenue, Seattle, WA 98174-1099.

Metro Region: U.S. Department of Education, Office for Civil Rights,
1100 Pennsylvania Avenue, NW., Washington, DC 20044.

Additional System Managers

Region I: Deputy Regional Director, U.S. Department of Education, John
W. McCormack PO and Courthouse, Room 540, Post Office Square, Boston, MA
02105-4557.

Region II: Secretary\'s Regional Representative, U.S. Department of
Education, 75 Park Place, 12th Floor, New York, NY 10278-0043.

Region III: Assistant to the Secretary\'s Regional Representative, U.S.
Department of Education, 3535 Market Street, Room 16350, Philadelphia,
PA 19104-3398.

Region IV: Deputy Secretary\'s Regional Representative, U.S. Department
of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303.

Region V: Secretary\'s Regional Representative , U.S. Department of
Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.

Region VI: Administrative Officer, U.S. Department of Education, 1200
Main Tower Building, #2260, Dallas, TX 75202-4309.

Region VII: Secretary\'s Regional Representative, U.S. Department of
Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO
64153-1367.

Region VIII: Secretary\'s Regional Representative, U.S. Department of
Education, Federal Office Building, 1244 Speer Blvd., room 300, Denver,
CO 80204-3582.

Region IX: Secretary\'s Regional Representative, U.S. Department of
Education, 50 United Nations Plaza, San Francisco, CA 94102.

Region X: Secretary\'s Regional Representative, U.S. Department of
Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA
98174-1099.

Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW., Washington, DC
20044.

# 18-04-02 Freedom of Information Act and Privacy Act Tracking System 

(64 FR 72387-72389)

[[]{#Notice180402 .anchor}18-04-02](#Backto180402) December 27, 1999

## SYSTEM NAME: 

Freedom of Information Act and Privacy Act Tracking System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Office of the Chief Information Officer, Information Management Group,
U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room
5624, Washington, DC 20202-4651.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who have submitted requests
made under the provisions of the Freedom of Information Act and under
the Privacy Act of 1974.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of names, addresses, dates of request and
responses, descriptions or identifications of records requested, amount
of fees paid, if any; payment delinquencies, if any; final
determinations of appeals or denials and summary of log. Copies of
requested records are not maintained in the system.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy
Act of 1974, 5 U.S.C. 552a, as amended; and 5 U.S.C. 301.

## PURPOSE(S): 

This system is used to document and track the status of requests made
under both the Freedom of Information Act and the Privacy Act. This
system is also used to generate the annual report to the Department of
Justice (DOJ) as required by the Freedom of Information Act and the
biennial report to the Office of Management and Budget (OMB) and
Congress as required by the Privacy Act.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

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

\(7\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

### STORAGE: 

These records are maintained on electronic media.

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

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

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \"need to know\"
basis, and controls individual users\'\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

Files maintained for control purposes in responding to requests,
including registers and similar records listing date, nature, and
purpose of request and name and address of requester are destroyed by
erasure 6 years after the date of the last entry. (GRS 14, Item 13)

### SYSTEM MANAGER(S) AND ADDRESS: 

Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland Avenue,
SW., Washington, DC 20202-4651. Privacy Act Officer, Room 5624, ROB-3,
400 Maryland Avenue, SW., Washington, DC 20202-4651.

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager at the appropriate office
or region where the original FOIA or Privacy Act requests were sent, or
from where the response was received. Your request must meet the
requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record regarding you in the system of
records, contact the system manager at the appropriate office or region
where the original FOIA or Privacy Act requests were sent, or from where
the response was received. Your request must meet the requirements of
the Department\'s Privacy Act regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager at the appropriate office
or region where the original FOIA or Privacy Act requests were sent, or
from where the response was received. Your request must meet the
requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.7.

### RECORD SOURCE CATEGORIES: 

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

## Appendix to 18-04-02 Additional System Locations

Office of the Secretary, U.S. Department of Education, 400 Maryland
Avenue, SW, room 7C122, Washington, DC 20202.

Office of the Deputy Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 7W310, Washington, DC 20202.

Office of the Under Secretary, U.S. Department of Education, 400
Maryland Avenue, SW, room 6W300, Washington, DC 20202.

Office of Postsecondary Education, U.S. Department of Education, Seventh
and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.

Office of the Chief Financial Officer, U.S. Department of Education, 400
Maryland Avenue, SW, room 4E223, Washington, DC 20202.

Office of Educational Research and Improvement, 555 New Jersey Avenue,
NW, room 602E, Capitol Place, Washington, DC 20208.

Office of Special Education and Rehabilitative Services, U.S. Department
of Education, 330 C Street, SW, Room 3613, Switzer Building, Washington,
DC 20202.

Office of Vocational and Adult Education, U.S. Department of Education,
330 C Street, SW, room 4064, Switzer Building, Washington, DC 20202.

Office of the General Counsel, U.S. Department of Education, 400
Maryland Avenue, SW, room 6C142, Washington, DC 20202.

Office of Management, U.S. Department of Education, 400 Maryland Avenue,
SW, room 2W211, Washington, DC 20202.

Office of Inspector General, U.S. Department of Education, 330 C Street,
SW, room 4200, Switzer Building, Washington, DC 20202.

Office of Elementary and Secondary Education, U.S. Department of
Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202.

Office of Public Affairs, U.S. Department of Education, 400 Maryland
Avenue, SW, room 7E201, Washington, DC 20202.

Office of Student Financial Assistance, U.S. Department of Education,
Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.

Office for Civil Rights, U.S. Department of Education, 330 C Street, SW,
room 5424, Switzer Building, Washington, DC 20202.

Office of Bilingual Education and Minority Affairs, U.S. Department of
Education, 330 C Street, SW, room 5616, Switzer Building, Washington, DC
20202.

Office of Educational Research and Improvement, U.S. Department of
Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC 20202.

Office of Legislation and Congressional Affairs, U.S. Department of
Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC 20202.

Region I: U.S. Department of Education, John W. McCormack P.O. and
Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557.

Region II: U.S. Department of Education, 75 Park Place, 12th Floor, New
York, NY 10278-0043.

Region III: U.S. Department of Education, 3535 Market Street, Room
16350, Philadelphia, PA 19104-3398.

Region IV: U.S. Department of Education, 61 Forsyth Street, SW., Suite
19T40, Atlanta, GA 30303.

Region V: U.S. Department of Education, 111 N. Canal Street, Suite 1094,
Chicago, IL 60606.

Region VI: U.S. Department of Education, 1200 Main Tower Building,
#2260, Dallas, TX 75202-4309.

Region VII: U.S. Department of Education, 10220 N. Executive Hills
Blvd., 8th Floor, Kansas City, MO 64153-1367.

Region VIII: U.S. Department of Education, Federal Office Building, 1244
Speer Blvd., Room 300, Denver, CO 80204-3582.

Region IX: U.S. Department of Education, 50 United Nations Plaza, San
Francisco, CA 94102.

Region X: U.S Department of Education, room 3362, Mail Code 10-9060, 915
2nd Avenue, Seattle, WA 98174-1099.

Metro Region: U.S. Department of Education, Office for Civil Rights,
1100 Pennsylvania Avenue, NW., Washington, DC 20044.

Additional System Managers

Region I: Deputy Regional Director, U.S. Department of Education, John
W. McCormack PO and Courthouse, Room 540, Post Office Square, Boston, MA
02105-4557.

Region II: Secretary\'s Regional Representative, U.S. Department of
Education, 75 Park Place, 12th Floor, New York, NY 10278-0043.

Region III: Assistant to the Secretary\'s Regional Representative, U.S.
Department of Education, 3535 Market Street, Room 16350, Philadelphia,
PA 19104-3398.

Region IV: Deputy Secretary\'s Regional Representative, U.S. Department
of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303.

Region V: Secretary\'s Regional Representative, U.S. Department of
Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606.

Region VI: Administrative Officer, U.S. Department of Education, 1200
Main Tower Building, #2260, Dallas, TX 75202-4309.

Region VII: Secretary\'s Regional Representative, U.S. Department of
Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO
64153-1367.

Region VIII: Secretary\'s Regional Representative, U.S. Department of
Education, Federal Office Building, 1244 Speer Blvd., room 300, Denver,
CO 80204-3582.

Region IX: Secretary\'s Regional Representative, U.S. Department of
Education, 50 United Nations Plaza, San Francisco, CA 94102.

Region X: Secretary\'s Regional Representative, U.S. Department of
Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA
98174-1099.

Metro Region: Program Specialist, Office for Civil Rights, U.S.
Department of Education, 1100 Pennsylvania Avenue, NW, Washington, DC
20044.

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

(66 FR 46689-46690)

[[]{#Notice180403 .anchor}18-04-03](#Backto180403) September 6, 2001

## SYSTEM NAME:

ED Web Personalization Pilot Data Collection.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION(S):

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

All users of the U.S. Department of Education web site
([www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov))
who choose to personalize the web site.

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice (DOJ)
and the Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(2\) [Disclosure to the DOJ]{.underline}. The Department may disclose
records to the DOJ to the extent necessary for obtaining DOJ advice on
any matter relevant to an audit, inspection, or other inquiry related to
the programs covered by this system.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity

where the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(7\) [Disclosure for Use By Law Enforcement Agencies]{.underline}. The
Department may disclose information to any Federal, State, local or
foreign agency or other authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative or prosecutive responsibility
within the entity\'s jurisdiction.

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

### STORAGE:

System records will be maintained on a database server as part of the
[www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov)
web site, and are backed up and archived onto electronic storage media.

### RETRIEVABILITY:

Each record in this system is indexed and retrieved by a personal ID and
password that is created by the user of the
[www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov)
web site.

### SAFEGUARDS:

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

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

All physical access to the U.S. Department of Education web site and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or visitor
badge.

The computer system employed by the U.S. Department of Education offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to the Department, and contract staff
on a \"need to know\" basis, and controls individual users\'ability to
access and alter records within the system.

### RETENTION AND DISPOSAL:

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

### SYSTEM MANAGERS AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, you may gain access to the system via the
[www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov)
web site, or by contacting the system administrator through the
<webmaster@inet.ed.gov> email address. Requests for notification about
an individual must meet the requirements of the regulations at 34 CFR
5b.5. Individuals may also present their requests in writing or in
person at any of the locations identified for this system of records.

### RECORD ACCESS PROCEDURES:

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

### CONTESTING RECORD PROCEDURES:

If you wish to change the content of a record in this system of records,
you may gain access to the system and alter the record via the
[www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov)
web site and the system edit and update function. If you wish to contest
the content of a record, contact the system manager by following the
directions described in the Notification Procedure. Requests to amend a
record must meet the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in this system is obtained from customers who use the
[www.ed.gov](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.ed.gov)
web site and complete the optional web site personalization. The
personalization form provides the information contained within the
system.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-05-01 Departmental Parking Control Policy 

(64 FR 30122-30123)

[[]{#Notice180501 .anchor}18-05-01](#Backto180501) June 4, 1999

## SYSTEM NAME: 

Departmental Parking Control Policy.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system includes the following information on all persons applying
for a parking permit: Name, office room number, office phone number,
agency, home address, and automobile license number.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

63 Stat. 377;41 CFR 101-20.111.

## PURPOSE(S): 

The information contained in this system is used to: (1) Provide
standards for apportionment and assignment of parking spaces on
Department-managed and Department-controlled property and on property
assigned to the Department by the General Services Administration or any
other Agency, and (2) allocate and check parking spaces assigned to
government vehicles, visitors, handicapped personnel, executive
personnel, carpool and van pools and others.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Congressional Member Disclosure]{.underline}. The Department may
disclosure records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(2\) [Litigation and Alternative Dispute Resolution (ADR)]{.underline}

[Disclosure]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

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

\(3\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(4\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

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

### STORAGE: 

Records are stored in binders in file cabinets.

### RETRIEVABILITY: 

Records are filed alphabetically by location.

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

Superseded policy materials are maintained by the Director, Quality
Workplace Group for historical purposes. Records at other Department
locations are maintained until the Parking Control purpose has been met,
and the records are then destroyed.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in this
system of records, provide the system manager with your name, social
security number, agency and office and the location where Department
parking is provided. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

Same as Notification Procedure. Requesters should also reasonably
specify the record contents sought. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES: 

Contact the system manager at the address specified under notification
procedure above, and reasonably identify the record and specify the
information to be contested. Your request must meet the requirements of
the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system are obtained from reports submitted by
Department Staff, Principal Offices and Regional Offices, GSA-Federal
Management circulars and Federal Property Management Regulations.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

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

(64 FR 30123-30124)

[[]{#Notice180502 .anchor}18-05-02](#Backto180502) June 4, 1999

## SYSTEM NAME: 

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

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who have made inquiries or who have filed complaints
alleging violations of provisions in FERPA and PPRA; and those who have
commented to the Department on its proposed rules and practices.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of correspondence alleging violations of FERPA and
PPRA as well as comments submitted to the Department on its proposed
rules and practices.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Member of Congress Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested.

\(2\) [Educational Agency or Institution]{.underline}. The Department
may disclosure records from this system of records to an educational
agency or institution against which a complaint has been made.

\(3\) [State Educational Agency]{.underline}. The Department may
disclose records to a State educational agency relative to an
educational agency or institution in that State against which a
complaint has been filed.

\(4\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(5\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to FERPA or PPRA
investigations or other enforcement responsibilities under FERPA or
PPRA;

\(6\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(9\) [Litigation and Alternative Dispute Resolution (ADR)]{.underline}

[Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

Inquiry records are maintained a minimum of three years; complaint and
investigative records are maintained a minimum of five years after the
case is closed.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-05-03 Federal Personnel Payroll System

(64 FR 72389-72391)

[[]{#Notice180503 .anchor}18-05-03](#Backto180503) December 27, 1999

## SYSTEM NAME: 

Federal Personnel Payroll System

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on all employees of U.S. Department of
Education, the National Commission of Library and Learning and the
National Goals Panel.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of a variety of records relating to pay and leave
determinations made about each employee of the Department of Education,
the National Commission of Library and Learning and the National Goals
Panel, including the name of the employee, the employee\'s date of
birth, social security number, home address, grade, employing
organization, timekeeper number, salary, Civil Service retirement fund
contributions, pay plan, number of hours worked, annual and sick leave
accrual rate and usage, annual and sick leave balance, FICA
withholdings, Federal, state, and local tax withholdings, Federal
Employees Government Life Insurance withholdings, garnishment documents,
savings allotments, union and management association dues withholding,
savings bonds allotments, and Combined Federal Campaign allotments.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The records in this system are maintained in order to facilitate fiscal
operations for payroll, attendance, leave, insurance, tax, retirement
and cost accounting programs; and to prepare related reports to other
Federal agencies including the Department of the Treasury and the Office
of Personnel Management.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, THE DEPARTMENT may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to an a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

\(13\) [Payroll Disclosure]{.underline}. The Department may disclose
records to the Department of the Treasury for preparation of payroll
checks, payroll deductions, U.S. Saving bonds, and other checks to
Federal, State, and local government agencies, non-governmental
organizations and individuals.

\(14\) [Tax Disclosure]{.underline}. The Department may disclose records
to the Internal Revenue Service and to state and local government
agencies having taxing authority in order to prepare W-2 Forms.

\(15\) [Personnel Management Disclosure]{.underline}. The Department may
disclose records to the Office of Personnel Management, Merit Systems

Protection Board, Equal Employment Opportunity Commission, and the
Federal Labor Relations Authority (including the General Counsel of the
Authority and Federal Service Impasses Panel) to carry out their
functions.

\(16\) [Workers\' Compensation Disclosure]{.underline}. The Department
may disclose records to the Department of Labor to make a compensation
determination in connection with a claim filed by an employee for
compensation on account of a job-connected injury or disease.

\(17\) [Wage Garnishment Disclosure]{.underline}. The Department may
disclose records to the IRS in order to respond to orders from IRS for
garnishment of an employee\'s pay for Federal income tax purposes.

\(18\) [Unemployment Compensation Disclosure]{.underline}. The
Department may disclose records to state offices of unemployment
compensation in connection with claims filed by former Department
employees for unemployment compensation.

\(19\) [Association Dues Disclosure]{.underline}. The Department may
disclose records to financial organizations designated to receive labor
organization or management association dues withheld from an employee\'s
pay, in order to account for the amounts of the withheld dues which they
receive.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE: 

Records are maintained on electronic media and in hard copy.

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

Access to and use of these records are limited to personnel whose
official duties require such access. Personnel screening is employed to
prevent unauthorized disclosure. All physical access to the
Department\'s sites, and the sites of Department contractors where this
system of records is maintained, is controlled and monitored by security
personnel who check each individual entering the building for an
employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \"need to know\"
basis, and controls individual users\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with user defined password. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

Records submitted by the individual, such as allotment authorization
forms, home address forms, and tax withholding forms are retained until
superseded by new updated transactions whether electronically or paper,
or until the individual leaves the Department. Some of these records
must be retained for an additional period, or forwarded to the new
employing agency. Records are retired to the Federal Personnel Records
Center and subsequently disposed of in accordance with the General
Records Schedules issued by the National Archives and Records
Administration.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the executive officer in your office. Your
request must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record regarding you in the system of
records, contact the executive officer in your office. Your request must
meet the requirements of the Department\'s Privacy Act regulations at 34
CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record regarding you in the
system of records, contact the executive officer in your office. Your
request must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-05-04 Discrimination Complaints Records System 

(64 FR 30124-30125)

[[]{#Notice180504 .anchor}18-05-04](#Backto180504) June 4, 1999

## SYSTEM NAME: 

Discrimination Complaints Records System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals\--employees as well as
applicants for employment\--or groups of individuals who have filed
Equal Employment Opportunity (EEO) complaints of discrimination on the
basis of race, color, religion, sex (including sexual harassment or
sexual orientation), national origin, age, disability, or reprisal for
having engaged in a prior EEO activity.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system of records consists of records concerning the Department\'s
formal complaints of discrimination processes, including counselor\'
reports, the initial allegations and efforts at resolution, letters or
notices to the individual or class agent, materials placed into the
record to support or refute the decision or determination, statements to
witnesses, investigative reports, instructions about action to be taken
to comply with decisions, and related correspondence, opinions and
recommendations.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The Equal Employment Opportunity Group uses the information contained in
this system to adjudicate complaints or appeals, to provide a basis for
a corrective action related to the discrimination situation and as a
data source for management information for production of descriptive
statistics and analytical studies.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department (Department) may disclose information contained in a
record in this system of records under the routine uses listed in this
system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Act, under a computer matching agreement.

\(1\) [Disclosure to OMB, MSPB and EEOC]{.underline}. The Department may
disclose records to the Office of Personnel Management, Merit Systems
Protection Board (including its Office of the Special Counsel), or the
Equal Employment Opportunity Commission for the purpose of carrying out
their functions.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event of litigation where one
of the parties listed below is involved in litigation or ADR, or has an
interest in litigation ADR, the Department may disclose certain records
to the parties described in paragraphs (b), (c) and (d) of this routine
use under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to directly affect the Department or any of its
components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

The records are indexed by formal complaint case numbers, and
cross-referenced by a separate log identifying the names of the
individuals or class agents on whom they are maintained.

### SAFEGUARDS: 

Access to and use of these records are limited to those persons whose
official duties require access. Physical security of the file room and
entire office area involves lockable entry doors with off-the-master
keys.

### RETENTION AND DISPOSAL: 

The complaint cases of discrimination may be retired to the Federal
Records Center three years after their final disposition through the
administrative (and judicial, as applicable) processes.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine if a record exists regarding you in this system
of records, contact the system manager at the address listed above. You
should include your name, date of birth, Departmental principal office
in which the situation arose, the approximate date, and the type of
action taken. Your request must meet the requirements of the regulations
at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to records regarding you in this system of
records, follow the procedures described above under Notification
Procedure. You should also reasonably specify the record contents being
sought. Your request must meet the requirements of the regulations at 34
CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest information contained in this system of records,
you should contact the system manager at the address listed above. You
should reasonably identify the record and specify the information to be
contested. Your request should satisfy the requirements of the
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system is obtained from individuals to whom the
record pertains, Department officials or other officials, statements
from employees or other witnesses, official documents pertinent to the
complaint and correspondence from specific organizations or persons.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

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

(64 FR 30125-30127)

[[]{#Notice180505 .anchor}18-05-05](#Backto180505) June 4, 1999

## SYSTEM NAME: 

Grievances Filed Formally Under the Administrative Grievance Procedure.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on non-bargaining unit employees of the
Department regardless of type of appointment, who individually or as a
group, request personal relief in a matter of concern or dissatisfaction
which is subject to the control of Department management. This includes
former employees of the Department for whom a remedy can be provided as
well as applicants.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

Information or documents relating to the grievance and personal relief
sought, materials used in consideration of the grievance, and
correspondence related to disposition of the grievance, including but
not limited to the formal grievance, fact finder\'s report, final
decision, and all other related documents.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302.

## PURPOSE(S): 

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

Any Department employee in his or her official capacity; or

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE:

Records are maintained in hard copy stored in file folders, on computers
and in handwritten logs for Human Resources. Summary data of records are
also maintained in a computerized tracking system.

### RETRIEVABILITY: 

Records are indexed alphabetically by organization and year. SAFEGUARDS:

Access to and use of these records are limited to those persons with a
\"need-to-know\" and whose official duties require such access.
Personnel screening is employed to prevent unauthorized disclosure.
Computers are password protected for individuals with access. All data
bases are designed with stringent security measures to control
individual users\' ability to access and alter records within the
system.

### RETENTION AND DISPOSAL: 

Records are retained for three (3) years after the grievance case is
closed, and are then destroyed, as set forth in the General Records
Schedule 1, Civilian Personnel Records, Item 30(a).

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Human Resources Group, Office of Management, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 2E314, Washington, DC
20202.

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to records regarding you in this system of
records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is supplied from the following
sources: Directly by the individual filing the grievance, from
information supplied by the individual, by testimony of witnesses,
employee representatives, Department employees or officials.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

## Appendix to 18-05-05 Additional System Locations and System Managers

Director, Human Resources Group, Office of Management, U.S. Department
of Education, 400 Maryland Avenue, SW., Washington, DC 20202.

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

U.S. Department of Education, Regional Personnel Office O\'Neill Federal
Building, 10 Causeway Street, Room 1095 Boston, MA 02222.

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

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

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

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

U.S. Department of Education, Regional Personnel Office 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.

U.S. Department of Education, Regional Personnel Office 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.

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

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

U.S. Department of Education, Regional Personnel Office 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.

# 18-05-06 Grievance Records Filed under Procedures Established By Labor-Management Negotiations 

(64 FR 30127-30129)

[[]{#Notice180506 .anchor}18-05-06](#Backto180506) June 4, 1999

## SYSTEM NAME: 

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

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on present and past bargaining unit
employees of the Department covered by the Collective Bargaining
Agreement between the Department and American Federation of Government
Employees Council 252.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system of records consists of a variety of records relating to an
employee\'s grievance filed under procedures established by
labor-management negotiations including employee\'s name, Social
Security number, grade, job title, testimony of witnesses, material
placed into the record to support the decision, the arbitrator\'s
decision, the arbitrator\'s report, and a record of an appeal to the
Federal Labor Relations Authority.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

U.S.C. 7101.

## PURPOSE(S):

The information in this system is used to make determinations and to
document a decision made on a grievance filed by an employee under the
negotiated grievance procedures. Information from this system may be
used by Department officials for preparing statistical summary or
management reports.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Agency Disclosure]{.underline}. The Department may disclose
information from this system to the Office of Personnel Management,
Merit Systems Protection Board (including its Office of Special
Counsel), Equal Employment Opportunity Commission, and the Federal Labor
Relations Authority (including the General Counsel of the Authority and
the Federal Systems Impasses Panel) to facilitate their administrative
or enforcement functions.

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(7\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

\(8\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;

\(vi\) The arbitrator that the Department and AFGE Council 252 contracts
to hear arbitration hearings as the result of invocation of arbitration
under the collective bargaining agreement between them.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE:

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

### RETRIEVABILITY:

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

### SAFEGUARDS: 

When not in use by authorized persons, these records are stored in metal
file cabinets stored within the secured suite of the Labor Relations
Group. Access to and use of these records are limited to personnel who
have a need for the records in the performance of their duties.

### RETENTION AND DISPOSAL: 

Records are destroyed 5 years after final resolution of case.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name,
approximate date of grievance, and management component and/or
individual against whom the grievance was filed. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR

5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is obtained directly from
information supplied by the individual; testimony of witnesses, union
officials, or by Department officials.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-05-07 Unfair Labor Practice Records 

(64 FR 30129-30130)

[[]{#Notice180507 .anchor}18-05-07](#Backto180507) June 4, 1999

## SYSTEM NAME: 

Unfair Labor Practice Records.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system of records consists of a variety of records relating to an
unfair labor practice charge including the employee\'s name, Social
Security number, grade, job title, employment history and a variety of
work and personnel records associated with the charges and required
under proceedings established by 5 U.S.C. 7101 and Department of Labor
Regulations.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 7101.

## PURPOSE(S): 

The information in this system is used in the processing, investigation
and litigation of unfair labor practice charges that may be filed by the
AFGE Council 252, any of the AFGE Local offices located at Department
Headquarters and each of 10 regional offices and by bargaining unit
employees of the Department.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Agency Disclosure]{.underline}. The Department may disclose
information from this system to the Office of Personnel Management,
Merit Systems Protection Board (including its Office of Special
Counsel), Equal Employment Opportunity Commission, and the Federal Labor
Relations Authority (including the General Counsel of the Authority and
the Federal Systems Impasses Panel) to facilitate their administrative
or enforcement functions.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;

\(vi\) The arbitrator that the Department and AFGE Council 252 contracts
to hear arbitration hearings as the result of invocation of arbitration
under the collective bargaining agreement between them.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

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

### STORAGE: 

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

### RETRIEVABILITY:

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

### SAFEGUARDS: 

When not in use by authorized persons, these records are stored in metal
file cabinets stored within the secured suite of the Labor Relations
Group. Access to and use of these records are limited to personnel who
have a need for the records in the performance of official duties.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name,
approximate date of record, the unfair labor practice charges as
specified by the complainant, and management component against which the
charge was filed. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in this system of records is:

\(1\) Supplied directly by the individual; or

\(2\) Derived from information supplied by the individual; or

\(3\) Supplied by testimony of witnesses; or

\(4\) Supplied by Department officials.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-05-08 Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education 

(64 FR 30130-30131)

[[]{#Notice180508 .anchor}18-05-08](#Backto180508) June 4, 1999

## SYSTEM NAME: 

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

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION: 

Labor Relations Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202-4754. See the
Appendix at the end of this system notice for additional system
locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on current and former Department
professional and nonprofessional employees who are non-temporary,
non-schedule C, non-supervisory and non-managerial employees and union
officials who report use of official time as defined under the Federal
Service Labor-Management Relations Statute, 5 U.S.C. 7101.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system of records consists of the individual employees\' Department
Flexible Schedule Certification Form and the electronic transcript of
the number of hours attributable for each pay period into an active
accounting of total hours used by each individual employee to be
reported to authorized Executive Branch agencies and to the Congress as
requested.

## AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM: 

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

## PURPOSE(S):

The information contained in this system is used to determine compliance
with the collective bargaining agreement between the U.S. Department of
Education and the American Federation of Government Employees\' Council
of Education Locals, No. 252 under the FSLMRS and to produce reports as
may be required by the Congress.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Agency Disclosure]{.underline}. The Department may disclose
information from this system to the Office of Personnel Management,
Merit Systems Protection Board (including its Office of Special
Counsel), Equal Employment Opportunity Commission, and the Federal Labor
Relations Authority (including the General Counsel of the Authority and
the Federal Systems Impasses Panel) to facilitate their administrative
or enforcement functions.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components;

\(vi\) The arbitrator that the Department and AFGE Council 252 contracts
to hear arbitration hearings as the result of invocation of arbitration
under the collective bargaining agreement between them.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Records are retrievable by name.

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name,
approximate date of grievance, and management component or individual or
both against whom the grievance was filed. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is:

\(1\) Supplied directly by the individual, or

\(2\) Supplied by union officials, or

\(3\) Supplied by Department officials.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

## Appendix to 18-05-08 Additional System Locations

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

Informal Dispute Resolution Center, Office of Hearings and Appeals, U.S.
Department of Education, L\'Enfant Plaza, Room 2100A, Washington, DC
20202.

Regional Personnel Office, U.S. Department of Education, O\'Neill
Federal Building, 10 Causeway Street, Room 1095, Boston, MA 02222.

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

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

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

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

Regional Personnel Office, U.S. Department of Education, 1999 Bryan
Street, Suite 2710, Dallas, TX 75201-6817.

Regional Personnel Office, U.S. Department of Education, 10220 North
Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153.

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

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

Regional Personnel Office, U.S. Department of Education, 915 Second
Avenue, Room 3388, Seattle, WA 98174-1099.

# 18-05-09 Voluntary Leave Transfer (VLT) Program 

(64 FR 30131-30133)

[[]{#Notice180509 .anchor}18-05-09](#Backto180509) June 4, 1999

## SYSTEM NAME: 

Voluntary Leave Transfer (VLT) Program.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on Department of Education employees
seeking voluntary donations of annual leave from other federal employees
in order to cover leave shortfalls brought about by documented medical
emergencies.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of written applications of employees seeking
assistance from the program, medical statements certifying need, agency
approvals or denials, leave donation records, leave transfer records,
supervisor/timekeeper approvals, payroll notification records, leave
program termination records, and other related documents. Most of these
records contain individual Social Security numbers.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The information contained in this system is used for the purposes of
determining program eligibility and for documenting voluntary transfers
of leave to program recipients.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Program Disclosures]{.underline}. The Department may disclose
records to

\(1\) the Office for Personnel Management in order to respond to
requests for information or other official inquiries; and (2) the staff
of the Department of Interior responsible for preparation of payroll
documents,

\(2\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(3\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(4\) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity\'s jurisdiction.

\(5\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(6\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to the Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Records are retrievable by name of program recipient.

### SAFEGUARDS: 

Access to and use of these records are limited to personnel whose
official duties require such access. Personnel screening is employed to
prevent unauthorized disclosure.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name,
approximate date of grievance, and management component and/or
individual against whom the grievance was filed. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager at the above address. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of records regarding you in this
system, contact the system manager at the above address and reasonably
identify the record and specify the information contested. Your request
must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is provided by the individual to
whom it applies, is derived from information he or she supplied or is
obtained from information supplied by others.

### SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:

None.

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

(64 FR 30133-30135)

[[]{#Notice180510 .anchor}18-05-10](#Backto180510) June 4, 1999

## SYSTEM NAME: 

General Performance Appraisal System (GPAS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Human Resources Group, Office of Management, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 2E300, Washington, DC
20202-4737.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The U.S. Department of Education (Department), General Performance
Appraisal System (GPAS) contains the performance appraisal of all
Department employees in General Schedule (GS), General Merit (GM),
Administratively Determined (AD), and prevailing rate plans.

## CATEGORIES OF RECORDS IN THE SYSTEM:

The Department GPAS software holds two categories of data on employees
participating in Department\'s performance appraisal process. These
records include:

\(1\) Personnel data, such as name, social security number,
organizational entity, supervisor, position title, series and grade; and

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

Hard copies of an employee\'s GPAS Employee Performance Agreement,
Rating of Record, and any required comments are maintained in an
Employee Performance File (EPF). These files are located in cabinets in
a locked secure room with Department employees\' Official Personnel
Folders.

Hard copies of the \"Summary Evaluation and Comments Reports\" are
generated by the GPAS System/Group Administrator. These reports are
treated with utmost confidentiality. They are provided to the
employee\'s supervisor and shared with the employee, approving official
and with other appropriate management employees on a \"need-to-know\"
basis. The GPAS System/Group Administrator retains a hard copy of the
Summary and Comments Reports for each employee for one year.

The GPAS System/Group Administrator maintains hard copies of the
feedback and comments reports for one year.

Hard copies of the GPAS Employee Performance Agreement, Rating of
Record, and any required comments are maintained in the employee\'s
Employee Performance File for four years.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The information in this system is used to generate feedback reports on
employees which are taken into consideration when the employee\'s
supervisor provides the summary rating incorporated in the \"Rating of
Record,\" which is the official rating document placed in an employee\'s
Employee Performance File (EPF).

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purpose for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under a
computer matching agreement.

\(1\) [Employment-Related Disclosures]{.underline}. The Department may
disclose records to Department supervisors and other management
personnel on a "need-to-know" basis. The records may be used as a basis
for, or in conjunction with, Reduction-in-Force, performance-based
actions, within-grade actions, adverse actions, decisions regarding
retention of employees during probationary period, recognition,
promotions, reassignments and other appropriate personnel actions. When
the Official Personnel Folder (OPF) and EPF of a GPAS employee are sent
to another agency or to the National Personnel Records Center, the
Servicing Personnel Office shall include all Ratings of Record that are
four years old or less, any required comments, and the associated GPAS
Employee Performance Agreements in the EPF.

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to an
arbitrator or another agency of the Federal Government if the record is
relevant to one of the following proceedings regarding a present or
former employee of the Department: complaint, grievance, discipline or
competence determination proceedings. The disclosure may only be made
during the course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

The Department GPAS electronic records reside on a single dedicated
computer that is housed in a secure area. The GPAS System Administrator
retains for one year a hard copy of each employee\'s \"Summary Appraisal
Report,\" \"Summary Evaluation Report,\" and any Comments Reports. These
are housed in locked file cabinets in the GPAS unit at the Department.
Hard copies of Ratings of Records, GPAS Employee Performance Agreements
and any related required comments are stored in an employee\'s EPF in a
locked room.

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

All physical records are maintained in locked file cabinets. Employees
have access to the GPAS software at their workstations, controlled by
passwords that the employees designate. If individuals walk into
employees\' work area while employees are using the GPAS software, the
software includes a Hide key so that the evaluations will not be
compromised. System and group administrators maintain the GPAS software.
These individuals are the only individuals who have access to the entire
database. They do not have employees\' passwords, but have the ability
to change the passwords upon request. The database is protected by
stringent security mechanisms that include a combination of hardware,
operating system, application software, database software, and
procedures. All physical access to the Department site, and the sites of
Department contractors where this system of records are maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

### RETENTION AND DISPOSAL:

An employee\'s records remain in the GPAS database until employment with
the Department is terminated. Some data is housed temporarily in the
GPAS database during each of the Department\'s annual and midpoint
reviews or surveys during which new data is entered directly into the
GPAS system by the employee and their evaluation team members and
accumulates over the course of the review process. An employee\'s GPAS
Employee Performance Agreement, which identifies their performance
elements and standards, and the \"Rating of Record,\" Department\'s
official performance review document, are kept in the employee\'s EPF
for four years. If the employee leaves the Department prior to the end
of the 4 years, the GPAS records are forwarded to either the National
Personnel Records Center or the agency to which the employee
transferred.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Human Resources Group, Office of Management, U.S. Department
of Education, 400 Maryland Avenue, SW., FB-6, Room 2E300, Washington, DC
20202-4737.

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

### NOTIFICATION PROCEDURE: 

If an employee wishes to determine whether a record exists regarding
them in the system of records, the employee should provide the system
manager with his name (including all names used) and social security
number. The request must meet the requirements of the regulations at
Title 5, Code of Federal Regulations, part 34 Sec. 5b.5, including proof
of identity. The employee may present a request in person at any of the
locations identified for this system of records or address it to the
appropriate system manager.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to the records regarding you in this system
of records, you should contact the system manager at the above address.
Your request must meet the regulations at 34 CFR 5b.5, including proof
of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record, you should contact the
system manager at the above address. Your request must meet the
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

## Appendix to 18-05-10 Additional System Locations and System Managers

Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 61 Forsyth Street, SW., Suite 18T55, Atlanta, GA 30303.

Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 111 N. Canal Street, Room 1084, Chicago, IL 60606.

Regional Personnel Officer, Human Resources Group, U.S. Department of
Education, 50 United Nations Plaza, Room 207, San Francisco, CA
94102-4987.

# 18-05-11 Training Registration and Information System (TRAINS)

(64 FR 30135-30137)

[[]{#Notice180511 .anchor}18-05-11](#Backto180511) June 4, 1999

## SYSTEM NAME: 

Training Registration and Information System (TRAINS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Training and Development Center, Office of Management, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 2W210, Washington, DC
20202.

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

TRAINS contains records of employees who register to attend training
classes within the Department or who request training with an outside
vendor for which approval and payment is required.

## CATEGORIES OF RECORDS IN THE SYSTEM:

TRAINS consists of records relating to an employee\'s applications for,
and participation in, Department training classes (internal training)
and training courses, conferences, or other training-related activities
offered by vendors or government agencies outside the Department
(external training). In addition to the employee\'s name, the system
contains the employee\'s Social Security Account Number, position level,
pay plan, grade, series, organization in which employed,
building/room/telephone number, service completion date, supervisor\'s
name, training requests, record of whether the employee attended or did
not attend the internal class, and record of approval by principal
office and cost of the external training, conference or training-related
activity.

For internal training use, TRAINS has tables of course names and
categories required to set up internal training classes and report the
statistics on training offerings (numbers of attendees for specific
courses during specific date parameters, for example).

TRAINS also contains tables of users\' identification information,
building addresses, room locations, and vendor names and addresses.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

TRAINS is used for the following purposes: (1) To track course
enrollments; (2) provide course rosters; (3) to produce attendance
records for employees who attend internal training classes; (4) to
produce reports on individual employees\' training activities; (5) to
produce reports on training activities conducted by individual
organizations within the Department; and (6) by employees to request
approval to attend training activities conducted outside the Department.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determi-nation proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

The records are maintained on a networked computer server with backup
procedures standard to all Department servers. Individual offices may
maintain a hard copy of the training requests. Since entries are made
and stored electronically, any hard copy records are kept following the
procedures and/or requirements of the individual principal office. The
Training and Development Center maintains hard copies of data such as
signed class rosters only until the TRAINS database is updated.

### RETRIEVABILITY: 

The system is indexed by Social Security number. The Training and
Development Center staff, designated employees, and contractors who
support the staff can access data in the system by employee name. Data
for reports are retrievable by information from tables such as
organization code and identifying codes for course names.

### SAFEGUARDS: 

All physical access to the Department of Education site, and the sites
of Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge. The
computer system employed by the Department of Education offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to Department of Education and contract staff
on a \"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. At a
program/server level all interactions by individual users with the
system are recorded. Utilities within the program can identify users\'
last logon and record changes made in registrations. There are four
categories of individuals who have some access to this system: training
coordinators, executive officers, TDC staff and designated employees and
contractors who support TDC activities and system administrators.

### RETENTION AND DISPOSAL: 

Records of individuals are in the system indefinitely. Employees whose
names are no longer in the personnel database are marked for archiving
within the system. A utility is available to reactivate the records of
an employee who returns to the Department.

### SYSTEM MANAGER(S) AND ADDRESS: 

Training and Development Group Director, Training and Development
Center, Office of Management, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 2W210, Washington, DC 20202-4614.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the training coordinator for your principal
office and provide the training coordinator with your name and social
security number. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity. You may also
present your request in person at any of the locations identified for
this system of records which include your specific organization or
address your request to the system manager at the address listed above.

### RECORD ACCESS PROCEDURES: 

You may request a copy of your student transcript from TRAINS through
the training coordinator for that organization. Managers may request
reports that may include the names of employees in that organization
from the training coordinator or principal office for that organization.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the information in this system pertaining to you,
you should contact the system manager at the above address. You will
need to provide specific information concerning any errors or omissions.
It should be noted that not all employee training is entered into TRAINS
and therefore cannot be tracked on the student transcript. Questions
about external training for which there is no record must be addressed
to the appropriate principal office.

### RECORD SOURCE CATEGORIES: 

The employee database is a subset of information from the Department\'s
employee payroll database. This provides the employee Social Security
number, name, grade, job series, and service completion date. Locator
information (building/room/phone number) is updated manually from
employee-provided information. Supervisor\'s name is updated manually
from employee-provided information. All information regarding external
training requests are provided by the employee requesting the training.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

## 

## Appendix to 18-05-11 Additional System Locations

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

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

L\'Enfant Plaza, 2100 Corridor, Washington, DC 20202.

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

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

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

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

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

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

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

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

Region VII, 10220 North Executive Hills Blvd., Kansas City, MO 64153.

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

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

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

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

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

Region X, 1000 Second Avenue, Seattle, WA 98174.

# 18-05-12 Grievances Filed Informally Through the Informal Dispute Resolution Center (IDR Center)

(64 FR 30137-30139)

[[]{#Notice180512 .anchor}18-05-12](#Backto180512) June 4, 1999

## SYSTEM NAME: 

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

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Informal Dispute Resolution Center, Office of Hearings and Appeals,
Office of Management, U.S. Department of Education, L\'Enfant Plaza,
Room 2100 A, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on non-bargaining unit employees of the
Department regardless of type of appointment, who individually or as a
group, request personal relief in a matter of concern or dissatisfaction
which is subject to the control of Department management. This includes
former employees of the Department for whom a remedy can be provided, as
well as applicants.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of IDR Center files.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302.

## PURPOSE(S): 

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ]{.underline}). The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

IDR Center records are indexed by docket number.

### SAFEGUARDS: 

Access to and use of these records are limited to those persons with a
\"need-to-know\" and whose official duties require such access.
Personnel screening is employed to prevent unauthorized disclosure.
Computers are password protected for individuals with access. All data
bases are designed with stringent security measures to control
individual users\' ability to access and alter records within the
system.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Act regulations at 34 CFR 5b.5, including proof
of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to records regarding you in this system of
records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is supplied from the following
sources: Directly by the individual filing the grievance, from
information supplied by the individual, by testimony of witnesses,
employee representatives and/or Department employees/officials.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-05-13 Child Care Subsidy Program System 

(65 FR 38266-38268)

[[]{#Notice180513 .anchor}18-05-13](#Backto180513) June 20, 2000

## SYSTEM NAME:

Child Care Subsidy Program System.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

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

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

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable

statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or

charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure.]{.underline}
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

### STORAGE

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

### RETRIEVABILITY:

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

### SAFEGUARDS:

All physical access to the Department site, and the sites of Department
contractors where this system of records is maintained, is controlled
and monitored by security personnel who check each individual entering
the building for his or her employee or visitor badge. The computer
system employed by the Department offers a high degree of resistance to
tampering and circumvention. This security system limits data access to
Department and contract staff on a need to know basis, and controls
individual users\' ability to access and alter records within the
system. All users of this system of records are given a unique user ID
with personal identifiers. All interactions by individual users with the
system are recorded.

### RETENTION AND DISPOSAL:

Records of individual are destroyed after five years.

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURES:

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

### RECORD ACCESS PROCEDURES:

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

### CONTESTING OF RECORDS PROCEDURES:

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

### RECORD SOURCE CATEGORIES:

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-05-14 Human Capital Learning and Performance Improvement System 

(69 FR 19171-19176)

[[]{#Notice180514 .anchor}18-05-14](#Backto180514) April 12, 2004

## SYSTEM NAME:

Human Capital Learning and Performance Improvement System (HCL&PIS).

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

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

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

-   Competency Development System,

-   Skills Assessment System,

-   Learning Tracks System,

-   Individual Development Plan System,

-   Learning Management System,

-   Knowledge Management System, and

-   Employee Learning Account System.

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

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

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

-   Mentoring Program System,

-   Employee Learning Accounts,

-   Tuition Reimbursement Program,

-   Leadership and Management Development Program,

-   Mobility Assignment Program,

-   Upward Mobility Program,

-   Evaluation System,

-   Certificate Program,

-   Career Intern Program, and

-   Presidential Management Fellows Program.

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

-   Career Counseling Services, and

-   Organizational Development Process.

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

-   Competency Development System,

-   Skills Assessment System,

-   Learning Tracks System,

-   Individual Development Plan System,

-   Mentoring Program System,

-   Learning Management System, and

-   Knowledge Management System.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

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

-   Skills Assessment System,

-   Learning Tracks System,

-   Individual Development Plan System,

-   Learning Management System,

-   Competency Development System,

-   Mentoring Program System,

-   Knowledge Management System,

-   Tuition Reimbursement Program,

-   Employee Learning Account,

-   Evaluation System,

-   Leadership and Management Development Program,

-   Career Counseling Service,

-   Organizational Development Process,

-   Mobility Assignment Program,

-   Upward Mobility Program,

-   Certificate Program, and

-   Career Intern Program/Presidential Management Fellows.

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

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

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

**PURPOSE(S):**

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

*Learning Management System (LMS)*

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

*Competency Development System (CDS)*

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

*Skills Assessment System (SAS)*

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

*Learning Tracks System (LTS)*

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

*Individual Development Plan (IDP) System*

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

*Mentoring Program System (MPS)*

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

*Knowledge Management System (KMS)*

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

*Tuition Reimbursement Program (TRP)*

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

*Employee Learning Account (ELA)*

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

*Evaluation System (ES)*

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

*Leadership and Management Development Program (LMDP)*

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

*Career Counseling Service (CCS)*

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

*Organizational Development Process (ODP)*

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

*Mobility Assignment Program (MAP)*

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

*Upward Mobility Program (UMP)*

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

*Certificate Program (CP)*

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

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

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

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:**

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

\(1\) [Enrollment and Payment Disclosure]{.underline}. The Department
may disclose a record in this system of records to course or learning
providers for enrollment purposes. Disclosures may also be made to
course or learning providers to ensure that appropriate payments are
being made to employees requesting reimbursement of their expenses.

\(2\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any of its components; or

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

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

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

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

\(b\) [Disclosure to DOJ]{.underline}. If the Department determines that
disclosure of certain records to the DOJ, or attorneys engaged by DOJ,
is relevant and necessary to litigation or ADR, and is compatible with
the purpose for which the records were collected, the Department may
disclose those records as a routine use to the DOJ.

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

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

\(3\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
In the event the Department deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the FOIA or other authority permitting disclosure of records,
disclosure may be made to DOJ or the Office of Management and Budget for
the purpose of obtaining advice.

\(4\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C 552a(m) with
respect to the records in the system.

\(5\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, Tribal, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute or executive order, or rule, regulation, or
order issued pursuant thereto.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose to a member of Congress the records of an individual in
response to an inquiry from the member made at the written request of
that individual. The member\'s right to the information is no greater
than the right of the individual who requested it.

\(7\) [Disclosure for Use By Law Enforcement Agencies]{.underline}. The
Department may disclose information to any Federal, State, local or
other agencies responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law or regulation if
that information is relevant to any enforcement, regulatory,
investigative or prosecutorial responsibility within the entity\'s
jurisdiction.

\(8\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the

matter.

\(9\) [Employee Grievance, Complaint, or Conduct
Disclosure]{.underline}. The Department may disclose a record in this
system of records to another agency of the Federal Government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: complaint, grievance,
discipline or competency determination proceedings. The disclosure may
only be made during the course of the proceeding.

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

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE:

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

**RETRIEVABILITY:**

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

**SAFEGUARDS:**

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

### RETENTION AND DISPOSAL:

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

**SYSTEM MANAGER(S) AND ADDRESS:**

Director, Human Resources Services, Training and Development Team,

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

### NOTIFICATION PROCEDURES:

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

### RECORD ACCESS PROCEDURES:

If an individual wishes to gain access to a record in this system, he or
she should contact the appropriate system manager and provide
information as described in the notification procedure. Requests by an
individual for access to a record must meet the requirements in 34 CFR
5b.5.

### CONTESTING OF RECORDS PROCEDURES:

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

### RECORD SOURCE CATEGORIES:

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

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

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

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

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

-   L\'Enfant Plaza, 2100 Corridor, Washington, DC 20202.

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

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

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

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

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

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

-   Region III, 100 Penn Square East, Philadelphia, PA 19107.

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

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

-   Region VI, 1999 Bryan Street, Dallas, TX 75201.

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

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

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

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

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

(67 FR 37412-37414)

[[]{#Notice180515 .anchor}18-05-15](#Backto180515) May 29, 2002

## SYSTEM NAME:

Student Loan Repayment Benefits Case Files.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES

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

\(1\) [Personnel Management Disclosure]{.underline}. The Department may
disclose as a routine use to OPM any records or information in this
system of records that OPM requests or requires pursuant to OPM\'s
oversight and regulatory functions.

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

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

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

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

\(6\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(7\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the Department requests representation for or has agreed to represent
the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

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

\(8\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(9\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: a complaint, a grievance, or a discipline or
competence determination proceeding. The disclosure may only be made
during the course of the proceeding.

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

\(11\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the program covered by this system.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) the name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE:

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

### RETRIEVABILITY:

Records are retrieved by the name of the individual.

### SAFEGUARDS:

Hard copy records are stored in a locked metal filing cabinet, with
access limited to personnel whose duties require access. Electronic
records are stored on computer diskette that is secured in a locked
metal filing cabinet, with access limited to personnel whose duties
require access. Personal computers used to view the electronic media are
password protected; passwords are changed periodically throughout the
year. All physical access to the building where this system of records
is maintained is controlled and monitored by security personnel who
check each individual entering the building for an employee or visitor
badge.

### RETENTION AND DISPOSAL:

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

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

If you wish to inquire whether a record exists regarding you in this
system, you should contact the system manager at the address listed
above. You must provide your name, name of organization, and subject
matter. Your request must meet the requirements of the Department\'s
Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

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

### CONTESTING RECORD PROCEDURES:

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

### RECORD SOURCE CATEGORIES:

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

18-05-17 **Investigatory Material Compiled for Personnel Security and
Suitability, Positive**

Identification Verification and Access Control for the Department of
Education Security Tracking and Reporting System (EDSTAR)

(72 FR 66158-66162)

[[]{#Notice180517 .anchor}18-05-17](#Backto180517) November 27, 2007

## SYSTEM NAME:

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

## SECURITY CLASSIFICATION:

None

## SYSTEM LOCATIONS: 

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

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

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

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

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## 

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

\(1\) Documentation as to his or her arrests and convictions for
violations of the law.

\(2\) Reporting as to interviews held with the individual, his or her
present and former supervisors, co-workers, associates, neighbors,
educators, etc.

\(3\) Correspondence relating to adjudication matters involving the
individual.

\(4\) Reports of inquiries made of law enforcement agencies for
information about the individual contained in the agencies' records.

\(5\) Information provided by organizations having association with the
individual, such as employers, educational institutions attended,
professional or fraternal or social organizations to which the
individual is or was a member, etc.

\(6\) Reports of action following an OPM investigation or a Federal
Bureau of Investigation Section 8(d) full field investigation.

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

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

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

\(10\) Other information developed from the previous sources.

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

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

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. The
Department may make these disclosures on a case-by-case basis or, if the
Department has complied with the computer matching requirements of the
Computer Matching and Privacy Protection Act of 1998, as amended, under
a computer matching agreement.

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

\(2\) [Enforcement Disclosure]{.underline}. The Department may disclose
relevant records to a Federal, State, local, foreign, or tribal entity
or other public authority responsible for the investigation,
prosecution, enforcement, or implementation of a statute, rule,
regulation, or order, when a record on its face or in combination with
any other information indicates a violation or potential violation of
law (whether civil, criminal, or regulatory in nature) if that
information is relevant to any enforcement, regulatory, investigative,
or prosecutorial responsibility of the receiving entity. It is Office of
Management policy not to disclose records under this routine use that
pertain to those questions for which the Office of Management has
promised confidentiality under SF-85P, Questionnaire for Public Trust
Positions.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records as a routine use to those employees.
Before entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5 U.S.C.
552a(m) with respect to the records in the system.

\(4\) [Litigation or Alternative Dispute Resolution (ADR)
Disclosure]{.underline}. (a) [Introduction]{.underline}. In the event
that one of the following parties is involved in litigation or ADR, or
has an interest in litigation or ADR, the Department may disclose
certain records to the parties described in paragraphs (b), (c), and (d)
of this routine use under the conditions specified in those paragraphs:

\(i\) The Department or any of its components.

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

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

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

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ or attorneys engaged by
DOJ is relevant and necessary to litigation or ADR and is compatible
with the purpose for which the records were collected, the Department
may disclose those records as a routine use to DOJ.

\(c\) [Adjudicative Disclosure]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear or to an individual
or entity designated by the Department or otherwise empowered to resolve
or mediate disputes is relevant and necessary to litigation or ADR and
is compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.

\(d\) [Disclosure to Parties, Counsel, Representative, or
Witnesses]{.underline}. If the Department determines that disclosure of
certain records to a party, an opposing counsel, representative, or
witness is relevant and necessary to litigation or ADR and is compatible
with the purpose for which the records were collected, the Department
may disclose those records as a routine use to a party, counsel,
representative, or witness.

\(5\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose information from this system of records to
DOJ for the purpose of obtaining advice regarding the releasability of
records maintained in this system of records under the FOIA and the
Privacy Act of 1974.

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

\(7\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information from this
system of records to any Federal, State, local or foreign agency or
other public authority responsible for enforcing, investigating, or
prosecuting violations of administrative, civil, or criminal law or
regulation if that information is relevant to any enforcement,
investigative, or prosecutorial responsibility within the receiving
entity\'s jurisdiction.

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

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

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

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

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

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

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

## POLICIES AND PRACTICES OF STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

## STORAGE: 

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

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

## RETRIEVABILITY: 

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

## SAFEGUARDS: 

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

In accordance with the Department's Administrative Communications System
(ACS) Directive OM: 5-101 entitled "Contractor Employee Personnel
Security Screenings," all contract and Department personnel who have
facility access and system access are required to undergo a security
clearance investigation. Individuals requiring access to Privacy Act
data are required to hold, at a minimum, a moderate-risk security
clearance level. These individuals are required to undergo periodic
screening at five-year intervals. In addition to undergoing a security
clearance investigation, contract and Department personnel are required
to complete security awareness training on an annual basis. This
training is required to ensure that contract and Department users are
trained appropriately in safeguarding Privacy Act data in accordance
with OMB Circular No. A-130, Appendix III.

Computer databases are kept on encrypted servers on an isolated virtual
local area network (V-LAN) that is not connected to any outside network
including the Internet. Database accessibility is restricted to hard
wire network connection from within the Office Management, Security
Services, and direct Integrated Services Digital Network (ISDN) line to
the Department of Justice (DOJ), or via secure portal to the Office of
Personnel Management (OPM). Authorized log-on codes and passwords
prevent unauthorized users from gaining access to data and system
resources. All users have unique log-on codes and passwords. The
password scheme requires that users must change passwords every 60 days
and may not repeat the old password.

Any individual attempting to log on who fails is locked out of the
system after three attempts. Access after that time requires
intervention by the system manager.

## RETENTION AND DISPOSAL:

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

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

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

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

## SYSTEM MANAGER(S) AND ADDRESS: 

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

## NOTIFICATION PROCEDURE: 

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

## RECORD ACCESS PROCEDURE:

If an individual wishes to gain access to a record in this system, he or
she must contact the system manager and provide information as described
in the notification procedure.

## CONTESTING RECORD PROCEDURE:

If an individual wishes to change the content of a record in the system
of records, he or she must contact the system manager with the
information described in the notification procedure, identify the
specific item or items to be changed, and provide a written
justification for the change, including any supporting documentation.
Requests to amend a record must meet the requirements of the regulations
in 34 CFR 5b.7.

## RECORD SOURCE CATEGORIES: 

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

\(a\) Investigative and other record material furnished by other Federal
entities, other departmental components, State, local, and foreign
governments;

\(b\) Applications and other personnel and security forms;

\(c\) Personal investigation, written inquiry, interview, and the
electronic accessing of computer databases of sources, such as the OPM
system of records known as Personnel Investigations Records
(OPM/Central-9), employers, educational institutions, references,
neighbors, associates, police departments, courts, credit bureaus,
medical records, probation officials, prison officials, DOJ, newspapers,
magazines, periodicals, and other publications; and

\(d\) Confidential sources.

## EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

\(1\) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.

\(2\) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of
and access to records and correction or amendment of records.

\(3\) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information
in the system notice about procedures for notification, access, and
correction of records.

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

\(1\) The disclosure of such information would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence; or

\(2\) The information was obtained prior to September 28, 1975 and the
disclosure of such information would reveal the identity of the source
under an implied promise that the identity of the source would be held
in confidence.

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

(70 FR 55817 -- 55518)

September 23, 2005

[]{#Notice180518 .anchor}

[18-05-18](#Backto180518)

## SYSTEM NAME: 

Education Publications Center (ED PUBS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutorial responsibility within the receiving entity\'s
jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. The Department may
disclose records from this system of records to an arbitrator to resolve
disputes under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive representation.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Supp]{.underline}ort. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

### STORAGE:

The records are retained in a computer database.

### RETRIEVABILITY:

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

### SAFEGUARDS:

Records in the system will be maintained in a secure password-protected
electronic system that will utilize security hardware and software to
include: firewalls to block external access to the system, the required
use of a unique user ID with personal identifiers, and the recording of
all interactions with the system. A maximum of one trusted individual
with a Department of Justice Civil clearance has system logon access.
This clearance is based on a National Agency Checks with Written
Inquiries and Credit (NACIC) review, equivalent to the Department\'s
moderate risk 5C clearance process. All physical access to the site of
the Department\'s contractor, where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or visitor
badge. The ED PUBS system has been granted Certification and Full
Accreditation in accordance with the Department\'s Certification and
Accreditation Program, and applicable Federal laws and policies.

### RETENTION AND DISPOSAL:

Records are deleted upon revision or update.

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

If you wish to access a record regarding you in the system of records,
contact the system manager. Your request must meet the requirements of
the Department\'s Privacy Act regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest a record regarding you in the system of records,
contact the system manager. Your request must meet the requirements of
the Department\'s Privacy Act regulations at 34 CFR 5b.7, including
proof of identity.

## RECORD SOURCE CATEGORIES:

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

## EXEMPTions claimed for the System:

None.

# 18-06-01 Federal Advisory Committee Membership Files 

(64 FR 30139-30140)

[[]{#Notice180601 .anchor}18-06-01](#Backto180601) June 4, 1999

## SYSTEM NAME: 

Federal Advisory Committee Membership Files.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who have been or are presently members of or are being
considered for membership on advisory committees or other committees
within the jurisdiction of the Department of Education.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records in this system consists of one or more of the following: Name,
title, sex, place and date of birth, home address, business address,
organizational affiliation, phone numbers, fax numbers, e-mail
addresses, degrees held, general educational background, ethnic
background, resume, curriculum vitae, dates of term on advisory
committee, status on advisory committee, reason for leaving advisory
committee, previous or current membership on other advisory committee,
special qualifications of the individual for the advisory committee or
other membership, source who recommended the individual for membership
on advisory and miscellaneous correspondence. Additionally, memoranda
justifying the individual\'s selection are included in the file in cases
in which the individual has served repetitively on advisory committees,
has not had a one-year break in service on advisory, or where various
statutory or other requirements for advisory committee membership cannot
be met.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The information in this system is used to evaluate and select
individuals for membership on advisory committees or other committees
within the jurisdiction of the Department.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Reporting Disclosures]{.underline}. The Department may disclose a
record to the President, the Office of Management and Budget, the
General Services Administration or to the General Accounting Office in
order to complete its reporting requirements under 41 CFR part 101-6.

\(2\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(3\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

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

### STORAGE: 

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

### RETRIEVABILITY: 

For the most part records are maintained in an alphabetical index by
name of the committees. Records from the system are available to the
staffs of the respective Advisory Committees and other Department staff
on a \"need-to-know\" basis. Uses include special administrative
reports; quarterly alphabetical listings of past, present and
recommended members of Advisory Committees; and other administrative
needs.

### SAFEGUARDS:

Direct access to records is restricted to authorized personnel through
locked files, rooms, and buildings, as well as building pass and
security guard sign-in systems.

### RETENTION AND DISPOSAL:

Retention is variable from one year to permanent retention depending
upon the type of record, e.g., names of former members of advisory
committees are retained permanently. Certain records are disposed of by
referral to the Federal Records Center. Others are disposed of as trash
by the system manager or office of security depending upon the
confidentiality of the information contained on the record.

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE: 

Same as above.

### RECORD ACCESS PROCEDURES: 

Same as notification procedures. Requestors should also reasonable
specify the record contents, being sought. These access procedures are
in accordance with Department Regulations (34 CFR 5b.5(a)(2)).

### CONTESTING RECORD PROCEDURES: 

Contact the official at the address specified under notification
procedures, and reasonably identify the record and specify the
information to be contested. (These procedures are in accordance with
Department Regulations (34 CFR 5b.7).)

### RECORD SOURCE CATEGORIES: 

The vast majority of information contained in records on individuals is
obtained directly from the individual. Other information in the form of
references and recommendations is obtained from other private
individuals, program personnel, biographical reference books, private
organizations, former employees, regional office of the Department,
Members of Congress, and other government sources.

Additionally the system of records contains information about members of
the public who have requested that they receive various publications
through the inclusion of their names and addresses on various mailing
lists.

Information maintained on those individuals who have requested
participation on mailing lists is limited to name and mailing address,
information maintained on individuals who are past, present, or
recommended

# 18-06-02 Telephone Directory/Locator System

(64 FR 30140-30141)

[[]{#Notice180602 .anchor}18-06-02](#Backto180602) June 4, 1999

## SYSTEM NAME: 

Telephone Directory/Locator System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains records such as first and last names, titles,
agency office addresses, program and principal office agency mailing
addresses, telephone numbers, fax numbers, e-mail addresses, and
standard administrative codes for departmental employees and other
individuals with access rights to the Department\'s Intranet. Names,
phone numbers, principal and program offices, office addresses (building
name, address, room number, region), and e-mail addresses are available
via the Department\'s website.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

Records are used to develop and maintain current employee locator and
directory listings. The locator listings are used by the Department
information centers, employees, mail rooms, and others specifically for
the purpose of locating employees and for routing mail. The directory
listings are used to produce departmental telephone directories on an as
needed basis.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE:

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

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

Data is edited by each employee online in real time. Therefore data can
change or be deleted each day. Once the employee leaves the Department,
all data is deleted from the database as the database only houses the
most current Departmental employee location data.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record regarding you exists in this
system, contact the system manager at the address provided above. Your
request must meet the requirements of the regulations at 34 5b.5,
including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to records regarding you in this system,
contact the system manager. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record regarding you, contact
the system managers. Your request must meet the requirements of the
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system is obtained from individual employee, the
Information Resource Center and the Chief Information Office.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-06-03 Presidential Scholars Program\--Files of Selected Participants 

(64 FR 72392-72393)

[[]{#Notice180603 .anchor}18-06-03](#Backto180603) December 27, 1999

## SYSTEM NAME: 

Presidential Scholars Program\--Files of Selected Participants.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

U.S. Department of Education, Office of Intergovernmental and
Interagency Affairs, Regional Services, Community Services, 400 Maryland
Avenue, SW., Washington, DC 20202-3500.

American College Testing, Inc., Recognition Program Services, 2255 North
Dubuque Road, Tyler Building, Iowa City, Iowa 52243-4030.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals covered by the system are participants in the Presidential
Scholars Program.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Information contained in the system includes the name, Social Security
number, address, and other biographical information provided by the
student, such as SAT/ACT scores, school transcripts, and essays.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order No. 11,555, 29 FR 6,909, 3 CFR 198 (1964).

## PURPOSE(S): 

The Presidential Scholars files are kept for purposes of the annual
selection of scholars and for historical archive purposes.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(7\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(8\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(9\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(10\) [Media Purposes]{.underline}. The Department may disclose records
from this system of records in order to promote the program and
recognition of local students. Partial file disclosures will be made on
a case-by-case basis to state and local governments, officials, and
institutions; congressional offices; and program sponsors and
affiliates.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETREIVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Records in this system are maintained in hard copy in paper files in
metal file cabinets and in data files on computers.

### RETRIEVABILITY:

The data is retrieved by name, Social Security number, state, high
school, and year of selection.

### SAFEGUARDS: 

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

The computer systems employed by the Department and contractors offer a
high degree of resistance to tampering and circumvention. These security
systems limit data access to Department and contract personnel on a
\"need to know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of these systems
are given a unique user ID and interactions by individual users with the
system are recorded.

### RETENTION AND DISPOSAL: 

Records are maintained for four years and are then destroyed.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Presidential Scholars Program, Office of Intergovernmental and
Interagency Affairs, U. S. Department of Education, 400 Maryland Avenue,
SW., Room 5E223, Washington, DC 20202-3500.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, you should provide the system manager your name,
Social Security number, and year of high school graduation. Your
requests for notification must meet the requirements in the
Department\'s Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, you should
contact the system manager and provide information described in the
notification procedure. Your requests for access to a record must meet
the requirements in the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
you should contact the system manager with the information described in
the notification procedure, identify the specific item(s) to be changed,
and provide a written request for the change. Your request to amend a
record must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.7, including proof of identity.

### RECORD SOURCE CATEGORIES: 

Information in this system of records is obtained from the individuals\'
applications, testing records of the American College Testing, Inc., and
the Educational Testing Service and questionnaires completed by school
officials at the request of the individual.

### EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

# 18-06-04 Satellite Event Participant Registration System 

(64 FR 72393-72395)

[[]{#Notice180604 .anchor}18-06-04](#Backto180604) December 27, 1999

## SYSTEM NAME: 

Satellite Event Participant Registration System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals and contact persons from
organizations that register for participation in selected events hosted
by the U.S. Department of Education (such as the monthly Satellite Town
Meeting) as well as individuals who have requested regular information
on such events.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of a variety of records including the name of the
individual, his or her e-mail address, telephone number, fax number,
mailing address, the name of organization with whom the individual is
affiliated, name of the technical satellite contact, the name of the
event, the event location and broadcast information.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1231a.

## PURPOSE(S): 

The information contained in this system is used to serve those
individuals and organizations participating in Department of Education
events and satellite broadcast events as well as to provide selected
information to the public about such events.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Press Disclosure]{.underline}. The Department may disclose
information from this system to potential viewers of the event or to the
press in order to provide a list of event participants. Such disclosures
are made only at the request of the event participants whose information
is disclosed.

\(2\) [Event Planning Disclosure]{.underline}. The Department may
disclose information from this system to government and non-government
entities involved with hosting or producing the event in order to assist
in the planning of the event.

\(3\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

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

\(5\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(6\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(7\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(8\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(9\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(10\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(11\) [Freedom of Information Act (FOIA) Advice
Disclosure]{.underline}. The Department may disclose records to the
Department of Justice and the Office of Management and Budget if the
Department concludes that disclosure is desirable or necessary in
determining whether particular records are required to be disclosed
under the FOIA.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Records are retrievable by all fields in the database.

### SAFEGUARDS: 

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

The computer systems employed by the Department and contractors offer a
high degree of resistance to tampering and circumvention. These security
systems limit data access to Department and contract personnel on a
"need to know" basis, and controls individual users' ability to access
and alter records within the system. All users of these systems are
given a unique user ID and interactions by individual users with the
system are recorded.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, you should provide the system manager your name,
Social Security number, and year of high school graduation. Your
requests for notification must meet the requirements in the
Department\'s Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record in this system, you should
contact the system manager and provide information described in the
notification procedure. Your requests for access to a record must meet
the requirements in the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
you should contact the system manager with the information described in
the notification procedure, identify the specific item(s) to be changed,
and provide a written request for the change. Your request to amend a
record must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.7, including proof of identity.

### RECORD SOURCE CATEGORIES: 

Information contained in the system are obtained from the event
participants as well as those individuals who have requested information
about the events.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-06-05 Partners in Education 

(67 FR 4642-4644)

[[]{#Notice180605 .anchor}18-06-05](#Backto180605) January 30, 2002

## SYSTEM NAME:

Partners in Education.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATIONS:

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The system will contain information on individuals who have indicated an
interest in receiving information about the White House Initiative, its
publications and programs, and ways in which they can become partners.
This system contains records containing an individual\'s name, title,
affiliation, mailing address, telephone number, fax, e-mail, and
representational category (e.g. parents, educators, schools, school
districts, businesses, etc.). The system generated identifier or
\`\`key\'\' will consist of a combination of numbers and letters and is
produced by the system of records automatically.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order 13230, 66 FR 52841.

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Other Agencies and Institutions]{.underline}. The Department may
disclose records from the representational categories to Federal, State,
or local agencies if the requested use is intended to fulfill that
Federal, State, or local agency\'s responsibilities under Executive
Order 13230, 66 FR 52841.

\(2\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

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

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

\(b\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the DOJ is
relevant and necessary to litigation or ADR, the Department may disclose
those records as a routine use to the DOJ.

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

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

proceeding is relevant and necessary to the litigation, the Department

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

representative, or witness.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(4\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research that is
compatible with the purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research that is compatible with
the purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(5\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(6\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
In the event that the Department deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice or the Office of Management and Budget for the
purpose of obtaining their advice.

\(7\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

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

### STORAGE:

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

### RETRIEVABILITY:

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

### SAFEGUARDS:

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

### RETENTION AND DISPOSAL:

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

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

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

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the notification
procedure. Requests by an individual for access to a record must meet
the requirements of the regulations in 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES:

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

### RECORD SOURCE CATEGORIES:

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-07-01 Congressional Members\' Biographies System 

(64 FR 30141-30142)

[[]{#Notice180701 .anchor}18-07-01](#Backto180701) June 4, 1999

## SYSTEM NAME: 

Congressional Members\' Biographies System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records about all members of Congress.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system contains biographical files on congressional members
consisting of the Member\'s name, title, state and district he or she
represents, date of appointment to Congress, date of birth, place of
birth, educational background, previous employment including political
offices, House or Senate committee assignments, political support
scores, how he or she voted on key education legislation, brief personal
background and education interests pertaining to the Department of
Education, names of universities and colleges located in each House
member\'s district, and a brief description of the district or state in
which the Member of Congress represents.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S): 

The information in this system is used by the Secretary of Education and
any departmental staff who need background information of a Member of
Congress while preparing for hearings and meetings.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purpose for which the record was collected. The
member\'s right to the information is no greater than the right of the
individual who requested it. These disclosures may be made on a
case-by-case basis or, if the Department has complied with the computer
matching requirements of the Privacy Act, under a computer matching
agreement.

\(1\) [Contact Disclosures]{.underline}. The Department may disclose
records contained in this system to individuals and entities (including
educational institutions) that the Department contacts while formulating
and enforcing education policies.

\(2\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

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

### STORAGE: 

Records are maintained in hard copy individual files stored in standard
four-drawer file cabinets and also in electronic format on a hard drive
accessible by staff of the Office for Legislation and Congressional
Affairs.

### RETRIEVABILITY: 

Records are indexed alphabetically by last name.

### SAFEGUARDS: 

Files are maintained in the Office of Legislation and Congressional
Affairs and requests are honored on a "need-to-know" basis only. All
physical access to the Department of Education site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system employed by the Department of Education offers a
high degree of resistance to tampering and circumvention. This security
system limits data access to Department of Education and contract staff
on a \"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

Information is obtained from Congressional Quarterly, Inc., The Almanac
of American Politics, Roll Call Newspapers, on-line biographies and
press releases of Members of Congress, and the Office of Postsecondary
Education at the U.S. Department of Education.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-07-02 Congressional Grant Notification Control System 

(64 FR 30142-30143)

[[]{#Notice180702 .anchor}18-07-02](#Backto180702) June 4, 1999

## SYSTEM NAME: 

Congressional Grant Notification Control System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM: 

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

## PURPOSE(S):

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

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

\(1\) [Inter-Agency Disclosure]{.underline}. Inquiries that do not
pertain to the Department, but fall under the jurisdiction of another
Federal agency, are transferred to that Agency with a request that a
direct response be provided to the correspondent.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution]{.underline}.

\(a\) In the event of litigation where one of the parties listed below
is involved in litigation or ADR, the Department may disclose such
records as it deems desirable or necessary to the Department of Justice
(DOJ) to enable DOJ to effectively represent such party, provided such
disclosure is compatible with the purpose for which the records were
collected.

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine used to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Records are indexed alphabetically by grant title.

### SAFEGUARDS: 

Records are kept in the responsible grant notification team member\'s
office. All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a "need-to-know" basis,
and controls individual users\' ability to access and alter records
within the system. All users of this system of records are given a
unique user ID with personal identifiers. All interactions by individual
users with the system are recorded.

### RETENTION AND DISPOSAL: 

Records are maintained for two years.

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in this
system of records, provide the system manager at the above address with
the name of the Member of Congress who corresponded with the Department,
the name of the referenced constituent, the grant title, and the date of
the correspondence. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identification.

### RECORD ACCESS PROCEDURES: 

Same as the Notification Procedure.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record pertaining to you,
contact the system manager at the address noted above, and reasonably
identify the record and specify the information to be contested. Your
request must meet the requirements of the regulations at 34 CFR 5b.7.

**RECORD SOURCE CATEGORIES:**

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

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-08-01 Complaint Files and Log 

(69 FR 12249-12251)

[[]{#Notice180801 .anchor}18-08-01](#Backto180801) March 15, 2004

## SYSTEM NAME: 

Complaint Files and Log.

## SECURITY CLASSIFICATION: 

None.

**SYSTEM LOCATION(S):**

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

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

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

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

**CATEGORIES OF RECORDS COVERED BY THE SYSTEM:**

This system consists of records relating to complaints to the Office for
Civil Rights including\--

\(1\) Names, addresses, and telephone numbers of complainants, complaint
allegations, and results of investigations;

\(2\) Correspondence related to the complaint, which may include copies
of correspondence sent by OCR to others, correspondence received by OCR,
records of telephone conversations, copies of e-mail, or other written
communications;

\(3\) Investigator and attorney memoranda;

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

\(5\) Documents gathered during an investigation, including photographs
of persons or things, portions of a recipient institution\'s records,
and complainants\' or other individuals\' scholastic, medical, or
employment records; and

\(6\) Charts, prepared exhibits, or other analytical materials prepared
by OCR staff or by consultants retained by OCR.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et seq.;
Title IX of the Education Amendments of 1972, 20 U.S.C. 1681, et seq.;
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, et seq.;
Age Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; Title II of the
Americans With Disabilities Act, 42 U.S.C. 12131, et seq.; and the Boy
Scouts of America Equal Access Act, 20 U.S.C. 7905.

**PURPOSE(S):**

The Office for Civil Rights uses this system for the following purposes:

\(1\) To determine and to document whether there was discrimination
against the complainant or others;

\(2\) To record the steps taken to resolve a case;

\(3\) To store materials gathered, developed, or received during the
processing of a case;

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

\(5\) To report the status of individual complaints to OCR managers

and staff for tracking the progress of individual cases and to provide
information used to prepare summaries of case processing activities; and

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

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:**

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

\(1\) Disclosure to Congress, Other Agencies, or the Public. The
Department may disclose summary information derived from this system of
records to Congress, other agencies, and the public to describe the
kinds of work OCR has done or to document the work OCR has accomplished.

\(2\) Disclosure to Recipients of Federal Financial Assistance,
Witnesses, or Consultants. The Department will release information
contained in this system of records to recipients of Federal financial
assistance, witnesses, or consultants if it determines that the release
would assist OCR in resolving a civil rights complaint or in obtaining
additional information or expert advice relevant to the investigation.

\(3\) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, tribal,
local, or foreign agency or other public authority responsible for
enforcing, investigating, or prosecuting violations of administrative,
civil, or criminal law or regulations if that information is relevant to
any enforcement, regulatory, investigative, or prosecutorial
responsibility within the receiving entity\'s jurisdiction.

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

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

\(a\) Introduction. In the event that one of the following parties is
involved in litigation or ADR, or has an interest in litigation or ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c), and (d) of this routine use under the conditions
specified in those paragraphs:

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

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

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

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

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

\(b\) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

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

\(6\) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the DOJ if the Department determines
that disclosure is desirable or necessary in determining whether
particular records are required to be disclosed under the FOIA.

\(7\) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain Privacy
Act safeguards with respect to the disclosed records.

\(8\) Congressional Member Disclosure. The Department may disclose
information to a Member of Congress from the record of an individual in
response to an inquiry from the Member made at the written request of
that individual. The Member\'s right to the information is no greater
than the right of the individual who requested it.

\(9\) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable.

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

**STORAGE:**

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

**RETRIEVABILITY:**

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

**SAFEGUARDS:**

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

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

**RETENTION AND DISPOSAL:**

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

**SYSTEM MANAGER(S) AND ADDRESS:**

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

**NOTIFICATION PROCEDURE:**

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

**RECORD ACCESS PROCEDURES:**

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

**CONTESTING RECORD PROCEDURES:**

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

**RECORD SOURCE CATEGORIES:**

Records are derived from information in complaint investigation files.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

The Secretary of Education has exempted by regulations the two record
systems that are being combined into the Complaint Files and Log record
system, which is thereby also exempt from the following provisions of
the Privacy Act pursuant to 5 U.S.C. 552(k)(2) (civil enforcement):

\(1\) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.

\(2\) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of
and access to records and correction or amendment of records.(3) 5
U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information in the
system notice about procedures for notification, access, and correction
of records.

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

\(1\) Disclosure of the information would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence.

\(2\) If information was obtained prior to September 28, 1975,
disclosure of the information would reveal the identity of the source
under an implied promise that the identity of the source would be held
in confidence.

**Appendix to 18-08-01**

**ADDITIONAL SYSTEM LOCATIONS:**

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

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

OCR, Philadelphia Office, 100 Penn Square East, Suite 515, Philadelphia,
PA 19107.

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

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

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

OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201.

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

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

OCR, San Francisco Office, Old Federal Building, 50 United Nations
Plaza, Room 239, San Francisco, CA 94102.

OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second
Avenue, Room 3310, Seattle, WA 98174.

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

# 18-09-01 Administrative Claims 

(64 FR 30146-30148)

[[]{#Notice180901 .anchor}18-09-01](#Backto180901) June 4, 1999

## SYSTEM NAME: 

Administrative Claims.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records about Department employees, recipients of
Federal assistance under Department funded programs, and members of the
public who have a claim against the Department or against whom the
Department has a claim under the Federal Torts Claims Act, Military
Personnel and Civilian Employees Claims Act, Federal Claims Collection
Act or Act for Waiver of Overpayment of Pay.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains information that is pertinent to the particular
claim being asserted, including accident reports, hospital records,
charges for medical service; certifications of overpayments, audits of
payroll accounts during period of overpayments, earning and leave
statements; claims officers memorandum, final determinations made on
claims, identity of debtors and information pertaining to how debts
arose.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Torts Claims Act (28 U.S.C. 2671-2680, 1346(b); Waiver of
Overpayment of Pay Act (5 U.S.C. 5584; Military Personnel and Civilian
Employees Claims Act, 31 U.S.C. 240 et seq.; Federal Claims Collection
Act, 31 U.S.C. 951-953.

## PURPOSE(S): 

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

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Program Disclosure]{.underline}. The Department may disclose
information to Federal, State, and local law enforcement agencies,
private individuals, private and public hospitals, allegedly negligent
parties, private attorneys, insurance companies, the United States
Attorney and other Federal officials and agencies, individual law
enforcement officers, and tribal officials for the purpose of
investigating, settling, or litigating claims.

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(6\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(7\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

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

### STORAGE: 

Records are maintained in legal size files in filing cabinets.

### RETRIEVABILITY: 

Records can be retrieved by the name of the non-Government party,
whether claimant, plaintiff, or alleged debtor. In some instances, these
records are retrievable by cross reference to index cards, containing
name of the party involved and the subject matter.

### SAFEGUARDS: 

Office buildings in which files are kept are locked after the close of
the business day. These files are only accessible to General Counsel
staff.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

The information in this system comes from a number of sources including
private individuals, private and public hospitals, doctors, law
enforcement agencies and officials, private attorneys, accident reports,
third parties, claimants for beneficiaries and their relatives, other
Federal agencies, State and local governments, agencies and
instrumentalities.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

# 18-09-02 OGC Attorney Applicant Files 

(64 FR 30148-30149)

[[]{#Notice180902 .anchor}18-09-02](#Backto180902) June 4, 1999

## SYSTEM NAME: 

OGC Attorney Applicant Files.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

The Attorney Applicant system consists of a variety of records relating
to persons applying for attorney positions. These records contain
information about an individual\'s birth date; home address; telephone
number; Social Security number; educational background (e.g., law
schools attended and grades); past work experience; writing samples
furnished on request; recommendations from past employers and academic
officials.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 3301 [et]{.underline} [seq]{.underline}.

## PURPOSE(S):

The information in this system is used to evaluate the qualifications of
those individuals who apply for attorney positions in the Office of the
General Counsel.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

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

### STORAGE: 

These records are maintained in file folders, alphabetized by name, and
in some cases the records are separated by individual law school
affiliation and by the date the application is received. In some
instances records are located in lockable conserva-file cabinets and in
a locked secured room with access limited to those officials whose
duties require access. In other instances records are maintained in file
rooms or with other Office of General Counsel files.

### RETRIEVABILITY: 

These records are retrievable by name.

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES:

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

### RECORD SOURCE CATEGORIES:

Information in this system of records comes from the individual to whom
it applies, law school officials and past employers.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

# 18-09-03 Employee Conduct\--Government Ethics 

(69 FR 12147-12148)

[[]{#Notice180903 .anchor}18-09-03](#Backto180903) March 15, 2004

## SYSTEM NAME: 

Employee Conduct\--Government Ethics.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S):

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. May disclose information to any Federal, State,
local, or foreign agency or other public authority responsible for
enforcing, investigating, or prosecuting violations of administrative,
civil, or criminal law or regulation if that information is relevant to
any enforcement, regulatory, investigative, or prosecutive
responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

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

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

#### STORAGE:

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

### RETRIEVABILITY:

These records are retrievable by name in most cases.

### SAFEGUARDS:

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

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department of Education\'s Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES:

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

**RECORD SOURCE CATEGORIES:**

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

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

# 18-09-04 Litigation Files, Administrative Complaints, and Adverse Personnel Actions 

(64 FR 30150-30151)

[[]{#Notice180904 .anchor}18-09-04](#Backto180904) June 4, 1999

## SYSTEM NAME:

Litigation Files, Administrative Complaints, and Adverse Personnel
Actions.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The individuals on whom records are maintained in this system are
individuals who are involved in litigation with the Department or the
United States (regarding matters within the jurisdiction of the
Department) either as plaintiffs or as defendants in both civil and
criminal matters, and individuals who either file administrative
complaints initiated by the Department, except claims which are the
subjects of records maintained in the Administrative Claims System.

## CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain information pertaining to the subject matter of
the litigation, administrative complaint, or adverse personnel action.
Such records would include complaints, litigation reports,
administrative transcripts, various litigation documents, investigative
materials, correspondence, briefs, court orders and judgments, and in
cases where personal injury is involved, evaluations by physician
specialists.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The authority for maintaining this system are the various statutes,
regulations, rules or orders pertaining to the subject matter of the
litigation, administrative complaint or adverse personnel action, (e.g.,
Civil Rights Act, Federal Torts Claim Act).

## PURPOSE(S):

The information in this system is used for litigating civil cases,
criminal cases and administrative complaints to which the Department or
the United States is a party.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

## 

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

### STORAGE:

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

### RETRIEVABILITY:

These records are retrievable by name of the plaintiff or the first
plaintiff if there is more than one, or by the name of the first
defendant if the plaintiff is the United States. In the case of adverse
personnel actions, records are retrievable by name of the individual
involved.

### SAFEGUARDS:

Office buildings in which these records are maintained are locked after
the close of the business day. These records are only accessible by
General Counsel staff.

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

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

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

The information for this system is obtained through a number of sources
including the exchange of legal pleadings, documents, formal and
informal discovery, program offices and component agencies, private
attorneys, State and local governments, their agencies and
instrumentalities, and officers of other Federal agencies and the
individuals involved.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

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

(72 FR 66155-66158)

November 27, 2007

[[]{#Notice180905 .anchor}18-09-05](#Backto180905)

**SYSTEM NAME:**

Department of Education Federal Docket Management System (EDFDMS).

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

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

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

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

**CATEGORIES OF RECORDS IN THE SYSTEM:**

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

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

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

**PURPOSE:**

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

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:**

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

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

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

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

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosure]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department or any of its components.

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

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

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

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

\(b\) [Disclosure to DOJ]{.underline}. If the Department determines that
disclosure of certain records to DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to DOJ.

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

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

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

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

\(7\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(8\) [Congressional Member Disclosure]{.underline}. The Department may
disclose the records of an individual to a member of Congress or the
member's staff in response to an inquiry from the member made at the
written request of that individual. The member\'s right to the
information is no greater than the right of the individual who requested
the inquiry.

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

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

**STORAGE:**

Records are maintained on electronic storage media and in paper.

**RETRIEVABILITY:**

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

**SAFEGUARDS:**

As discussed above in routine use (1), [Disclosure to the
Public]{.underline}, any member of the public who accesses FDMS through
www.regulations.gov and searches the comments associated with the
Department's rulemakings can view EDFDMS records that are included in
FDMS. To the extent paper records from this system of records are
maintained, they will be maintained in a controlled facility where
physical entry is restricted by locks, guards, and administrative
procedures.

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

**RETENTION AND DISPOSAL:**

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

**SYSTEM MANAGER AND ADDRESS:**

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

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURES:**

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

**CONTESTING RECORD PROCEDURES:**

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

**RECORD SOURCE CATEGORIES:**

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

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

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

(68 FR 38155-38158)

[[]{#Notice181001 .anchor}18-10-01](#Backto181001) June 26, 2003

## SYSTEM NAME: 

Investigative Files of the Inspector General.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION(S):

Office of the Inspector General, Investigation Services (AIGI), U.S.
Department of Education, 330 C Street, SW., Mary E. Switzer Building,
Room 4132, Washington, DC 20202. See the Appendix at the end of this
notice for additional system locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Categories include subjects, targets, witnesses, victims, current and
former employees of the U.S. Department of Education (Department), and
individuals who have any relationship to financial assistance or other
educational programs administered by the Department, or to management
concerns of the Department, including but not limited to\--grantees,
subgrantees, contractors, subcontractors, program participants,
recipients of Federal funds or federally insured funds, and officers,
employees, or agents of institutional recipients or program
participants.

## CATEGORIES OF RECORDS IN THE SYSTEM:

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

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

Pursuant to the Inspector General Act of 1978, as amended, the system is
maintained for the purposes of\--(1) conducting and documenting
investigations by the Office of Inspector General (OIG) or other
investigative agencies regarding Department of Education programs and
operations and reporting the results of investigations to other Federal
agencies, other public authorities or professional organizations that
have the authority to bring criminal prosecutions or civil or
administrative actions, or to impose other disciplinary sanctions; (2)
documenting the outcome of OIG investigations; (3) maintaining a record
of the activities that were the subject of investigations; (4) reporting
investigative findings to other Department of Education components for
their use in operating and evaluating their programs or operations and
in the imposition of civil or administrative sanctions; (5) maintaining
a record of complaints and allegations received relative to Department
of Education programs and operations and documenting the outcome of OIG
reviews of those complaints and allegations; (6) coordinating
relationships with other Federal agencies, State and local governmental
agencies, and nongovernmental entities in matters relating to the
statutory responsibilities of the OIG; (7) acting as a repository and
source for information necessary to fulfill the reporting requirements
of the Inspector General Act, 5 U.S.C. Appendix; (8) reporting on the
activities of the Inspectors General to the President\'s Council on
Integrity and Efficiency (PCIE); and (9) participating in the
investigative qualitative assessment review process requirements of the
Homeland Security Act of 2002 (Pub. L. 107-296.)

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

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

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

\(3\) [Disclosure for Use in Employment, Employee Benefit, Security
Clearance, and Contracting Decisions]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The OIG may
disclose information from this system of records as a routine use to a
Federal, State, local, or foreign agency maintaining civil, criminal, or
other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance or
retention of a security clearance, the letting of a contract, or the
issuance or retention of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The OIG may disclose information from this
system of records as a routine use to a Federal, State, local, or
foreign agency, other public authority, or professional organization in
connection with the hiring or retention of an employee or other
personnel action, the issuance or retention of a security clearance, the
letting of a contract, or the issuance or retention of a license, grant,
or other benefit.

\(4\) [Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as Amended (HEA)]{.underline}. The OIG may
disclose information from this system of records as a routine use to any
accrediting agency that is or was recognized by the Secretary of
Education pursuant to the HEA; to any guaranty agency that is or was a
party to an agreement with the Secretary of Education pursuant to the
HEA; or to any agency that is or was charged with licensing or legally
authorizing the operation of any educational institution or school that
was eligible, is currently eligible, or may become eligible to
participate in any program of Federal student assistance authorized by
the HEA.

\(5\) [Litigation Disclosure]{.underline}.

\(a\) [Disclosure to the Department of Justice]{.underline}. If the
disclosure of certain records to the Department of Justice (DOJ) is
relevant and necessary to litigation and is compatible with the purpose
for which the records were collected, the OIG may disclose those records
as a routine use to the Department of Justice. The OIG may make such a
disclosure in the event that one of the following parties is involved in
the litigation or has an interest in the litigation:

\(i\) The Department or any component of the Department;

> \(ii\) Any employee of the Department in his or her official capacity;
>
> \(iii\) Any employee of the Department in his or her individual
> capacity if the DOJ has agreed to represent the employee or in
> connection with a request for that representation;
>
> or(iv) The United States, if the Department determines that the
> litigation is likely to affect the Department or any of its
> components.

\(b\) [Other Litigation Disclosure]{.underline}. If disclosure of
certain records to a court, adjudicative body before which the
Department is authorized to appear, individual or entity designated by
the Department or otherwise empowered to resolve disputes, counsel or
other representative, party, or potential witness is relevant and
necessary to litigation and is compatible with the purpose for which the
records were collected, the OIG may disclose those records as a routine
use to the court, adjudicative body, individual or entity, counsel or
other representative, party, or potential witness. The OIG may make such
a disclosure in the event that one of the following parties is involved
in the litigation or has an interest in the litigation:

\(i\) The Department or any component of the Department;

> \(ii\) Any employee of the Department in his or her official capacity;
>
> \(iii\) Any employee of the Department in his or her individual
> capacity if the Department has agreed to represent the employee;
> or(iv) The United States, if the Department determines that the
> litigation is likely to affect the Department or any of its
> components.

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

\(7\) [Debarment and Suspension Disclosure]{.underline}. The OIG may
disclose information from this system of records as a routine use to
another Federal agency considering suspension or debarment action if the
information is relevant to the suspension or debarment action. The OIG
also may disclose information to another agency to gain information in
support of the Department\'s own debarment and suspension actions.

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

\(9\) [Congressional Member Disclosure]{.underline}. The OIG may
disclose information from this system of records to a Member of Congress
from the record of an individual in response to an inquiry from the
Member made at the written request of that individual. The Member\'s
right to the information is no greater than the right of the individual
who requested it.

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

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

\(12\) [Disclosure to the President\'s Council on Integrity and
Efficiency]{.underline}. The OIG may disclose records as a routine use
to members and employees of the PCIE for the preparation of reports to
the President and Congress on the activities of the Inspectors General.

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

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

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

## STORAGE:

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

## RETRIEVABILITY:

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

## SAFEGUARDS:

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

## RETENTION AND DISPOSAL:

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

## SYSTEM MANAGER(S) AND ADDRESS:

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

## NOTIFICATION PROCEDURE:

See \`\`SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.\'\' As
provided in 34 CFR 5b.11(b)(3) and (c)(1), the notification procedure is
not applicable to criminal investigative files except at the discretion
of the Inspector General. To the extent that this procedure may apply to
criminal investigative files, it is governed by 34 CFR 5b.11(b). The
notification procedure is applicable to non-criminal investigative files
under the conditions defined by 34 CFR 5b.11(c) and (f). Under these
conditions, it is governed by 34 CFR 5b.5.

## RECORD ACCESS PROCEDURES:

See \`\`SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.\'\' As
provided in 34 CFR 5b.11(b)(3) and (c)(1), the record access procedure
is not applicable to criminal investigative files except at the
discretion of the Inspector General. To the extent that this procedure
may apply to criminal investigative files, it is governed by 34 CFR
5b.11(b). The record access procedure is applicable to non-criminal
investigative files under the conditions defined by 34 CFR 5b.11(c) and
(f). Under these conditions, it is governed by 34 CFR 5b.5.

## CONTESTING RECORD PROCEDURES:

See \`\`SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.\'\' As
provided in 34 CFR 5b.11(b)(3) and (c)(1), the procedure for correction
or amendment of records is not applicable to criminal and non-criminal
investigative files.

## RECORD SOURCE CATEGORIES:

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

## SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(j)(2) (criminal investigative/enforcement files), the Secretary of
Education has by regulations exempted the Investigative Files of the
Inspector General from the following subsections of the Privacy Act:

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

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

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

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

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

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

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

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

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

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

Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(k)(2) (civil investigative files), the Secretary of Education has
by regulations exempted the Investigative Files of the Inspector General
from the following subsections of the Privacy Act:

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

> 5 U.S.C. 552a(d)(1) through (4) and (f)\--procedures for notification
> or access to, and correction or amendment of, records.
>
> 5 U.S.C. 552a(e)(1)\--maintenance of only relevant and necessary
> information.
>
> 5 U.S.C. 552a(e)(4)(G) and (H)\--inclusion of information in the
> system of records notice regarding Department procedures on
> notification of, access to, correction of, or amendment of records.
>
> These exemptions are stated in 34 CFR 5b.11.

## Appendix to 18-10-01 Additional System Locations

Office of Inspector General, U.S. Department of Education, J.W.
McCormack, P.O. and Courthouse Building, Devonshire Street, Room504,
Boston, MA 02109.

Office of Inspector General, U.S. Department of Education, 75 Park
Place, 12th Floor, New York, NY 10007.

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

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

Office of Inspector General, U.S. Department of Education, 111 N. Canal
Street, Suite 940, Chicago, IL 60606-7204.

Office of Inspector General, U.S. Department of Education, 1999 Bryan
Street, Suite 2630, Dallas, TX 75201-6817.

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

Office of Inspector General, U.S. Department of Education, 501 W. Ocean
Boulevard, Suite 1200, Long Beach, CA 90802.

Office of Inspector General**,** U.S. Department of Education, 501 I
Street, Suite 9-200, Sacramento, CA 95814.

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

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

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

(64 FR 30155-30157)

[[]{#Notice181003 .anchor}18-10-03](#Backto181003) June 4, 1999

## SYSTEM NAME: 

Non-Federal Auditor Referral, Suspension, and Debarment File.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Auditors and audit firms not employed by the Federal government whom the
Office of Inspector General has referred to State boards of accountancy
or professional associations and/or suspended or debarred for violations
of generally accepted auditing standards or generally accepted
government auditing standards in connection with audits of federally
assisted education programs.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Information relating to the audit activity which led to the referral,
suspension or debarment action, including the referral, suspension or
debarment documents; and records on the substance, status or outcome of
each referral, suspension and debarment, including voluntary exclusion
settlement agreements.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3,
4(a)(1) and 4(b)(1)(C)) and 34 CFR part 85, the Nonprocurement Debarment
and Suspension Regulations.

## PURPOSE(S): 

This system of records is maintained for the general purpose of enabling
the OIG to fulfill the requirements of section (4)(b)(1)(C) of the
Inspector General Act of 1978, 5 U.S.C. Appendix 3, 4(b)(1)(C) which
requires Federal Inspectors General, including the Department Inspector
General, to take appropriate steps to assure that any work performed by
non-Federal auditors complies with the standards established by the
Comptroller General. Records are used to document OIG actions with
regard to open and closed referrals, suspensions or debarments by the
OIG; to produce statistical data; and to share information with Federal,
State and professional organizations which are also responsible for
maintaining or monitoring adherence to audit standards.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Audit oversight and referral disclosure]{.underline}. A record
from this system of records may be disclosed to other Federal agencies,
the General Accounting Office, State agencies responsible for audit
oversight, State Boards of accountancy, and the American Institute of
Certified Public Accountants, and other professional accountancy
associations, to make and support referrals regarding inadequate audits
performed by independent auditors, to track the result of proceedings
against those auditors, and to inform these entities if other referrals
have been made.

\(2\) [Suspension and debarment disclosure]{.underline}. A record from
this system of records may be disclosed to other Federal agencies, the
General Accounting Office, State agencies responsible for audit
oversight, State Boards of Accountancy, the American Institute of
Certified Public Accountants, and other professional accountancy
associations, to inform these entities of the substance, status or
outcome of suspension and debarment proceedings, including settlement,
and as authorized under section 3 of Executive Order 12549 for purposes
of suspending and debarring an auditor pursuant to 34 CFR part 85.

\(3\) [Disclosure to auditee]{.underline}. A record from this system of
records may be disclosed to the auditee which was the subject of audit
oversight by the Department OIG.

\(4\) [Engagement disclosure]{.underline}. A record from this system of
records may be disclosed to a contractor or grantee of the Department or
other participant in Department programs which may be contemplating
engaging the firm or individual named in the record to perform auditing
or related services pertaining to federally assisted education programs,
unless the entities to which the Assistant Inspector General for Audit
Services has made a referral under routine use number 1, decline to take
action against the auditor or act to exonerate the auditor.

\(5\) [Disclosure to Public and Private Entities To Obtain
Information]{.underline}. A record from this system of records may be
disclosed to public or private sources to the extent necessary to obtain
information from those sources relevant to an OIG audit oversight
activity, referral action, suspension and debarment action,
investigation, audit, inspection, or other activity.

\(6\) [Enforcement disclosure]{.underline}. In the event that any
records from this system of records, either alone or in combination with
any other information, indicate a violation or potential violation of
criminal or civil law or regulation, the Department may disclose
information from this system of records as a routine use to any Federal,
State, local, or foreign agency or other public authority responsible
for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility of the receiving entity.

\(7\) [Disclosure to the Department of Justice]{.underline}. A record
may be disclosed from this system of records to the Department of
Justice to the extent necessary for obtaining its advice on any matter
relevant to an OIG investigation, audit, inspection, or other inquiry
related to the responsibilities of the OIG.

\(8\) [Hiring/contracting disclosure]{.underline}.

\(a\) [The Department]{.underline}. A record from this system of records
may be disclosed as a routine use to a Federal, State, or local agency
maintaining civil, criminal or other relevant enforcement records or
other pertinent records, such as current licenses, if necessary to
obtain a record relevant to an agency decision concerning the hiring or
retention of an employee to perform audit services, the issuance of a
security clearance, or the letting or continuation of a contract to
perform audit services by the Department or by any recipient of Federal
funds administered by the Department or its agent.

\(b\) [Other Federal agencies]{.underline}. A record from this system of
records may be disclosed to a Federal agency, in connection with the
hiring or retention of an employee to perform audit services, the
issuance of a security clearance, the letting or continuation of a
contract to perform audit services by the agency or by any recipient of
Federal funds, or the issuance of a license, grant, or other benefit by
the recipient agency.

\(9\) [Litigation disclosure]{.underline}.

\(a\) [Disclosure to the Department of Justice]{.underline}. A record
from this system of records may be disclosed to the Department of
Justice if the record is relevant and necessary to litigation. Such a
disclosure may be made in the event that one of the parties listed below
is involved in the litigation, or has an interest in the litigation:

\(i\) The Department or any component of the Department;

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

\(iii\) Any Department employee in his or her individual capacity where
the Justice Department has agreed to represent such employee; or

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

\(b\) [Other litigation disclosure]{.underline}. A record from this
system of records may be disclosed to a court or adjudicative body, to a
party, counsel or witnesses, in the course of the litigation or related
settlement proceedings. Such disclosure may be made in the event that a
person or entity listed below is a party to the litigation, or has an
interest in the litigation:

\(i\) The Department or any component of the Department;

\(ii\) Any employee of the agency in his or her official capacity;

\(iii\) Any employee of the Department in his or her individual capacity
where the agency has agreed to represent the employee; or

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

\(9\) [Congressional member disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(10\) [Employee grievance, complaint or conduct
disclosure]{.underline}. The Department may disclose a record in this
system of records to another agency of the Federal government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: Complaint, grievance,
discipline or competence determination proceedings. The disclosure may
only be made during the course of the proceeding.

\(11\) [Contract disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

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

### STORAGE: 

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

### RETRIEVABILITY: 

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

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL:

Records are maintained and destroyed in accordance with the
Department\'s Records Disposition Schedule (ED/RDS, Part 16). A copy of
the ED/RDS can be obtained from the system manager at the address below.

### SYSTEM MANAGER(S) AND ADDRESS:

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

### NOTIFICATION PROCEDURE: 

Individuals wishing to know if they are named in this system of records
must submit a written request to the system manager. Requests must
reasonably specify the system of records containing the information and
the particular record contents being sought. For a complete statement of
notification procedures, see the regulations, 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

Individuals wishing to gain access to a record in this system of records
must submit a written request to the system manager. Requests must
reasonably specify the system of records containing the information, the
particular record contents being sought, and the reason for the request.
For a complete statement of notification procedures, see the
regulations, 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

Individuals desiring to contest information contained in a record in
this system of records should contact the system manager. Requests must
be made either in writing or in person, and must specify: (1) The system
of records from which the record is to be retrieved; (2) the particular
record which the requestor is seeking to amend; (3) whether a deletion,
an addition, or a substitution is being sought; and (4) the reason(s)
for the requested change(s). Requestors may wish to include in their
requests any appropriate documentation supporting the requested
change(s). For a complete statement of contesting record procedures, see
the regulations, 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information contained in the system will be obtained principally from
OIG employees. Information regarding the status of referral actions will
be obtained from the appropriate State licensing board and professional
organizations to which the referral was made.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

# 18-10-04 Hotline Complaint Files of the Inspector General 

(64 FR 30157-30159)

[[]{#Notice181004 .anchor}18-10-04](#Backto181004) June 4, 1999

## SYSTEM NAME: 

Hotline Complaint Files of the Inspector General.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

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

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Categories include individuals who are sources of information or have
made complaints to the OIG Hotline, individuals who allegedly have
knowledge regarding wrongdoing affecting the programs and operations of
the Department, and individuals about whom complaints and allegations
have been made concerning wrongdoing involving the programs and
operations of the Department of Education. These individuals may
include, but are not limited to, current and former Department
employees, grantees, subgrantees, contractors, subcontractors, program
participants, recipients of Federal funds or federally insured funds,
and officers, employees, or agents of institutional recipients or
program participants.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records in this system contain information obtained from complainants
who report allegations of wrongdoing relating to Department of Education
programs and operations. Specific data may include name and address (if
available) of the complainant, the date the complaint was received, the
affected program area, the nature and subject of the complaint, and any
additional contacts and specific comments provided by the complainant.
In addition, information on the OIG disposition of the complaint is
included in the system.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

## PURPOSE(S):

Pursuant to the Inspector General Act, the system is maintained for the
purposes of maintaining a record of complaints and allegations received
concerning Department of Education programs and operations and
concerning the disposition of those complaints and allegations.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. In the event that any records from this system of
records, either by themselves or in combination with any other
information, indicate a violation or potential violation of criminal or
civil law or regulation, the Department may disclose information from
this system of records as a routine use to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility of
the receiving entity.

\(2\) [Litigation Disclosure]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation, or has an interest in litigation, the
Department may disclose certain records to the parties described in
paragraphs (2), (3), and (4) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

\(iii\) Any employee of the Department in his or her individual capacity
if the Department of Justice has agreed to provide or arrange for
representation for the employee; or

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

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

\(b\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the
Department of Justice or attorneys engaged by the Department of Justice
is relevant and necessary to litigation, the Department may disclose
those records as a routine use to the Department of Justice.

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

\(d\) [Opposing Counsels, Representatives, and Witnesses]{.underline}.
If the Department determines that disclosure of certain records to an
opposing counsel, representative, or witness in an administrative
proceeding is relevant and necessary to the litigation, the Department
may disclose those records as a routine use to the counsel,
representative, or witness.

\(3\) [Disclosure to Public and Private Entities to Obtain Information
Relevant to the Department\'s OIG Functions and Duties]{.underline}. The
Department may disclose information from this system of records as a
routine use to public or private sources to the extent necessary to
obtain information from those sources relevant to a Department of
Education/OIG investigation, audit, inspection, or other inquiry.

\(4\) [Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as amended (HEA)]{.underline}. The
Department may disclose information from this system of records as a
routine use to any accrediting agency that is or was recognized by the
Secretary of Education pursuant to the HEA, to any guarantee agency that
is or was a party to an agreement with the Secretary of Education
pursuant to the HEA, or to any agency that is or was charged with
licensing or legally authorizing the operation of any educational
institution or school that was eligible, is currently eligible, or may
become eligible to participate in any program of Federal student
assistance authorized by the HEA.

\(5\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose information from this system of records as a
routine use to the Department of Justice to the extent necessary for
obtaining its advice on any matter relevant to an OIG investigation,
audit, inspection, or other inquiry related to the responsibilities of
the OIG.

\(6\) [Congressional Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

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

### STORAGE: 

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

### RETRIEVABILITY: 

Hard copy records are organized by and retrievable by the assigned
Hotline number. The computer files are indexed and retrievable by
Hotline number, name of complainant, and the name of the subject or
subjects.

### SAFEGUARDS: 

Records are maintained in locked file cabinets or in metal file cabinets
in secured rooms or premises to which access is limited to those persons
whose official duties require access. Computer terminals are secured in
controlled areas that are locked when unoccupied. Access to automated
records is limited to authorized personnel who must use a password
system to gain access.

### RETENTION AND DISPOSAL:

Hotline records not resulting in investigations are destroyed when five
years old, in accordance with the Department\'s Records Disposition
Schedules (ED/RDS, part 16). Investigative case files are destroyed 10
years after close-out in accordance with the Department\'s Records
Disposition Schedules (ED/RDS, Part 16).

### SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4106, Switzer Building, Washington, DC 20202-1510.

### NOTIFICATION PROCEDURE: 

See Systems Exempted. As provided in 34 CFR 5b.11(f), the notification
procedures are not applicable to Hotline files except at the discretion
of the Inspector General. The notification procedures are applicable to
non-criminal files only under the conditions in 34 CFR 5b.11(f)(2). To
the extent these procedures apply to the Department of Education Hotline
Complaint Files, they are governed by 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

See Notification Procedure.

### CONTESTING RECORD PROCEDURES: 

Not applicable. See Systems Exempted.

### RECORD SOURCE CATEGORIES: 

Complainants who include, but are not limited to, current and former
employees of the Department, employees of other Federal agencies,
employees of State and local agencies, private individuals, and officers
and employees of non-governmental organizations that are involved with
Department programs, contracts, or funds or have knowledge about
Department programs, contracts, or funds.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

The Secretary has by regulations exempted the Hotline Complaint Files of
the Inspector General from the following provisions of the Privacy Act:

\(1\) Pursuant to 5 U.S.C. 552a(j)(2):

\(a\) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of a record.

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

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

\(d\) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and
necessary information.

\(e\) 5 U.S.C. 552a(e)(2), regarding collection of information from the
subject individual.

\(f\) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to
provide a record to the Department.

\(g\) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.

\(h\) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite
accuracy, relevance, timeliness, and completeness.

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

\(j\) 5 U.S.C. 552a(g), regarding civil remedies for violation of the
Privacy Act.

\(2\) Pursuant to 5 U.S.C. 552a(k)(2):

\(a\) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.

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

\(c\) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only
relevant and necessary information.

\(d\) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.

These exemptions are stated in 34 CFR 5b.11.

# 18-11-01 Federal Student Aid Application File 

(64 FR 30159-30161, corrected by **65 FR 11294-11295 )**

[[]{#Notice181101 .anchor}18-11-01](#Backto181101) June 4, 1999 / March
2, 2000

## SYSTEM NAME: 

Federal Student Aid Application File.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Application & Pell Processing Systems Division, Office of Student
Financial Assistance Programs, U.S. Department of Education, Seventh and
D Streets, SW., Room 4621, ROB-3, Washington, DC 20202-5459. Federal
Student Aid Application Processing Center, Iowa City, IA 52240.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on students applying for Federal student
financial assistance under Title IV of the Higher Education Act of 1965
(HEA).

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of the name, address, birth date, Social Security
number, parents\' and students\' personal identification numbers
assigned by the Department, and financial data necessary to identify
applicants, verify applicant data, and calculate their expected family
contributions for Federal student financial assistance. In addition,
information on the student\'s prior Pell Grant awards and student loan
status from the National Student Loan Data System (NSLDS) database is
maintained in the system.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title IV of the Higher Education Act of 1965, as amended.

## PURPOSE(S): 

Information contained in this system is maintained for the purposes of:
(1) Determining an applicant\'s eligibility for the Federal student
financial assistance programs authorized by title IV of the HEA; (2)
Maintaining a record of the data supplied by those requesting
assistance; (3) Documenting the results of an applicant\'s need analysis
and Pell Grant eligibility; (4) Reporting the results of the need
analysis and Pell Grant eligibility determination to applicants,
postsecondary institutions, and State agencies designated by the
applicant, and to other Departmental and investigative components for
use in operating and evaluating the title IV, HEA programs and in the
imposition of criminal, civil or administrative sanctions; and (5)
Acting as a repository and source for information necessary to fulfill
the requirements of title IV of the HEA.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Disclosure to institutions of postsecondary
education]{.underline}. The Department may disclose identifying
information, financial data, and expected family contributions of
applicants to those institutions of postsecondary education (or their
designated agents) in which the applicants plan to enroll or are
enrolled. Disclosure of such information is made only to postsecondary
institutions that are listed by the applicant on the Federal Student Aid
Application file.

\(2\) [Disclosure to State agencies]{.underline}. The Department may
disclose the data described in paragraph (1) to State agencies having
agreements with the Secretary for purposes of coordinating student aid.

\(3\) [Disclosure to parents and spouses]{.underline}. The Department,
upon request, may disclose information that is provided by parents or
spouses on the application form to those individuals.

\(4\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(5\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(6\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(9\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(10\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(11\) [Employee Grievance, Complaint or Conduct
Disclosure]{.underline}. The Department may disclose a record in this
system of records to another agency of the Federal Government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: Complaint, grievance,
discipline or competence determination proceedings. The disclosure may
only be made during the course of the proceeding.

\(12\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(13\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(14\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(15\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

\(16\) [Disclosures to third parties through computer matching
programs]{.underline}. Any information from this system of records,
including personal information obtained from other agencies through
computer matching programs, may be disclosed to any third party through
a computer matching program in connection with an individual\'s
application or participation in any grant or loan program administered
by the U.S. Department of Education. Purposes of these disclosures may
be to determine program eligibility and benefits, enforce the conditions
and terms of the loan or grant, permit the servicing and collecting of
the loan or grant, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate legal
action against an individual involved in program fraud or abuse.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

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

### STORAGE: 

Original applications are maintained in standard Federal Records Center
boxes in locked storage rooms within the facility of the Application for
Federal Student Aid Processor. Computerized applicant records are
maintained on magnetic tape reels, cartridges and hard disks in the
computer facility and locked storage rooms within the Federal Student
Aid Application Central Processing Center. Microfiche records maintained
in the Washington, DC office are locked in standard file cabinets.

### RETRIEVABILITY: 

Records are indexed by Social Security number and the first two letters
of the applicant\'s last name.

### SAFEGUARDS: 

Records are available to staff of the Student Financial Assistance
Programs (including appropriate contract support staff). The Department
will mail an Electronic Access Code (EAC) directly to certain students
who have used the World Wide Web to electronically file a Free
Application for Federal Student Aid (FAFSA). The student uses the EAC to
complete their renewal Free Application for Federal Student Aid (FAFSA)
via the Internet. Physical access to the data systems housed within the
facility is controlled by a computerized badge reading system, and the
entire complex is patrolled by security personnel during nonbusiness
hours. The computer system employed by the Department offers a high
degree of resistance to tampering and circumvention. Multiple levels of
security are maintained within the computer system control program. This
security system limits data access to Department and contract staff on a
\"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Original records are maintained and stored in a Federal Records Center.
Grant aid records are kept for a period not to exceed fifteen years
after payment or audit of the grantee, whichever comes sooner; and loan
records are kept three years after cancellation or repayment of a loan,
in accordance with the Department of Education Records Disposition
Schedules (ED/RDS).

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Application & Pell Processing Systems Division, Office of
Student Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 4621, ROB-3, Washington, DC 20202-5459.

### NOTIFICATION PROCEDURE:

A copy of the applicant\'s record, known as the Student Aid Report, is
mailed to the applicant\'s home address after the application
information has been processed. If you wish to determine whether a
record exists regarding you in the system of records, contact the system
manager and provide you name, date of birth, and Social Security number
or call 1-800-4-FED-AID (1-800-433-3243) and give the same information.
Requests for notification about whether the system of records contains
information about an individual must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the Notification
Procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records
(for the current Free Application for Federal Student Aid (FAFSA)),
contact the system manager with the information described in the
Notification Procedure, identify the specific items to be changed, and
provide a justification for the change. Requests to amend a record must
meet the requirements of regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Applicants for Federal student financial aid provide the information
used in this system by filing a Free Application for Federal Student Aid
(FAFSA) with the Department of Education. (For students who have access
to the Internet, the Free Application for Federal Student Aid (FAFSA) is
available on the world wide web (located at www.fafsa.ed.gov). Although
students using the web site are required to send in a paper signature
page and students must update their information each year, applying
electronically using the Internet is less burdensome than applying on
paper.)

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-11-02 Recipient Financial Management System 

(64 FR 30161-30162)

[[]{#Notice181102 .anchor}18-11-02](#Backto181102) June 4, 1999

## SYSTEM NAME: 

Recipient Financial Management System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Central Computer Facility, U.S. Department of Education, 400 Maryland
Avenue, SW., Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on all Pell Grant Recipients.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of the financial data, personal identification
numbers assigned by the Department, and status of award for Pell Grant
recipients.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title IV-A of the Higher Education Act of 1965.

## PURPOSE(S): 

The information in this system is used to prepare processed student
payment data for submission to schools or their agents in order to
verify payments made to students.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS THE PURPOSES OF SUCH USES: 

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

\(1\) [Program Disclosures]{.underline}. Any information from this
system of records, including personal information obtained from other
agencies through computer matching programs, may be disclosed to any
third party through a computer matching program in connection with an
individual\'s application or participation in any grant or loan program
administered by the Department. Purposes of these disclosures may be to
determine program eligibility and benefits, enforce the conditions and
terms of the loan or grant, permit the servicing and collecting of the
loan or grant, counsel the individual in repayment efforts, investigate
possible fraud and verify compliance with program regulations, locate a
delinquent or defaulted debtor, and initiate legal action against an
individual involved in program fraud or abuse.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information necessary
to establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in subsection 31 U.S.C. 3711(f). A
consumer-reporting agency to which these disclosures may be made is
defined at 31 U.S.C.3701 (a)(3).

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

### STORAGE: 

Origination and disbursement reports are now stored electronically.
Decrease award and audit reports are maintained in hard copy.

### RETRIEVABILITY: 

Records are indexed by institution and by recipient name and Social
Security number within school.

### SAFEGUARDS: 

Direct access is restricted to authorized staff. A computerized badge
reading system controls physical access to the records housed within the
facility.

The computer system employed by the Department of Education offers a
high degree of resistance to tampering and circumvention. This security
system limits data access to Department of Education and contract staff
on a "need to know" basis, and controls individuals users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

Original copies are maintained until fiscal year funds are closed out
and then are stored at the Federal Records Center.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Student Aid Origination Team, Programs Systems Service, 400
Maryland Avenue, SW., Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

A student who has received a Federal Pell Grant, should presume that a
record exists. If you wish to determine whether a record exists
regarding you in the system of records, contact the system manager and
provide your name, social security number and date of birth. Your
request must meet the requirements of the regulations at 34 CFR 5b.5,
including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, you should
contact the system manager and provide information as described in the
Notification Procedure. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
you should contact the system manager with the information described in
the Notification Procedure, identify the specific items to be changed
and provide a written justification for the change. Your request must
meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information in this system is obtained from origination and disbursement
records provided by the school and its agent to the Department of
Education.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-03 Student Financial Assistance Validation File 

(64 FR 30162-30163)

[[]{#Notice181103 .anchor}18-11-03](#Backto181103) June 4, 1999

## SYSTEM NAME: 

Student Financial Assistance Validation File.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Debt Collection, Division of Certification and Program Review, Office of
Student Financial Assistance Programs, U.S. Department of Education,
Seventh and D Streets, SW., Room 4520, ROB-3, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system consists of student financial assistance application, award
and servicing forms and documentation, and parents\' and students\'
personal identification numbers assigned by the Department.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title IV of the Higher Education Act of 1965.

## PURPOSE(S): 

The information in this system is used to determine program eligibility
and benefits, enforce the conditions and terms of the loan or grant,
permit the servicing and collecting of the loan or grant, counsel the
individual in repayment efforts, investigate possible fraud and verify
compliance with program regulations, locate a delinquent or defaulted
debtor, and initiate legal action against an individual involved in
program fraud or abuse.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(2\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(3\) [Program Disclosures]{.underline}. Any information from this
system of records, including personal information obtained from other
agencies through computer matching programs, may be disclosed to any
third party through a computer matching program in connection with an
individual\'s application or participation in any grant or loan program
administered by the Department of Education. Purposes of these
disclosures may be to determine program eligibility and benefits,
enforce the conditions and terms of the loan or grant, permit the
servicing and collecting of the loan or grant, counsel the individual in
repayment efforts, investigate possible fraud and verify compliance with
program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud or
abuse.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, taxpayer identification number and other information necessary
to establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in subsection 31 U.S.C. 3711(f). A consumer
reporting agency to which these disclosures may be made is defined at 31
U.S.C.3701(a)(3).

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

### STORAGE: 

Records are maintained in standard file cabinets.

### RETRIEVABILITY: 

Records are indexed by name.

### SAFEGUARDS: 

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

### RETENTION AND DISPOSAL: 

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

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Division of Certification and Program Review, Office of
Student Financial Assistance Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 4520, ROB-3, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

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

### CONTESTING RECORD PROCEDURES: 

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

### RECORD SOURCE CATEGORIES: 

Information in this system is obtained from application data, incoming
correspondence and related material, obtained during course of
investigation; Program System Service (PSS), National Student Loan Data
Systems Division (NSLDS).

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-05 Title IV Program Files 

(64 FR 30163-30166)

[[]{#Notice181105 .anchor}18-11-05](#Backto181105) June 4, 1999

## SYSTEM NAME: 

Title IV Program Files.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Program System Service, Office of Student Financial Assistance Programs,
U.S. Department of Education, Seventh and D Streets, SW., Room 4640,
ROB-3, Washington, DC 20202-5258.

Computer Sciences Corporation, Meridan, Connecticut.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on the following individuals:

\(1\) Individuals who apply for Federal financial student aid;

\(2\) Recipients of Pell Grants;

\(3\) Recipients of Federal Direct Student Loans; and

\(4\) Borrowers whose loan defaulted or borrower died, became disabled
or had a loan discharged in bankruptcy under the Federal Direct Student
Loan Program.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system contains records regarding the amount of Pell Grant
applicant receives; applicant\'s demographic background, loan, and
educational status; family income; Social Security number; address and
telephone number; and employment information on borrowers and
co-signers; default claim number; amount of claim; information
pertaining to locating a borrower; collection and repayment history;
information pertaining to the amount of the loan and repayment
obligation; forbearance; cancellation; disability; and deferment
information; and a personal identification numbers assigned by the
Department.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as
amended (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a,
1087aa-hh).

## PURPOSE(S): 

The information maintained in this system is used for the purposes of
determining program eligibility and benefits, verifying the identity of
the individual, enforcing the conditions and terms of the loan or grant,
permitting the servicing and collecting of the loan or grant, counseling
the individual in repayment efforts, investigating possible fraud and
verifying compliance with program regulations, locating a delinquent or
defaulted debtor or locating a recipient owing an overpayment on a
grant, initiating legal action against an individual involved in program
fraud, abuse, or noncompliance, and enforcing Title IV requirements
against schools, lenders, and guaranty agencies.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act, under computer matching agreements.

\(1\) [Program Disclosures]{.underline}. ED may disclose records for the
following program purposes:

\(a\) To verify the identity of the applicant, disclosures may be made
to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, contractors,
business and personal associates and consumer reporting agencies.

\(b\) To determine program eligibility and benefits, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, contractors,
business and personal associates and consumer reporting agencies.

\(c\) To facilitate default reduction efforts by program participants,
disclosures may be made to guaranty agencies, educational and financial
agencies or institutions, Federal, State or local agencies, consumer
reporting agencies, contractors and hearing officials.

\(d\) To enforce the conditions or terms of the loan, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(e\) To enforce the conditions or terms of the grant, disclosures may
be made to educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.

\(f\) To permit servicing, collecting or accepting the loan, disclosures
may be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(g\) To permit collecting overpayment on grants, disclosures may be
made to, educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.

\(h\) To counsel the borrower in repayment efforts, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, contractors and Federal, State or local agencies.

\(i\) To investigate possible fraud and verify compliance with loan
program regulations, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials.

\(j\) To investigate possible fraud and verify compliance with grant
program regulations, disclosures may be made to educational and
financial agencies or institutions, Federal, State or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, consumer reporting
agencies, contractors and hearing officials.

\(k\) To locate a delinquent or defaulted borrower, disclosures may be
made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(l\) To locate an individual who owes a refund on a grant, disclosures
may be made to educational and financial agencies or institutions,
Federal, State or local agencies, private parties such as relatives,
present and former employers and creditors, business and personal
associates, consumer reporting agencies, contractors and hearing
officials.

\(m\) To issue collection letters to defaulted borrowers, disclosures
may be made to guaranty agencies, educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(n\) To issue collection letters to an individual who owes a refund on
a grant, disclosures may be made to educational and financial agencies
or institutions, Federal, State or local agencies, private parties such
as relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(o\) To locate a missing borrower, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.

\(p\) To locate a missing individual who owes a refund on a grant,
disclosures may be made to educational and financial agencies or
institutions, Federal, State or local agencies, private parties such as
relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
hearing officials.

\(q\) To collect in-file history information and to determine assets and
ability to pay a loan debt, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, Federal,
State or local agencies, private parties such as relatives, present and
former employers and creditors, business and personal associates,
consumer reporting agencies, contractors and hearing officials.

\(r\) To collect in-file history information and to determine assets and
ability to refund an overpayment, disclosures may be made to educational
and financial agencies or institutions, Federal, State or local
agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials(s) To determine
last known address, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, private parties such as relatives, present and former
employers and creditors, business and personal associates, consumer
reporting agencies, contractors and hearing officials.

\(t\) To conduct a salary offset hearing under 34 CFR Part 31,
disclosures may be made to Federal agencies, contractors and hearing
officials.

\(u\) To prepare for litigation or to litigate collection service and
audit, disclosures may be made to guaranty agencies, Federal, State or
local agencies, contractors and hearing officials.

\(v\) To initiate a limitation, suspension and termination (LS&T) or
debarment or suspension action, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions and hearing
officials.

\(w\) To ensure Title IV requirements are met by schools, lenders and
guaranty agencies, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, Federal, State or
local agencies, and hearing officials.

\(x\) To verify death, disclosures may be made to guaranty agencies,
educational and financial agencies or institutions, private parties such
as relatives, present and former employers and creditors, business and
personal associates, consumer reporting agencies, contractors and
Federal, State or local agencies.

\(y\) To conduct credit checks, disclosures may be made to guaranty
agencies, educational and financial agencies or institutions, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and Federal, State or local agencies.

\(z\) To investigate complaints, update files, and correct errors,
disclosures may be made to guaranty agencies, educational and financial
agencies or institutions, Federal, State or local agencies, private
parties such as relatives, present and former employers and creditors,
business and personal associates, consumer reporting agencies,
contractors and hearing officials.

\(2\) [Feasibility Study Disclosure]{.underline}. Any information from
this system of records may be disclosed to other Federal agencies and to
guaranty agencies to determine whether computer matching programs should
be conducted by the Department regarding an individual\'s application
for or participation in any grant or loan program administered by the
Department. Purposes of these disclosures may be to determine program
eligibility and benefits, facilitate default reduction efforts, enforce
the conditions and terms of a loan or grant, permit the servicing and
collecting of the loan or grant, enforce debarment, suspension, and
exclusionary actions, counsel the individual in repayment efforts,
investigate possible fraud and verify compliance with program
regulations, locate a delinquent or defaulted debtor, and initiate legal
action against an individual involved in program fraud or abuse.

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto if the information is relevant to any
enforcement, regulatory, investigative, or prosecutive responsibility of
the receiving entity.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

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

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

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

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

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

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

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

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record from this system of records as a routine use to a
Federal, State, or local agency maintaining civil, criminal, or other
relevant enforcement or other pertinent records, such as current
licenses, if the disclosure is necessary to obtain a record the
Department believes may be relevant to a Department decision concerning
the hiring, retention of, or any personnel action concerning an
employee, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional Licensing
Organizations]{.underline}. The Department may disclose information from
this system of records as a routine use to a Federal, State, local, or
foreign agency or other public authority or professional licensing
organization, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a license,
grant, or other benefit.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
If a record maintained in this system of records is relevant to an
employee grievance or complaint or employee discipline or competence
determination proceedings of another party of the Federal Government,
the Department may disclose the record as a routine use in the course of
the proceedings.

\(7\) [Labor Organization Disclosure]{.underline}. Where a contract
between a component of the Department and a labor organization
recognized under Chapter 71, U.S.C. Title V provides that the Department
will disclose personal records relevant to the organization\'s mission,
records in this system of records may be disclosed as a routine use to
such an organization.

\(8\) [Contract Disclosure]{.underline}. When the Department
contemplates that it will contract with a private firm for the purpose
of collating, analyzing, aggregating, or otherwise refining records or
performing any other function with respect to the records in this
system, relevant records will be disclosed to such a contractor. The
contractor shall be required to maintain Privacy Act safeguards with
respect to such records.

\(9\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose information from this system of records as a
routine use to the Department of Justice to the extent necessary for
obtaining its advice on any matter relevant to an audit, inspection, or
other inquiry related to the Department\'s responsibilities under Title
IV of the Higher Education Act of 1965.

\(10\) [Research Disclosure]{.underline}. When the appropriate official
of the Department determines that an individual or organization is
qualified to carry out specific research, that official may disclose
information from this system of records to that researcher solely for
the purpose of carrying out that research. The researcher shall be
required to maintain Privacy Act SAFEGUARDS with respect to such
records.

\(11\) [Computer Matching Disclosure]{.underline}. Any information from
this system of records, including personal information obtained from
other agencies through computer matching programs, may be disclosed to
any third party through a computer matching program in connection with
an individual\'s application for, or participation in, any grant or loan
program administered by the Department. The purposes of these
disclosures may be to determine program eligibility and benefits,
enforce the condition and terms of a loan or grant, permit the servicing
and collecting of the loan or grant, prosecute or enforce debarment,
suspension, and exclusionary actions, counsel the individual in
repayment efforts, investigate possible fraud and verify compliance with
program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud or
abuse.

Among other disclosures, this routine use authorizes disclosure to any
other Federal agency, including the Defense Manpower Data Center,
Department of Defense, for the purposes of identifying and locating
individuals who are delinquent in their repayment of debts owed to the
U.S. Government under Title IV, HEA programs of the Department, in order
to collect the debts under the provisions of the Debt Collection Act of
1982 (including 31 U.S.C. Chapter 37 and 5 U.S.C. 5514) and 31 CFR Part
31 by voluntary repayment or by administrative or salary offset.

\(13\) [Freedom of Information Act (FOIA) Advice
Disclosure]{.underline}. In the event that the Department deems it
desirable or necessary, in determining whether particular records are
required to be disclosed under the Freedom of Information Act,
disclosure may be made to the Department of Justice or the Office of
Management and Budget for the purpose of obtaining their advice.

\(14\) [Congressional Member Disclosure]{.underline}. The Department may
disclose information contained in a record in this system of records
under the routine uses listed in this system of records without the
consent of the individual if the disclosure is compatible with the
purposes for the which the record was collected. The member\'s right to
the information is no greater than the right of the individual who
requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim
which is determined to be valid and overdue as follows: (1) The name,
address, social security number, and other information necessary to
establish the identity of the individual responsible for the claim; (2)
the amount, status, and history of the claim; and (3) the program under
which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in 31 U.S.C. 3711(f). A consumer Reporting agency
to which these disclosures may be made is defined at 15 U.S.C. 1681a(f)
and 31 U.S.C. 3701(a)(3).

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

### STORAGE: 

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

### RETRIEVABILITY: 

The file is indexed by Social Security number or name. Data for loans
made under the Federal Direct Student Loan Program, FISL Program,
Federal Perkins Loan (formerly National Direct Student Loan) Program,
Federal Pell Grant Program, and some FFELs are retrievable by Social
Security number.

### SAFEGUARDS: 

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

The computer system employed by the Department of Education offers a
high degree of resistance to tampering and circumvention. This security
system limits data access to Department of Education and contract staff
on a \"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

Records of individual loans may be destroyed five years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant recipients may be
destroyed five years after the fiscal operations report is filed.
Records of Federal Pell Grant recipients may be destroyed five years
after the initial award year has ended, as set forth in appropriate
record retention schedules.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Program Systems Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4640, ROB-3, Washington, DC 20202-5258.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, you should provide to the system manager your name,
date of birth, Social Security number, and the name of the school or
lender from which the loan or grant was obtained. Your request must meet
the requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, you should
contact the system manager and provide information as described in the
Notification Procedure. Requests by an individual for access to a record
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
contact the system manager with the information described in the
Notification Procedure, identify the specific items to be changed, and
provide a written justification for the change. Requests to amend a
record must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information is obtained from reports from borrowers and their families,
lenders, schools, examining or treating physicians, employers, credit
agencies, Federal and State governmental agencies, and State or private
nonprofit guaranty agencies. However, lenders and guaranty agencies are
not a source of information for participants in the Federal Direct
Student Loan Program, since the Department maintains individual records
of borrowers for this program.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

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

(64 FR 72395-72397)

[[]{#Notice181106 .anchor}18-11-06](#Backto181106) December 27, 1999

## SYSTEM NAME: 

National Student Loan Data System (NSLDS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT
06450-7151.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The NSLDS contains records on borrowers who have applied for and
received loans under the William D. Ford Federal Direct Loan Program,
the Federal Family Education Loan (FFEL) Program, the Federal Insured
Student Loan (FISL) Program, and the Federal Perkins Loan Program
(including National Defense Student Loans, National Direct Student
Loans, Perkins Expanded Lending and Income Contingent Loans). The NSLDS
also contains records on recipients of Federal Pell Grants and persons
who owe an overpayment on a Federal Pell Grant, Federal Supplemental
Educational Opportunity Grant or Federal Perkins Loans.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

The NSLDS contains records regarding: (1) Student/borrower identifier
information including Social Security number, date of birth and name;
(2) the information on borrowers\' loans covering the entire life cycle
of a loan from origination through final payment, cancellation,
discharge or other final disposition including details regarding each
loan received by a student such as information on loan amounts,
educational status, disbursements, balances, loan status, collections,
claims, deferments, refunds and cancellations; (3) enrollment
information including school(s) attended, anticipated completion date,
enrollment status and effective dates; (4) student demographic
information such as course of study, dependency, citizenship, gender,
data on family income, expected family contribution, and address; (5)
Federal Pell Grant amounts and dates; and (6) Federal Pell Grant,
Federal Supplemental Educational Opportunity Grant, and Federal Perkins
Loan Program overpayments.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1092b (1993).

## PURPOSE(S): 

This system of records is used for the following purposes: (1) To
provide pre-screening and post-screening for Title IV aid eligibility;
(2) to provide default rate calculations for educational institutions,
guaranty agencies, and lenders; (3) to report changes in
student/borrower enrollment status via a Student Status Confirmation
Report (SSCR) or other means; (4) to prepare electronic financial aid
history information; (5) to assist guaranty agencies, educational
institutions, financial institutions and servicers collect loans; (6) to
provide audit and program review planning; (7) to support research
studies and policy development; (8) to conduct budget analysis and
development; (9) to track loan transfers from one entity to another;
(10) to assess Title IV Program administration of guaranty agencies,
educational institutions, financial institutions and servicers; (11) to
track loan borrowers and overpayment debtors;

\(12\) to provide information that supports Credit Reform Act of 1992
requirements; (13) to provide information to track
refunds/cancellations; and (14) to assist in the collection of debts
owed to the Department under Title IV of the Higher Education Act, as
amended.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

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

\(1\) [Program Purposes]{.underline}. The Department may disclose
records for the following program purposes:

\(a\) To verify the identity of the applicant involved, the accuracy of
the record, or to assist with the determination of program eligibility
and benefits, the Department may disclose records to the applicant,
guaranty agencies, educational institutions, financial institutions and
servicers, and to Federal and State agencies;

\(b\) To provide default rate calculations, the Department may disclose
records to guaranty agencies, educational institutions, financial
institutions and servicers, and to State agencies;

\(c\) To provide a standardized method for educational institutions to
efficiently submit student enrollment status information, the Department
may disclose records to guaranty agencies, educational institutions,
financial institutions and servicers;

\(d\) To provide financial aid history information, the Department may
disclose records to educational institutions and servicers;

\(e\) To assist loan holders in the collection of loans and to support
pre-claims/supplemental pre-claims assistance, the Department may
disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State or Local
agencies;

\(f\) To support auditors and program reviewers in planning and carrying
out their assessments of Title IV Program compliance, the Department may
disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State and Local
agencies;

\(g\) To support researchers and policy analysts, the Department may
disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State and Local
agencies; using safeguards to ensure compliance with the Privacy Act,
disclosures may also be made to other researchers and policy analysts
not associated with guaranty agencies, educational institutions,
financial institutions or servicers;

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

\(i\) To assist in locating holders of loan(s), the Department may
disclose records to students/borrowers, guaranty agencies, educational
institutions, financial institutions and servicers, and to Federal,
State or Local agencies;

\(j\) To assist analysts in assessing Title IV Program administration of
guaranty agencies, educational institutions, financial institutions and
servicers, the Department may disclose records to Federal and State
agencies;

\(k\) To assist loan holders in locating borrowers and overpayment
holders in locating debtors, the Department may disclose records to
guaranty agencies, educational institutions, financial institutions and
servicers, and to Federal agencies;

\(l\) To assist with meeting Credit Reform Act of 1992 requirements, the
Department may disclose records to Federal agencies;

\(m\) To assist program administrators with tracking refunds and
cancellations, the Department may disclose records to guaranty agencies,
educational institutions, financial institutions and servicers, and to
Federal and State agencies;

\(n\) To enforce the terms of a loan, assist in the collection of a loan
and assist in the collection of an aid overpayment, the Department may
disclose records to guaranty agencies, educational institutions,
financial institutions and servicers, and to Federal, State, or Local
agencies.

\(2\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation, or has an interest in
litigation, the Department may disclose certain records to the parties
described in paragraphs (b), (c) and (d) of this routine use under the
conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

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

\(iii\) Any employee of the Department in his or her individual capacity
where the Department of Justice has agreed to provide or arrange for
representation for the employee; or

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

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

\(b\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the
Department of Justice or attorneys engaged by the Department of Justice
is relevant and necessary to litigation and is compatible with the
purpose for which the records were collected, the Department may
disclose those records as a routine use to the Department of Justice.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, individual or
entity designated by the Department or otherwise empowered to resolve
disputes is relevant and necessary to the administrative litigation and
is compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the
adjudicative body, individual or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation, the Department
may disclose those records as a routine use to the party, counsel,
representative or witness.

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether foreign,
Federal, State, Tribal, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto.

\(4\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records as a routine use to those employees.
Before entering into such a contract, the Department shall require the
contractor to maintain Privacy Act safeguards as required under 5 U.S.C.
552a(m) with respect to the records in the system.

\(5\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose individually identifiable information to OMB as necessary to
fulfill CRA requirements. (These requirements currently include transfer
of data on lender interest benefits and special allowance payments,
defaulted loan balances, and supplemental pre-claims assistance payments
information.).

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
If a record is relevant and necessary to an employee grievance,
complaint, or disciplinary action, the Department may disclose the
record in the course of investigation, fact-finding, or adjudication to
any witness, designated fact-finder, mediator, or other person
designated to resolve issues or decide the matter.

\(7\) [Labor Organization Disclosure]{.underline}. Where a contract
between a component of the Department and a labor organization
recognized under 5 U.S.C., Chapter 71, provides that the Department will
disclose personal records relevant and necessary to the organization\'s
mission, records in this system of records may be disclosed as a routine
use to such an organization.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
In the event that the Department deems it desirable or necessary in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice for the purpose of obtaining its advice.

\(9\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose information from this system of records as a
routine use to the Department of Justice to the extent necessary for
obtaining its advice on any matter relevant to an audit, inspection, or
other inquiry related to the Department\'s responsibilities under Title
IV of the Higher Education Act of 1965.

\(10\) [Congressional Member Disclosure]{.underline}. The Department may
disclose information from this system of records to a congressional
office from the record of an individual in response to an inquiry from
the congressional office made at the written request of that individual;
the Member\'s right to the information is no greater than the right of
the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose
to a consumer-reporting agency information regarding a claim which is
determined to be valid and overdue as follows: (1) The name, taxpayer
identification number and other information necessary to establish the
identity of the individual responsible for the claim; (2) the amount,
status, and history of the claim; and (3) the program under which the
claim arose. The Department may disclose the information specified in
this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained
in 31 U.S.C. 3711(f). A consumer reporting agency to which these the
Department may disclose records is defined at 15 U.S.C. 1681a(f), and 31
U.S.C. 3701 (a)(3).

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

### STORAGE: 

The records are maintained on magnetic tape and computer disk media.

### RETRIEVABILITY: 

Student/Borrower data are retrieved by matching Social Security number
and, as needed to reliably identify an individual, name and date of
birth.

### SAFEGUARDS: 

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

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention by use of software that
requires user access to be defined to specific online functions. This
security system limits data access to users on a \"need to know\" basis
and controls individual users\' ability to access and alter records
within the system. All users of this system are given a unique user ID
with a personal identifier. Most data is loaded into NSLDS via a batch
process. The security utilized ensures that only data from authorized
data providers can add or update records in NSLDS.

### RETENTION AND DISPOSAL: 

Records of individual closed loans and aid overpayments will be
transferred to tape/disk for retention and storage at the system
location. All records are retained permanently due to research needs,
budget projections, and legislative analysis.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Program Systems Service, U.S. Department of Education, Office
of Student Financial Assistance, 400 Maryland Ave., SW, ROB-3, room
4640, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in this
system of records, you must provide the system manager your name, date
of birth, Social Security number, and the name of the school or lender
from which the loan or grant was obtained. Requests for notification
must meet the requirements of the Department\'s Privacy Act regulations
at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, you must contact
the system manager and provide information as described in the
notification procedures. Such requests must meet the requirements of the
Department\'s Privacy Act regulations at 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
you must contact the system manager with the information described in
the notification procedures, identify the specific item(s) to be
changed, and provide a written justification for the change, including
any supporting documentation. Requests to amend a record must meet the
requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.7.

### RECORD SOURCE CATEGORIES: 

Information is obtained from guaranty agencies, educational
institutions, financial institutions and servicers. Information is also
obtained from other Department systems such as the Direct Loan Servicing
System, Debt Management Collection System, Pell Grant System,
Postsecondary Education Participant System and Central Processing
System.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-07 Student Financial Assistance Collection Files 

(64 FR 30166-30169)

[[]{#Notice181107 .anchor}18-11-07](#Backto181107) June 4, 1999

## SYSTEM NAME: 

Student Financial Assistance Collection Files.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

Program Systems Support, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW., Room
4640, ROB-3, Washington, DC 20202-5258.

See the Appendix to this system notice for additional system locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on those individuals who have student loans
made under the Federal Family Education Loan (FFEL) Program: Stafford
Loans (formerly the Guaranteed Student Loan Program (GSL), including
Federally Insured Student Loans (FISL)), Supplemental Loans for Students
(SLS), PLUS Loans (formerly Parental Loans for Undergraduate Students),
and Consolidation Loans; the William D. Ford Federal Direct Student Loan
(Direct Loan) Program (formerly known as the Stafford/Ford Loan Program
(SFLP), Federal Direct Unsubsidized Stafford/Ford Loan Program, Federal
Direct Consolidation Loan, and Federal Direct Plus Loans; and Federal
Perkins Loans (formerly National Direct/Defense Student Loans (NDSL))
and those who are awarded grants under the Pell Grant Program and the
Supplemental Education Opportunity Grant Program (SEOG).

## CATEGORIES OF RECORDS IN THE SYSTEM: 

This system contains records regarding an applicant\'s demographic
background; loan, repayment history; and educational status; family
income; social security number; address and telephone numbers;
employment information on borrowers and co-signers; collection activity
on accounts; default claim number; amount of claim; information
pertaining to locating a borrower; collection and repayment obligation;
forbearance; cancellation; disability; deferment; administrative wage
garnishment; bankruptcy, death; close school discharge; hearings;
photocopy of all promissory notes; account collection records;
administrative resolutions and litigations; and parents\' and students\'
personal identification numbers assigned by the Department.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as
amended, (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a, and
1087aa-hh).

## PURPOSE(S): 

The information contained in the records maintained in this system is
used for the purposes of determining program eligibility and benefits,
verifying the identity of the individual, enforcing the conditions and
terms of the loan or grant, permitting the servicing and collecting of
the loan or grant, counseling the individual in repayment efforts,
investigating possible fraud and verifying compliance with program
regulations, locating a delinquent or defaulted debtor or locating a
recipient owing an overpayment on a grant, initiating legal action
against an individual involved in program fraud, abuse, or
noncompliance, and enforcing Title IV requirements against schools,
lenders, and guaranty agencies.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

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

\(1\) [Program Disclosures]{.underline}. The Department may disclose
information from this system to Federal, State, or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, guaranty agencies,
educational and financial agencies or institutions, consumer reporting
agencies, contractors and hearing officials for the following purposes:
(1) To verify the identity of the applicant; (2) to determine program
eligibility and benefits; (3) to facilitate default reduction efforts by
program participants; (4) to enforce the conditions or terms of the
loan; (5) to permit servicing, collecting, or accepting the loan; (6) to
counsel the borrower in repayment efforts; (7) to investigate possible
fraud and verify compliance with program regulations; (8) to locate a
delinquent or defaulted borrower; (9) to issue collection letters; (10)
to locate a missing borrower; (11) to collect in-file history
information to determine assets and ability to pay; (12) to determine
last known address; (13) to conduct a salary offset hearing under 34 CFR
part 31; (14) to prepare for litigation or to litigate collection
service and audit; (15) to initiate a limitation, suspension, and
termination (LS&T) or debarment or suspension action; (16) to ensure
Title IV requirements are met by schools, lenders, and guaranty
agencies; (17) to verify death; (18) to conduct credit checks; and (19)
to investigate complaints, update files, and correct errors.

\(2\) [Feasibility Study Disclosure]{.underline}. The Department may
disclose information from this system of records to other Federal
agencies and to guaranty agencies to determine whether computer matching
programs should be conducted by the Department regarding an
individual\'s application for or participation in any grant or loan
program administered by the Department. Purposes of these disclosures
may be to determine program eligibility and benefits, facilitate default
reduction efforts, enforce the conditions and terms of a loan or grant,
permit the servicing and collecting of the loan or grant, enforce
debarment, suspension, and exclusionary actions, counsel the individual
in repayment efforts, investigate possible fraud and verify compliance
with program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud or
abuse.

\(3\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(4\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(5\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(6\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(7\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(8\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(9\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(10\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(11\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(12\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(13\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(1) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE: 

The records are maintained in either hardcopy, microfilm, magnetic tape,
or other electronic media.

### RETRIEVABILITY: 

Records are retrievable by Social Security number.

### SAFEGUARDS: 

All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system utilized by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to the Department and contract staff on a \"need-to-know\"
basis, and controls individual users\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

Records of individual loans may be destroyed five (5) years after
cancellation, forgiveness or final repayment of the loan. Records of
Federal Supplemental Educational Opportunity Grant (SEOG) recipients may
be destroyed five (5) years after the fiscal operations report is filed.
Records of Federal Pell Grant recipients may be destroyed five (5) years
after the initial award year has ended, as set forth in appropriate
record retention schedules.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Program Systems Support, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4640, ROB-3, Washington, DC 20202-5258.

See the Appendix at the end of this system notice for additional system
managers.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth and Social Security number. Requests must meet the requirements of
the regulations at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the notification
procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

If you wish to change the content of a record in the system of records,
contact the system manager with the information described in the
notification procedure, identify the specific items to be changed, and
provide a written justification for the change. Requests to amend a
record must meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information is obtained from reports from borrowers and their families,
lenders, schools, examining or treating physicians, employers, credit
agencies, Federal and State governmental agencies, and State or private
nonprofit guaranty agencies. However, lenders and guaranty agencies are
not a source of information for participants in the Federal Direct
Student Loan Program, since the Department maintains individual records
of borrowers for this program.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

Appendix to 18-11-07

Additional System Managers and System Locations

Raytheon/E-Systems, 6201 I-30, Greenville, TX 75402. Assistant Regional
Administrator, U.S. Department of Education, Region IV, Division of
Claims and Collections, Office of Student Financial Assistance, 61
Forsyth Street, SW., Rm. 19T89, Atlanta, GA 30303.

Assistant Regional Administrator, U.S. Department of Education, Region
V, Division of Claims and Collections, Office of Student Financial
Assistance, 111 North Canal Street, Suite 1009, Chicago, Illinois 60605.

Assistant Regional Administrator, U.S. Department of Education, Region
IX, Division of Claims and Collections, Office of Student Financial
Assistance, 50 United Nations Plaza, Room 250, San Francisco, California
94102.

# 18-11-08 Student Account Manager System 

(64 FR 30169-30171)

[[]{#Notice181108 .anchor}18-11-08](#Backto181108) June 4, 1999

## SYSTEM NAME: 

Student Account Manager System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

Program Systems Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, Seventh and D Streets, SW., Room
4640, ROB-3, Washington, DC 20202. National Computer Systems, 2510 North
Dodge Street, Iowa City, Iowa 52240.

Total Systems Services, Inc, 6101 Stone Mill Drive, Columbus, GA; Golden
Retriever System, 8 N. Roosevelt Avenue, Chandler, AZ 85221.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The Student Account Manager System contains student financial assistance
records about students and/or borrowers both who have applied for loans
under any Title IV Federal loan program and students who have applied
for grants under any Title IV Federal grant program.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

The Student Account Manager System contains records relating to a
student and/or borrower\'s originated awards and disbursements of Title
IV financial assistance and a personal identification number assigned by
the Department. The system contains three data element types as outlined
below: demographic information, such as student and/or borrower name,
mailing and permanent address, e-mail address, current and original
Social Security number, phone number, date of birth, student account
number; loan and grant funding and award information, including the
Title IV code for the school(s) for which students and/or borrowers have
requested determinations of Federal financial assistance eligibility,
the origination date and I.D., the funding source I.D., loan holder,
credit limit or award amount; loan and grant transaction information,
including the transaction date, posting date, disbursement amount,
acceptance/rejection field, batch number.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Higher Education Act of 1965, Title IV-A through IV-H, as amended, (20
U.S.C. 1092b).

## PURPOSE(S): 

This system of records is provided for the purposes of:

\(1\) Giving students a single point of contact for information,
statements, and customer service concerning their Federal student
financial assistance (loans and grants) from various programs and
sources;

\(2\) Providing eligible institutions of higher education with a
standardized method for the receipt of Title IV student financial
assistance; and

\(3\) Creating summary reports for Federal loan and grant funding
sources and program offices for loans and grants delivered through the
Student Account Manager.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Program purposes]{.underline}. Records may be disclosed for the
following program purposes:

\(a\) To report disbursement activity, disclosures may be made to
appropriate guaranty agencies, educational and financial institutions,
and Federal agencies.

\(b\) To deliver Federal student assistance funds to the educational
institution at which the student is enrolled, disclosures may be made to
that educational institution.

\(2\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(3\) [Enforcement disclosures]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute, or
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation disclosure and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint, or Conduct
Disclosure]{.underline}. The Department may disclose a record in this
system of records to another agency of the Federal Government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: Complaint, grievance,
discipline or competence determination proceedings. The disclosure may
only be made during the course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional member disclosure]{.underline}. The Department may
disclose information to a member of congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE: 

The records at the National Computer Systems (NCS) are maintained on the
mainframe at the NCS data center in Iowa City, IA and archived onto
magnetic tape. Total System records are maintained on a mainframe
database in Columbus, GA and backed up onto magnetic tapes. Golden
Retriever System records are maintained on a sequel server database in
Chandler, AZ and backed up onto CD-ROM.

### RETRIEVABILITY: 

Each student and/or borrower\'s file is indexed by social security
number and the first two characters of their last name.

### SAFEGUARDS: 

All users of this system are given a unique user ID with a personal
identifier. Student and parent users are assigned an Electronic Access
Code (EAC) through the Federal Student Aid Application Files Privacy Act
system of records number 18-11-01 by which they can access their
accounts. All physical access to the Department\'s site, and the sites
of Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to the Department, agents of the Department (including
schools and funding sources), and contract staff on a \"need-to-know\"
basis, and controls individual users\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with passwords.

### RETENTION AND DISPOSAL:

[Federal Loan Records]{.underline}: The Department will retain and
dispose of loan records in accordance with the Department\'s Records
Disposition Schedules (ED/RDS), Part 10, Item 16. Individual records
(applications, certifications, disbursements, correspondence, and
related records) for Federal loans may be destroyed three years after
cancellation, forgiveness or final repayment of the Loan (ED/RDS, Part
10, Item 16). Electronic Federal loan records will be kept online and
easily available for 24 months after reconciliation with the funding
source, then retained in accordance with ED/RDS, Part 10, Item 16.

[Federal Pell Grant Records]{.underline}: The Department will retain and
dispose of Pell Grant records in accordance with ED/RDS, Part 10, Item
17. Records of Federal Pell Grant recipients (applications, payment,
correspondence, and related records) will be transferred to a Federal
Records Center after final payment to grantee. Individual Pell Grant
records may be destroyed 15 years after final payment to grantee
(ED/RDS, Part 10, Item 17). Individual records for unapproved Federal
Pell Grant applications will be transferred to a Federal Records Center
120 days after a rejection or withdrawal, and may be destroyed three
years after date of rejection or withdrawal (ED/RDS, Part 10, Item
17(d)). Electronic Federal Pell Grant records will be kept online and
easily available for 24 months after reconciliation with the funding
source, then retained in accordance with ED/RDS, Part 10, Item 17.

### SYSTEM MANAGER(S) AND ADDRESS: 

Service Director, Program Systems Service, Office of Student Financial
Assistance Programs, U.S. Department of Education, 400 Maryland Avenue,
SW., ROB-3, Room 4640, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If an individual wishes to determine whether a record exists regarding
him or her in this system of records, the individual may gain access to
the system via the Internet or by contacting the system administrator
through the Student Account Manager\'s customer service e-mail address
or toll-free telephone number. (To obtain access to records by
telephone, the student must first authorize telephone access through the
Student Account Manager\'s website using his or her Electronic Access
Code.) The student must provide the system manager with his or her name,
date of birth, Social Security number, and Electronic Access Code (EAC).
Requests for notification about an individual must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.
Individuals may also present their requests in person at any of the
locations identified for this system of records or address their
requests to the system manager at the following address: Program Systems
Service, Office of Student Financial Assistance Programs, U.S.
Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 4640,
Washington, DC 20202.

### RECORD ACCESS PROCEDURES: 

If an individual wishes to gain access to a record in this system, he or
she may do so via the Internet, by calling the toll free customer
service phone number using a touch-tone telephone, or by contacting the
system manager through the Student Account Manager\'s customer service
e-mail address or toll-free telephone number. (To obtain access to
records by telephone, the student must first authorize telephone access
through the Student Account Manager\'s website using his or her
Electronic Access Code.)

### CONTESTING RECORD PROCEDURES: 

If an individual wishes to change the contents of a record in the system
of records, he or she may challenge a transaction by contacting the
system manager by telephone or sending written notice to the Student
Account Manager\'s customer assistance area and providing the
information described in the notification procedure, identifying the
specific item(s) to be changed, and providing a written justification
for the change, including any supporting documentation.

### RECORD SOURCE CATEGORIES: 

Information is obtained from schools, lenders, guaranty agencies,
students, borrowers, the Title IV Program Files (Privacy Act system of
records number 18-11-05), the Federal Student Aid Application Files
Privacy Act system of records number 18-11-001), the Direct Loan
Origination Center, and the Recipient Funds Management System (RFMS).

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-09 Postsecondary Education Participants System (PEPS)

(64 FR 30171-30173)

[[]{#Notice181109 .anchor}18-11-09](#Backto181109) June 4, 1999

## SYSTEM NAME: 

Postsecondary Education Participants System (PEPS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The PEPS contains records about owners (individuals, either solely or as
partners, and corporate entities), officials, and authorized agents of
postsecondary institutions; members of boards of directors or trustees
of such institutions; employees of foreign entities that evaluate the
quality of education; third-party servicers, including contact persons.

## CATEGORIES OF RECORDS IN THE SYSTEM:

The PEPS contains information regarding the eligibility, administrative
capability, and financial responsibility of postsecondary schools that
participate in the student financial aid programs, including the names,
taxpayer identification numbers (Social Security numbers), business
addresses, phone numbers of the individuals with substantial ownership
interests in, or control over, those institutions, and personal
identification numbers assigned by the Department.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Higher Education Act of 1965, Title IV, as amended, (20 U.S.C. 1088,
1094, 1099c); the Debt Collection Improvement Act of 1996 (31 U.S.C.
7701).

## PURPOSE(S): 

The information contained in the PEPS is used for the purposes of
determining initial and continuing eligibility, administrative
capability and financial responsibility of postsecondary schools that
participate in the student financial assistance programs, tracking
school changes and maintaining history of this information regarding
schools that have ever applied to participate or participated in these
programs and documenting any need for any protective or corrective
action against a school or individual associated with the school.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Program Purposes]{.underline}. The Department may disclose
information contained in the PEPS to appropriate guaranty agencies,
educational and financial institutions, accrediting agencies, State
agencies, and appropriate Federal, State, or local agencies, in order to
verify and assist with the determination of eligibility, administrative
capability, and financial responsibility of postsecondary institutions
that have applied to participate in the student financial assistance
programs.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records in the PEPS,
as a routine use, to the appropriate agency, whether foreign, Federal,
State, Tribal, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or executive order or rule, regulation, or
order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosure]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or alternative dispute resolution
(ADR), or has an interest in litigation or ADR, the Department may
disclose PEPS records to the parties described in paragraphs (b), (c)
and (d) of this routine use under the conditions specified in those
paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any employee of the Department in his or her individual capacity
where the Department of Justice has agreed to provide or arrange for
representation for the employee; or

\(iv\) Any employee of the Department in his or her individual capacity
where the agency has agreed to represent the employee; or

\(v\) The United States, where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the Department of Justice]{.underline}. If the
Department determines that disclosure of certain records to the
Department of Justice is relevant and necessary to litigation, the
Department may disclose those records as a routine use to the Department
of Justice.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, or to an individual
or entity designated by the Department or otherwise empowered to resolve
or mediate disputes, is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to that adjudicative body, entity or individual.

\(d\) [Opposing counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to an
opposing counsel, representative or witness in an administrative
proceeding is relevant and necessary to the litigation, the Department
may disclose those records as a routine use to the counsel,
representative or witness.

\(4\) [Employment, Benefit and Contracting Disclosure]{.underline}.

\(a\) [For decisions by the Department]{.underline}. The Department may
disclose records to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.

\(b\) [For decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose records to a
Federal, State, local or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit, to the extent that the record is relevant and
necessary to the receiving entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in PEPS to another agency of the
Federal government if the record is relevant to a complaint, grievance,
discipline or competence determination proceeding regarding a present or
former employee of the Department. The disclosure may only be made
during the course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. The Department may
disclose records to a labor organization if a contract between the
Department and a labor organization recognized under Title V of the
United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purpose of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act SAFEGUARDS with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose to a consumer reporting agency information regarding a claim by
the Department which is determined to be valid and overdue as follows:
(a) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (b) the amount, status, and history of the
claim; and (c) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b)(12) and the procedures contained in subsection 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE: 

The records are maintained on electronic data files on a server.

### RETRIEVABILITY:

The records are indexed by the name of the institution or organization,
and may be retrieved by the OPEID of school, EIN (Entity Identification
Number) of the school or entity; or the name or TIN (Tax Identification
Number or social security number) of the individual.

### SAFEGUARDS: 

All physical access to the Department of Education site, and the sites
of Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge. The
computer system employed by the Department of Education offers a high
degree of resistance to tampering and circumvention. This security
system limits data access to staff of the Department of Education,
guarantors,. accrediting agencies, State agencies, and Department
contractors on a \"need-to-know\" basis, and controls individual users\'
ability to access and alter records within the system. All users of this
system of records are given a unique user ID with personal identifiers.
All interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL: 

History records are kept in PEPS indefinitely, or archived. Records are
maintained and destroyed in accordance with the Department of Education
Records Disposition Schedules (ED/RDS).

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Postsecondary Education Participants System, Office of Student
Financial Assistance Programs, U.S. Department of Education, Seventh and
D Streets, SW., Room 4629, ROB-3, Washington, DC 20202.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
PEPS, provide the system manager with your name and social security
number. Your request must meet the requirements of the regulations at 34
CFR 5b.5, including proof of identity. You may address your request, or
present that request in person, to the system manager at the address
above.

### RECORD ACCESS PROCEDURES: 

You may gain access to any record in the PEPS that pertain to you by
contacting the system manager and following the procedures for
notification listed above and must meet the requirements of 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES: 

You may contest the content of a record in PEPS pertaining to you by
presenting to the system manager, either in writing or in person, a
request to amend or correct that information. The request to amend, or
for an appointment to present an oral request, must be made in writing
mailed to the system manager at the address provided above. The request
must identify the particular record within the PEPS that you wish to
have changed, state whether you wish to have the record amended,
corrected or deleted, and explain the reasons why you wish to have the
record changed.

### RECORD SOURCE CATEGORIES: 

Information is obtained from applications submitted by institutions and
entities that seek to participate in the student financial assistance
programs and from components of the Department, from other Federal,
State and non-governmental agencies and organizations that acquire
information relevant to the purposes of the PEPS.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-10 Title IV Wide Area Network (Title IV WAN)

(70 FR 72397-72399)

[[]{#Notice181110 .anchor}18-11-10](#Backto181110) December 27, 1999

## SYSTEM NAME:

Student Aid Internet Gateway (SAIG), Participant Management System.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

Pearson Government Solutions, 2450 Oakdale Boulavard, Coralville, Iowa
52241.

Virtual Data Center (VDC), c/o Computer Science Corporation, 71
Deerfield Lane, Meriden, CT 06450-7151.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on those individuals who elect to
participate in the electronic exchange of data with the Department of
Education via the SAIG, or enroll in the Financial Aid Administration
system for access to either the Central Processing System (CPS) Online

or eCampus Online. Those eligible to participate include: financial aid
administrators, authorized employees or representatives of postsecondary
institutions, authorized employees or representatives of third-party
servicers, authorized employees or representatives of lenders,
authorized employees or representatives of guaranty agencies, and
authorized employees or representatives of state scholarship programs.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system consists of demographic contact information that individuals
affiliated with an authorized entity provide to request electronic
access to Title IV Student Aid Systems. Demographic information includes
the individual\'s name, address, and authentication information
(mother\'s maiden name, Social Security Number, and date of birth).

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

20 U.S.C. 1082, 1085, 1094, 1099C, Executive Order 9937.

**PURPOSE(S):**

The SAIG, Participant Management System performs the following:
processes stored data from the SAIG Enrollment Forms (Web and paper
versions); maintains the SAIG Enrollment Web site (named
FSAWebEnrollment.ed.gov); manages the assignment of individual ID

numbers (TG Numbers); and authenticate user\'s of the CPS Online and
e-Campus Online systems.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected.

These disclosures may be made on a case-by-case basis or, if the
Department has complied with the computer matching requirements of the
Privacy Act, under a computer matching agreement.

\(1\) Program disclosures. The Department may disclose records for the
following program purposes:

\(a\) Federal Direct Loan Program\--For participation in the Direct Loan
Program including the submission of origination records and the
reporting of disbursement records that require the transmission of data
over the SAIG.

\(b\) Central Processing System (CPS)\--Student application data
including corrections can be entered and obtained over the SAIG.

\(c\) Federal Pell Grant\--Program origination and disbursement records
must be reported electronically via the SAIG.

\(d\) Fiscal Operations Report and Application to Participate in the
Federal Campus-Based Programs (FISAP)\--Participating institutions are
required to submit their annual Fiscal Operations and Application to
Participate to the Department via the SAIG.

\(e\) National Student Loan Data Service (NSLDS)\--Institutions must be
provided access to NSLDS to perform online Enrollment Reporting
(formerly Student Status Confirmation Reporting (SSCR)) for updating
student enrollment data, and overpayment updates. Additionally,
institutions will be able to receive their cohort default rate (CDR)
notification (which includes eligibility letters and loan record detail
reports) via the SAIG.

\(f\) Lender Reporting System (LaRS)\--Lender institutions or their
servicers have the option to send financial reporting information to
Federal Student Aid\'s Financial Management System via SAIG.

\(2\) Freedom of Information Act (FOIA) advice disclosure. The
Department may disclose records to the Department of Justice (DOJ) and
the Office of Management and Budget if the Department seeks advice
regarding whether records maintained in the system of records are

required to be released under the FOIA and the Privacy Act of 1974.

\(3\) Disclosure to the DOJ. The Department May disclose records to the
DOJ to the extent necessary for obtaining DOJ advice on any matter
relevant to an audit, inspection, or other inquiry related to the
programs covered by this system.

\(4\) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

\(5\) Litigation and Alternative Dispute Resolution (ADR) disclosures.

\(a\) Introduction. In the event that one of the parties listed below is
involved in litigation or ADR, or has an interest in litigation or ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c), and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) Disclosure to the Department of Justice (DOJ). If the Department
determines that disclosure of certain records to the DOJ, or attorneys
engaged by DOJ, is relevant and necessary to litigation or ADR, and is
compatible with the purpose for which the records were

collected, the Department may disclose those records as a routine use to
the DOJ.

\(c\) Adjudicative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes

is relevant and necessary to the litigation or ADR, the Department may
disclose those records as a routine use to the adjudicative body,
individual, or entity.

\(d\) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(6\) Research disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or

purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain

Privacy Act safeguards with respect to the disclosed records.

\(7\) Congressional Member disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member\'s right to the information is no greater
than the right of the individual who requested it.

\(8\) Disclosure for use by law enforcement agencies. The Department may
disclose information to any Federal, State, local or other agencies
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that

information is relevant to any enforcement, regulatory, investigative or
prosecutorial responsibility within the entity\'s jurisdiction.

\(9\) Enforcement disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or charged
with enforcing or implementing the statute, Executive Order, rule,
regulation, or order issued pursuant thereto.

\(10\) Employment, benefit, and contracting disclosure. (a) Decisions by
the Department. The Department may disclose a record to a Federal,
State, or local agency maintaining civil, criminal, or other relevant
enforcement or other pertinent records, or to another public authority

or professional organization, if necessary to obtain information
relevant to a decision concerning the hiring or retention of an employee
or other personnel action, the issuance of a security

clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit.

\(b\) Decisions by Other Public Agencies and Professional Organizations.
The Department may disclose a record to a Federal, State, local, or
foreign agency or other public authority or

professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(11\) Employee grievance, complaint or conduct disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of the
following proceedings regarding a present or former employee of the

Department: Complaint, grievance, discipline or competence determination
proceedings. The disclosure may only be made during the course of the
proceeding.

\(12\) Labor organization disclosure. The Department may disclose
records from this system of records to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive representation.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose
to a consumer reporting agency information regarding a claim, which is
determined to be valid and overdue as follows: (1) The name, address,
and other information necessary to establish the identity of

the individual responsible for the claim; and (2) the program under
which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in subsection 31 U.S.C. 3711(e). A
consumer-reporting agency to which these disclosures may be made is
defined at 31 U.S.C. 3701(a)(3).

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

Records are maintained on a computer database as well as in hard copy.
All hard copy forms are loaded into an imaging system accessible through
internal systems only. Paper is stored in file cabinets at the Pearson
Government Solutions facility in Coralville, Iowa.

**RETRIEVABILITY:**

The records are retrieved by the names of the individual user and/or
unique system User ID.

**SAFEGUARDS:**

All users of this system will have a unique user ID with a personal
identifier.

This system does not use persistent cookies (data that a Web server
causes to be placed on a user\'s hard drive) to implement
personalization. It is the policy of the Department to prohibit the use
of persistent cookies on Department Web sites except when: there is a
compelling need; there are appropriate safeguards in place; the use is
personally approved by the Secretary of Education; and there is clear
and conspicuous notice to the public.

All physical access to the Department site, and the sites of Department
contractors where this system of records is maintained, is controlled
and monitored by security personnel who check each individual entering
the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \`\`need-to-know\'\'
basis, and controls individual users\'\' ability to access and

alter records within the system.

All users of this system of records are given a unique user ID with
personal identifiers.

All interactions by individual users with the system are recorded.

**RETENTION AND DISPOSAL:**

SAIG, Participation Management enrollment forms will be retained by the
manager of the SAIG Participation Management System (Pearson Government
Solutions) for 6 years after the expiration of the contract.

**SYSTEM MANAGER(S) AND ADDRESS:**

Sue O\'Flaherty, Deputy Director, Application Processing, U.S.
Department of Education, Students Channel, Federal Student Aid, Union
Center Plaza, 830 First Street NE., Room 32E2, Washington, DC 20202.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to a record regarding you in the system of
records, contact the system manager. Your request must meet the
requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.7.

**RECORD SOURCE CATEGORIES:**

Information in this system is obtained from the following entities:
financial aid administrators, postsecondary institutions, third-party
servicers, lenders, guaranty agencies, and state scholarship programs.

**SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE PRIVACY ACT:**

None.

18-11-11 Office of the Student Loan Ombudsman Records

(64 FR 72399-72400)

[[]{#Notice181111 .anchor}18-11-11](#Backto181111) December 27, 1999

## SYSTEM NAME: 

Office of the Student Loan Ombudsman Records.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Office of the Student Loan Ombudsman, Student Financial Assistance, 400
Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who are, were, or may be
participants in any of the Title IV Student Financial Assistance
Programs and who request assistance from the Ombudsman.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of a variety of records that identify the
individuals\' complaints, requests for assistance, or other inquiries.
Records include, but are not limited to: Written documentation of the
individual\'s complaint; request for assistance or other inquiry; and
information pertaining to the student\'s or parent\'s Title IV student
financial assistance program account(s), such as the person\'s name,
Social Security number, date of birth, address, telephone number(s), and
personal identification number. Additionally, records will include the
name, address, and phone numbers of school(s), lender(s), secondary
holder(s) or lender(s), guaranty agency(ies), and servicer(s).

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1018(f) (1998).

## PURPOSE(S): 

The information contained in this system will be used for a number of
purposes related to the duties and responsibilities of the SFA
Ombudsman, including: Verifying the identities of individuals; recording
complaints and problems; tracking individual cases through final
resolution; reporting complaint trends; analyzing the data to recommend
improvements in student financial assistance programs; and assisting in
the informal resolution of disputes.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act, under a computer matching agreement.

\(1\) [Program Disclosure]{.underline}. The Department may disclose
records to schools, lenders, guaranty agencies, and servicers when it is
necessary to obtain further information about the complaint, request for
assistance, or other inquiry before it can be resolved.

\(2\) [Disclosure for Use by Other Law Enforcement Agencies Concerning
Possible Violations of the Criminal Laws or Actions Initiated for Civil
Fraud]{.underline}. The Department may disclose information to any
Federal, State, local or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
the criminal laws or actions initiated for civil fraud, if that
information is relevant to any enforcement, regulatory, investigative,
or prosecutive responsibility within the receiving entity\'s
jurisdiction.

\(3\) [Enforcement Disclosure Concerning Violations of the Criminal Laws
or Actions Initiated for Civil Fraud]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of the criminal laws or actions initiated for civil fraud, the
Department may disclose the relevant records to the appropriate agency,
whether foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or charged
with enforcing or implementing the statute, executive order, rule,
regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR concerning the actions of
the Ombudsman\'s office or its employees, or has an interest in such
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs: (i) the Department,
or any component of the Department; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange or
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Disclosure to the Department of Justice (DOJ]{.underline}). The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(6\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(7\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(8\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE: 

These records will be maintained either in hard copy or in an electronic
database.

### RETRIEVABILITY: 

Records are indexed by Social Security number, name, date of birth and
case tracking number.

### SAFEGUARDS: 

Access to and use of these records shall be limited to those persons
whose official duties require access. This includes staff members of the
Office of the Student Loan Ombudsman, other Department offices and
agents of the Department. All physical access to the sites where this
system of records is maintained, is controlled and monitored by security
personnel who check each individual entering the building for his or her
employee or visitor badge.

The computer system offers a high degree of resistance to tampering and
circumvention. This security system limits data access to staff on a
\"need to know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given unique user IDs with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

The records on all student loans are retained for a period of five years
after the loan has been repaid, cancelled or otherwise forgiven or the
account closed. Records pertaining to grants awarded by the Department
are destroyed five years after the initial disbursement. Records are
maintained for the period of time needed to resolve cases, conduct
analyses and prepare reports.

### SYSTEM MANAGER(S) AND ADDRESS: 

Ombudsman, Office of Student Financial Assistance, U.S. Department of
Education, 400 Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC
20202.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record regarding you in the system of
records, contact the system manager. Your request must meet the
requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.7.

### RECORD SOURCE CATEGORIES: 

Information is obtained from the individuals (e.g. borrowers) schools,
lenders, and guaranty agencies.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-11-12 The Department of Education (ED) PIN (Personal Identification Number)

(64 FR 72400-72402)

[[]{#Notice181112 .anchor}18-11-12](#Backto181112) December 27, 1999

## SYSTEM NAME: 

The Department of Education (ED) PIN (Personal Identification Number)
Registration System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

National Computer Systems (NCS), 2510 North Dodge Street, Iowa City, IA
52240.

Virtual Data Center, Meriden Data Center, 71 Deerfield Lane Meriden, CT
06450 (after Spring 2000).

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The ED PIN Registration System contains records about former, current
and prospective students, and parents who apply for an ED PIN number.
The ED PIN number is used for identification purposes when PIN holders
access other Department of Education systems.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains identification information such as name, Social
Security Number (SSN), date of birth and address.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Higher Education Act of 1965, as amended, 20 U.S.C. 1092b.

## PURPOSE(S): 

This information contained in this system will be used to generate and
confirm PIN numbers for those individuals wishing to access various
student financial assistance systems (including FAFSA, Access America
and the Direct Loan Program) to obtain information about their personal
records. The ED PIN number that is generated and stored by this system
can be used by individuals to electronically sign various student aid
applications including the FAFSA and the Renewal FAFSA, and to initiate
loan deferments or forbearance. The Department has plans to expand the
use of the PIN to allow access to student financial aid systems outside
of the Department.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

(b[) For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

\(13\) [Identification Verification Disclosure]{.underline}. In order to
verify the identity of the applicant involved, the accuracy of the
record, or to assist with the determination of program eligibility and
benefits or potential eligibility or benefits, the Department may
disclose records from this system to the applicant, guaranty agencies,
educational institutions, financial institutions and servicers, and to
Federal and State agencies.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Records are stored electronically on magnetic tape.

### RETRIEVABILITY:

The file is indexed by social security number or name.

### SAFEGUARDS:

All physical access to the Department site, and the sites of Department
contractors where this system of records is maintained, is controlled
and monitored by security personnel who check each individual entering
the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \"need to know\"
basis, and controls individual users\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Records will be retained 3 years after payment of loan, or after audit
resolution.

### SYSTEM MANAGER(S) AND ADDRESS:

PIN Web Site Development Manager, Program System Services, Office of
Student Financial Assistance, 400 Maryland Avenue, SW, ROB-3, room 4640,
Washington, DC 20202.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth, social security number. Your request must meet the requirements
of the Department\'s Privacy Act regulations at 34 CFR 5b.5, including
proof of identity. You may present your request in person at any of the
locations identified for this system of records or address your request
to the system manager at the address above.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record regarding you in the system of
records, you can visit the ED PIN Web site, call the FAFSA on the Web
phone number listed on the Web site, or contact the system manager at
the address given above. Your request must meet the requirements of the
Department\'s Privacy Act regulations at 34 CFR 5b.5, including proof of
identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of a record regarding you in the
system of records, you can contact the Customer Service Department at
the telephone number listed on the ED PIN web site. Your request must
meet the requirements of the Department\'s Privacy Act regulations at 34
CFR 5b.7.

If your SSN does not match as a result of an incorrect SSN, you will
need to contact the local office of the Social Security Administration
(SSA) for a SSN correction.

### RECORD SOURCE CATEGORIES:

The identifying information (SSN, DOB and name) is currently collected
from the ED PIN Registration Web site, from the FAFSA, and the Direct
Loan borrower database. In the future, the Department may provide
alternate means for collecting the identifying information.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-11-13 Student Authentication Network Audit File 

(66 FR 29420-29422 \[erroneously entered in Federal Register as
18-11-10\], corrected by **66 FR 45669-45669**)

[[]{#Notice181113 .anchor}18-11-13](#Backto181113) May 24, 2001 / August
29, 2001

## SYSTEM NAME: 

Student Authentication Network Audit File.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

The Student Authentication Network Audit File is located at NCS Pearson,
2510 North Dodge Street, Iowa City, Iowa 52245.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records (i.e., an audit file) on individuals who
have had, or attempted to have, their identity verified for the purpose
of electronically completing and signing promissory notes and other
documents in connection with applying for or obtaining aid, or carrying
out other activities under the Student Financial Assistance Programs
authorized by Title IV of the Higher Education Act of 1965, as amended.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains records including an individual\'s Social Security
Number; date of birth; first and last names; user code (i.e., the
Department, lenders, schools, guarantee agencies and holders of Federal
student loans) identifying the entity seeking to verify the
individual\'s identity; data provided by the user that may subsequently
be used for auditing or other internal purposes of the user); an action
code documenting the \"affirmed\" or \"denied\" verification response
the system receives from the Department\'s Personal Identification
Number (PIN) database; a unique identifier comprising a system-generated
sequence number; and, the date and time the individual\'s identity is
authenticated against the Department\'s PIN database.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Higher Education Act of 1965, as amended, (20 U.S.C. 1092b).

## PURPOSE(S):

The information contained in the records maintained in this system is
used for the purposes of verifying the identity of the individual,
enforcing the conditions and terms of the loan, permitting the servicing
and collecting of the loan, investigating possible fraud and verifying
compliance with program regulations, initiating legal action against an
individual involved in program fraud, abuse, or noncompliance, and
enforcing Title IV requirements against schools, lenders, and guaranty
agencies.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Program Disclosures]{.underline}. The Department may disclose
information from this system to Federal, State, or local agencies,
private parties such as relatives, present and former employers and
creditors, business and personal associates, guaranty agencies,
educational and financial agencies or institutions, contractors and
hearing officials for the following purposes:

\(a\) To verify the identity of the individual;

\(b\) To enforce the conditions or terms of the loan;

\(c\) To permit servicing, collecting, or accepting the loan;

\(d\) To investigate possible fraud and verify compliance with program
regulations;

\(e\) To prepare for litigation or to litigate collection service and
audit;

\(f\) To initiate a limitation, suspension, and termination (LS&T) or
debarment or suspension action;

\(g\) To ensure Title IV requirements are met by schools, lenders, and
guaranty agencies; and

\(h\) To investigate complaints, update files, and correct errors.

\(2\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR]{.underline})

[Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to

litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) Employment, Benefit, and Contracting Disclosure.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained on magnetic tape or other electronic media.

### RETRIEVABILITY:

Records are retrievable by Social Security Number and all or part of an
individual\'s last name.

### SAFEGUARDS:

Physical access to the data systems housed within the facility is
controlled by a computerized badge reading system, and the entire
complex is patrolled by security personnel during non-business hours.
The computer systems offer a high degree of resistance to tampering and
circumvention. Multiple levels of security are maintained within the
computer system control program. This security system limits data access
to Department and contract staff on a \"need-to-know\" basis, and
controls individual users\' ability to access and alter records within
the system. All users of this system of records are given a unique user
identification (ID) with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL:

The Department will retain and dispose of these records in accordance
with National Archives and Records Administration General Records
Schedule 20, Item 1.c. This schedule provides disposal authorization for
electronic files and hard-copy printouts created to monitor system
usage, including, but not limited to log-in files, audit trail files,
system usage files, and cost-back files used to assess charges for
system use. Records will be deleted or destroyed when the Department
determines they are no longer needed for administrative, legal, audit,
or other program purposes.

### SYSTEM MANAGER(S) AND ADDRESS:

General Manager, Students Channel, Student Financial Assistance,
Department of Education, 7th and D Streets, SW., Washington, DC, 20202.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth and Social Security Number. Requests must meet the requirements of
the regulations at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record in this system, contact the
system manager and provide information as described in the notification
procedure. Requests by an individual for access to a record must meet
the requirements of the regulations at 34 CFR 5b.5.

### CONTESTING RECORD PROCEDURES:

If you wish to contest a record in the system of records, contact the
system manager with the information described in the notification
procedure, identify the specific items you are contesting, and provide a
written justification for each item. Requests to amend a record must
meet the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information is obtained from individuals who have had or seek to have
their identity authenticated, except that user codes and user-provided
data are obtained specifically from the entity (the Department, lenders,
schools, guarantee agencies and holders of Federal student loans) that
seeks to verify the individual\'s identity.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-11-14 FSA Students Portal

(68 FR 23113-23117)

[[]{#Notice181114 .anchor}18-11-14](#Backto181114) April 30, 2003

## SYSTEM NAME:

FSA Students Portal.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION(S):

\(1\) Virtual Data Center (VDC) (operated by CSC, Inc.), Meriden Data

Center, 71 Deerfield Lane, Meriden, CT 06450.

\(2\) Students Portal Database (operated by XAP Corp.) 3534 Hayden

Ave., Culver City, CA 90232.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Any user with Internet accessibility that is interested in exploring
financial aid information and chooses to personalize the "Students
Portal\'\' an Internet Portal web site (hereafter \`\`the Web site\'\').
The personalization functionality is referred to as \`\`My FSA\'\'
(http://www.studentaid.ed.gov).

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records will include the information listed below. It is optional for
the user to enter this information. This list is not all-inclusive, but
it is a sample of the types of information that may be entered by the
user. (See Appendix at the end of the Notice for a listing of the types
of records collected). Some of the information requested in the Web site
includes such information as: User\'s name; User\'s address(es); User\'s
e-mail; User\'s personal information, such as social security number,
date of birth, marital status, and telephone number; User\'s high school
information such as current grade level, courses taken, grades, and
activities; User\'s educational information, such as educational level,
degree, etc.; User\'s interests such as job interests, values, and
college preferences; Scores from User\'s standardized tests such as SAT
or ACT; Parent\'s information such as address and veteran status;
Spouse\'s information such as name and address; User\'s employment/work
history; and User\'s bookmarks (URL\'s) Students will have the option of
choosing the data to enter into the text fields. The Web site also
includes a short survey where information about user experiences and
opinions of the FSA Students Portal is stored for future Web site
enhancement. While the surveys are not intended to be able to identify a
particular user, some users may choose to include personally
identifiable information in some text fields. (For instance if they have
a question that requires a response.)

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title IV of the Higher Education Act of 1965, as amended, 40 U.S.C. 1425
(b), and 44 U.S.C. Chapter 35.

## PURPOSE(S):

The primary reason for storing the records of users of the Web site is
to provide them with better service. The information stored by the Web
site will be used for the following reasons:

To allow the Web site to provide information relevant and targeted to
the user (information about schools, loans, organizations, etc.)

To assist with filling out applications to colleges and universities
(i.e., enter the information only once)

To "prepopulate\'\' the electronic Free Application for Federal Student
Aid (FAFSA)

To store personal information so that it can be retrieved later without
having to start over (such as schools, programs, majors, loan
information of interest to a specific user)

Some fields are used to help indicate which of the records are active
(such as last modified date)

Some fields are used for security reasons (e.g. User ID, password, and
password expiration).

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the Department of Justice (DOJ) and
the Office of Management and Budget if the Department seeks advice
regarding whether records maintained in the system of records are
required to be released under the FOIA and the Privacy Act of 1974.

\(2\) Disclosure to the DOJ. The Department may disclose records to the
DOJ to the extent necessary for obtaining DOJ advice on any matter
relevant to an audit, inspection, or other inquiry related to the
programs covered by this system.

\(3\) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

\(4\) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

\(a\) Introduction. In the event that one of the following parties is
involved in litigation or ADR, or has an interest in litigation or ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c), and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her official capacity where
the Department of Justice (DOJ) is requested to provide or arrange for
representation of the employee;

\(iv\) Any Department employee in his or her individual capacity where
the Department has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) Disclosure to the Department of Justice (DOJ). If the Department
determines that disclosure of certain records to the DOJ, or attorneys
engaged by DOJ, is relevant and necessary to litigation or ADR, and is
compatible with the purpose for which the records were collected, the
Department may disclose those records as a routine use to the DOJ.

\(c\) Adjudicative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual or entity designated
by the Department or otherwise empowered to resolve or mediate disputes
is relevant and necessary to the litigation or ADR, the Department may
disclose those records as a routine use to the adjudicative body,
individual, or entity.

\(d\) Parties, counsels, representatives and witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness is relevant and necessary to the
litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative or witness.

\(5\) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain Privacy
Act safeguards with respect to the disclosed records.

\(6\) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The Member\'s right to the information is no greater
than the right of the individual who requested it.

\(7\) Disclosure for Use By Law Enforcement Agencies. The Department may
disclose information to any Federal, State, local or other agencies
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative or
prosecutorial responsibility within the entity\'s jurisdiction.

\(8\) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or charged
with enforcing or implementing the statute, Executive order, rule,
regulation, or order issued pursuant thereto.

\(9\) Employment, Benefit, and Contracting Disclosure.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a decision concerning the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit.

\(b\) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal, State,
local, or foreign agency or other public authority or professional
organization, in connection with the hiring or retention of an employee
or other personnel action, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract,
or the issuance of a license, grant, or other benefit, to the extent
that the record is relevant and necessary to the receiving entity\'s
decision on the matter.

\(10\) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of the
following proceedings regarding a present or former employee of the
Department: complaint, grievance, discipline or competence determination
proceedings. The disclosure may only be made during the

course of the proceeding.

\(11\) Labor Organization Disclosure. The Department may disclose
records from this system of records to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive representation.

\(12\) Disclosure to Providers of Web-based Postsecondary Education
Admissions Applications. The Department may disclose records in this
system of records to providers of Web-based postsecondary educational
institution admissions applications so that users of the Web site may
\`\`pre-populate\'\' their college or university admissions applications
with their own registration information that was previously saved on the
Web site. (See Appendix at the end of the Notice where registration
information is identified as \`\`Data Collected in Students Portal
Modules\'\').

## DISCLOSURES TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISCLOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

A majority of the Student data will be stored in a database (SQL Server
2000) maintained at XAP Corp. The student data is also stored in an
Oracle database at the Virtual Data Center (VDC). Each location includes
safeguards, including physical security of the server room, firewalls,
etc.

### RETRIEVABILITY:

Each record in this system is indexed and retrieved by a user name and
password that is created by the user of the http://www.studentaid.ed.gov
Web site.

### SAFEGUARDS:

All users of this system will have a unique user ID with a personal

identifier.

This system does not use persistent cookies (data that a web server
causes to be placed on a user\'s hard drive) to implement
personalization. It is the policy of the Department to prohibit the use
of persistent cookies on U.S. Department of Education web sites except
where: there is a compelling need; there are appropriate safeguards in
place; the use is personally approved by the Secretary of Education;

and there is clear and conspicuous notice to the public.

All physical access to the U.S. Department of Education web site and the
sites of Department contractors where this system of records is
maintained, is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or visitor
badge.

The computer system employed by the U.S. Department of Education offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to the Department, and contract staff
on a \`\`need to know\'\' basis, and controls individual users\' ability
to access and alter records within the system.

### RETENTION AND DISPOSAL:

FSA Students Portal customers can remove any information about their web
preferences (i.e., the subjects, levels of education, types of
resources, and audience-targeted materials in which they are
interested), as well as any bookmarks or saved searches they have stored
on the Department\'s web pages. U.S. Department of Education customers,
however, cannot delete their names, zip codes, or e-mail addresses from
the system (although they can replace it with other information). The
system, however, automatically will purge any unused accounts after a
certain period of disuse. National Archives and Records Administration
General Records Schedule 20, Item 1.c provides disposal authorization
for electronic files and hard-copy printouts created to monitor system
usage, including, but not limited to, log-in files, password files,
audit trail files, system usage files, and cost-back files used to
assess charges for system use. Records will be deleted or destroyed when
the agency determines they are no longer needed for administrative,
legal, audit, or other operational purposes.

### SYSTEM MANAGERS AND ADDRESS:

General Manager, Students Channel, Federal Student Aid, U.S. Department
of Education, 830 First Street, NE., Washington, DC 20202.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, you may gain access to the system by entering your
user name and password to the http://www.studentaid.ed.gov Web site.
Individuals may also present their requests in writing or in person by
contacting the system administrator through the fsa.portals@ed.gov
e-mail address or at the above address. If you wish to determine whether
a record exists about you in the system of records, provide the system
manager with your name, date of birth and social security number. Your
request for notification must meet the requirements of the regulations
at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

Users will be granted access to their own record via the
http://www.studentaid.ed.gov Web site when they are able to provide
their User ID and password. Otherwise, users wishing to gain access to
records in this system of records must contact the system manager at
fsa.portals@ed.gov e-mail address or at the above address and follow the
steps outlined in the Notification procedure. Request to access a record
must also reasonably specify the record contents sought and otherwise
meet the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to change the content of a record in this system of records,
you may gain access to the system and alter the record via the
http://www.studentaid.ed.gov Web site and using the system edits and
update function. Otherwise, you must contact the system manager at
fsaportals@ed.gov e-mail address or at the above address and follow the
steps outlined in the Notification procedure. Requests to amend a record
must also reasonably identify the record, specify the information being
contested, and otherwise meet the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in this system is obtained from customers who use the
http://www.studentaid.ed.gov Web site and complete the optional web site
personalization referred to as \`\`My FSA\'\'. The \`\`My FSA\'\'
personalization form provides the information contained within the
system.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

Appendix\--FSA Students Portal Fields

Attribute (Description)

Profile

User Name

First Name

Last Name

E-mail address

Password

Password Hint

Fax Number

Prefix

Suffix

Social Security Number

Affiliation

Telephone Number

Date Created

Date Modified

Date Password Expires

Date of Birth

Education Level

State Residence

State School

School Name

Major

Country

Modified By

Password Hint Question

Password Hint Answer

Edpack (Edpack stores favorites for the user)

Applications List (List of College Applications in

process/submitted)

College List (Store a list of Colleges the user is interested in from
College Search/Wizard)

Career List (Store List of interesting Careers from the Self Assessment
Tool)

Financial Aid List (Store Scholarships, Loans, and Cost of attendance
Info for schools in the Edpack)

Calendar Events (See Calendar Events Section Below)

User Profile (Access User data from Applications)

Bookmarks list (Stores a list of links/bookmarks for the user (some
generated by the system, others entered by the user))Self Assessment

JobInterest (Stores a list of jobs the user finds interesting, the list
is dynamic (database driven) These describe how it applies to me

MeTools (like to work with animals, tools, or machines)

MeMath (study math or science)

MeCreate (creative activities)

MeHelpOthers (Helping others)

MeLeadership (Lead and persuade)

MeOrdered (work in an orderly way)

These describe how I compare to others my age

CompTools (like to work with animals, tools, or machines)

CompMath (study math or science)

CompCreate (creative activities)

CompHelp (Helping others)

CompLeadership (Lead and persuade)

CompOrdered (work in an orderly way)

To what extent do I value

ValueTools (like to work with animals, tools, or

machines)

ValueScience (study math or science)

ValueCreate (creative activities)

ValueHelp (Helping others)

ValueLeadership (Success in politics, leadership, or

business)

ValueSuccess (success in business)

How do I see myself

AmPractical (like to work with animals, tools, or machines)

AmPrecise (study math or science)

AmArtistic (creative activities)

AmHelpful (Helping others)

AmAmbitious (Lead and persuade)

AmOrderly (work in an orderly way)

These are true of me

TruePractical (like to work with animals, tools, or machines)

TruePrecise (study math or science)

TrueArtistic (creative activities)

TrueHelpful (Helping others)

TrueAmbitious (Lead and persuade)

TrueOrderly (work in an orderly way)

Career Finder Interest Areas

Realistic

Investigative

Artistic

Social

Enterprising

Conventional

Industry (Pick an Industry of interest from a list)

General Work Activities (Pick from a list)

Abilities

Knowledge-Based

Physical Dexterity

Physical Strength

Sensory Abilities

Work Environment (Indoor/Outdoor)

College Finder/College Matching Wizard

CollegeType (2 year/4year/trade)

CollegePublic (Public or Private)

CollegePublicWeight (How important is this factor)

CollegeState1 (Location)

CollegeState2

CollegeState3

CollegeZip

CollegeCityType (Small Town/Big City)

CollegeCityTypeWeight (How important is this factor)

CollegeSize

CollegeSizeWeight (How important is this factor)

ClassSizeFr (Class size freshman year)

ClassSizeUpper (Class size for upper division courses)

StudentFacultyRatio

Major1 (Pick from a list)

Major2

Major3

GPArange

ACTscoreRange

SATscoreRange

InStateCost (Pick from a range of costs)

OutStateCost

HelpOffCampHousing

OnCampusHousing

OCHweight (How important is this factor)

Sport1 (Sports that interest the user)

Sport2

Sport3

FratSorority (Does the campus have

Fraternities/Sororities)

Fsweight (How important is this factor)

StActivity (Choose from a list)

Coed

Religious Affiliation

HBC (Historically Black college)

Scholarship Search

A majority of the fields used here are already captured in the college
application (Personal Info, Address Info, HS Info, College Info, Testing
Info, Parents Info)

Marital Status

Heritage1 (Choose up to 4 from a list)

Heritage2

Heritage3

Heritage4

Current Grade Level

Enrollment Status

Activities List (Pick from a number of activities grouped by category
(Business/Corp., Club Affiliation, Disability, Hobbies, Military
Affiliation, National Merit, Athletics, Union Affiliation, Misc., Career
Objective, or Programs of Study))

Parent Veteran? (Is either parent a Veteran)

Parent Disabled In Military?

Parent Killed In Military?

Household Income (Annual)

Financial Aid Wizard For each School tracked in the user\'s EDpack

Tuition

RoomBoard

Fees

Books

Other Expense

Used in the EFC calculation

StOfResidence

Veteran?

Schools Of Attendance

Child Support?

Other Dependants?

Orphan?

People In Household

College Student In House

Completed Tax Return?

1040EZ (Able to file 1040A or 1040EZ)

AGI (Adjusted Gross Income)

IncomeTax

Exemptions

YouWages

SpouseWages

WorksheetA

WorksheetB

WorksheetC

Current Savings

Net Worth Investments

Net Worth Farms

EFC (Expected Family Contribution)

For each School tracked in Edpack

Scholarship (Amount available in outside scholarships)

PellGrant (Amount available from Pell Grant)

St Scholarship Grant

Institutional Grant

Perkins

Direct Loan

WorkStudy

Events/Calendar

Title

Detail

Category

StartDate

StartTime

EndDate

EndTime

# 18-11-15 Return of Title IV Funds on the Web (R2T4OTW)

(69 FR 44521-44524)

July 26, 2004

[[]{#Notice181115 .anchor}18-11-15](#Backto181115)

**SYSTEM NAME:**

Return of Title IV Funds on the Web.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

Application Processing Division, Students Channel, Federal Student Aid,
U.S. Department of Education, 830 First St. NE, Washington, DC
20202-5454.

Virtual Data Center (VDC), Meriden Data Center, 71 Deerfield Lane,
Meriden, Connecticut 06450.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

The system includes records on individuals who were enrolled at a
postsecondary institution, have received or are eligible to receive
assistance under a Title IV, HEA program for a payment period or period
of enrollment, and have withdrawn prior to the planned completion date
of school during that period.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system of records contains personally identifiable information
provided by the school from which a student has withdrawn that may
include, but is not limited to, a student's name, permanent and local
addresses, social security number, date of birth, driver's license
number and state, permanent and local phone numbers, and student
identification (ID). This system also contains information provided by
the institution from which the student has withdrawn that is necessary
to compute the earned and unearned amounts of Title IV funds. This
information may include, but is not limited to, the student's: Federal
school code, award year, grade level, program type (i.e. credit hour or
clock hour), school calendar (that maintains the term start and end
dates and institutionally scheduled breaks of five or more consecutive
days), a description and amount of each institutional charge (a charge
for tuition and fees, a charge for room, a charge for board, and charges
for other educationally-related costs), and the total institutional
charges for a program, program title, or program type, whether the R2T4
calculation is based upon a payment period or period of enrollment, the
total clock hours or number of days in the payment period or period of
enrollment, the withdrawal date, the net number of days in the payment
period or period of enrollment, the date the institution determined the
student withdrew (as reported by the institution), a description of the
type of withdrawal, the number of days of an approved leave of absence,
whether an outside entity requires the school to take attendance, the
clock hours scheduled, the clock hours completed, the date the student
provided the institution with written authorization to credit Title IV
aid to the student's account, the date the institution notified the
student of the amounts and types of Title IV funds that must be
returned, the date and response of the student, the types and amounts of
Title IV aid disbursed and that could have been disbursed, the types and
amounts of Title IV aid that must be returned to each program by the
student and the institution, the types and amounts of aid that the
student and the institution may retain, post-withdrawal disbursement
information (i.e., the amount of outstanding charges, the dates notices
were sent informing the student that a credit was applied and/or that a
disbursement was available and the dates and responses of the student,
the amount and the date the student accepted a post-withdrawal
disbursement, and the date the post-withdrawal disbursement was
completed), the date the R2T4 procedure was completed, the user defined
field data provided by the institution such as grade point average,
major in college, overpayment status, withdrawal reason, leave of
absence reason, and contemporaneous notes regarding the student's return
process.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The information maintained in the R2T4OTW system is authorized under
§484B of the HEA. Under §484B of the HEA (20 U.S.C. §1091b), if a
recipient of Title IV grant or loan assistance withdraws from an
institution during a payment period or period of enrollment in which the
student began attendance, a participating institution must determine the
amount of grant and loan assistance to be returned to the Title IV
programs.

**PURPOSE(S):**

Information contained in this system is maintained for the purposes of:
(1) allowing postsecondary institutions to calculate the treatment of
Title IV funds when a student withdraws from a postsecondary
institution, (2) allowing institutions to track students' statuses and
responses to institutional notifications, and (3) generating listings
and reports, allowing institutions to establish compliance with the
applicable statutory and regulatory requirements in the HEA for the
treatment of Title IV funds when a student ceases his or her enrollment
before the planned end date. (Note: The use of this software is not
required.)

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USERS:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under a
computer matching agreement.

\(1\) Program Disclosures. The Department may disclose records to the
postsecondary institution that input the information into the R2T4OTW
system, in order to simplify the current process, provide institutions
and their agents with consolidated information about the Federal loans
and grants they administer for students, and enable them to provide
students with accurate required information when a student withdraws.

\(2\) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, or local
agency responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law if that information
is relevant to any authorized enforcement, investigative, or
prosecutorial effort.

\(3\) Enforcement Disclosure. If information in the system of records
either alone or in connection with other information indicates a
violation or potential violation of any applicable statutory,
regulatory, or legally binding requirement, the Department may disclose
records to an entity charged with investigating or prosecuting those
violations or potential violations.

\(4\) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

\(a\) Introduction. In the event that one of the following parties is
involved in litigation or ADR, or has an interest in litigation or ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c), and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity where
the Department of Justice (DOJ) agrees to or has been requested to
provide or arrange for representation of the employee; or

\(iv\) Any Department employee in his or her individual capacity where
the Department has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) Disclosure to DOJ. If the Department determines that disclosure of
certain records to the DOJ is relevant and necessary to litigation or
ADR, and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use to
the DOJ.

\(c\) Adjudicative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear or to an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes, is relevant and necessary to the litigation or ADR,
the Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.

\(d\) Parties, counsel, representatives and witnesses. If the Department
determines that disclosure of certain records to a party, counsel,
representative or witness is relevant and necessary to the litigation or
ADR, the Department may disclose those records as a routine use to the
party, counsel, representative or witness.

\(5\) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the DOJ or the OMB if the Department
determines that disclosure would help in determining whether records are
required to be disclosed under the FOIA or the Act.

\(6\) Contract Disclosure. If the Department contracts with an entity to
perform any function that requires disclosing records to the
contractor\'s employees, the Department may disclose the records to
those employees. Before entering into such a contract, the Department
shall require the contractor to establish and maintain the safeguards
required under the Act (5 U.S.C. §552a(m)) with respect to the records.

\(7\) Congressional Member Disclosure. The Department may disclose
records to a Member of Congress in response to an inquiry from the
Member made at the written request of the individual whose records are
being disclosed. The Member's right to the information is no greater
than the right of the individual who requested it.

\(8\) Employment, Benefit, and Contracting Disclosure.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.

\(b\) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal, State,
local, or other public authority or professional organization, in
connection with the hiring or retention of an employee or other
personnel action, the issuance of a security clearance, the reporting of
an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit, to the extent that the
record is relevant and necessary to the receiving entity's decision on
the matter.

\(9\) Employee Grievance, Complaint or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal government if the record is relevant to one of the
following proceedings regarding a present or former employee of the
Department: a complaint, grievance, discipline or competence
determination proceeding. The disclosure may only be made during the
course of the proceeding.

\(10\) Labor Organization Disclosure. The Department may disclose
records from this system of records to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive representation.

\(11\) Disclosure to DOJ. The Department may disclose records to the DOJ
to the extent necessary for obtaining DOJ advice on any matter relevant
to an audit, inspection, or other inquiry related to any program covered
by this system.

\(12\) Research Disclosure. The Department may disclose records to a
researcher if the Department determines that the individual or
organization to which the disclosure would be made is qualified to carry
out specific research related to functions or purposes of this system of
records. Further, the Department may disclose records from this system
of records to that researcher solely for the purpose of carrying out
that research related to the functions or purposes of this system of
records. The researcher shall be required to maintain safeguards with
respect to the disclosed records as required by the Act.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose the following information to a consumer reporting agency
regarding a valid overdue claim of the Department: (1) The name,
address, taxpayer identification number and other information necessary
to establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the information
specified in this paragraph under 5 U.S.C. 552a(b)(12) and the
procedures contained in 31 U.S.C. 3711(e). A consumer reporting agency
to which these disclosures may be made is defined in 31 U.S.C.
3701(a)(3).

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

R2T4OTW records are backed up and maintained on magnetic tape at the
Department's Virtual Data Center (VDC), located at 71 Deerfield Lane,
Meriden, CT 06450, and locked storage rooms within the VDC.

**RETRIEVABILITY:**

Records for R2T4OTW are indexed and can be retrieved by only the
institution that created the record at the VDC and the Department. The
institution accesses its own student R2T4OTW records through a secure
log-in process and subsequently entering the institution's unique
Federal school code and the student's Social Security Number.

**SAFEGUARDS:**

Physical access to the data systems housed within the VDC facility is
controlled by a computerized badge reading system, and the entire
complex is patrolled by security personnel during non-business hours.
This computer system offers a high degree of resistance to tampering and
circumvention. Multiple levels of security are maintained within the
computer system control program. This security system limits data access
to Department staff, participating institutions, and contract staff on a
"need-to-know" basis, and controls individual users' ability to access
and alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. Users are only
able to access and alter records created with their unique identifiers.
All interactions by individual users with the system are recorded. The
systems manager annually updates and sends the Department the Central
Processing System Security Plan, documenting the VDC\'s detailed
security systems, including the physical location of the data stored at
the VDC. This system does not use persistent cookies (data that a web
server causes to be placed on a user's hard drive) to implement
personalization. It is the policy of the Department to prohibit the use
of persistent cookies on U.S. Department of Education web sites except
where: there is a compelling need; there are appropriate safeguards in
place; the use is personally approved by the Secretary of Education; and
there is clear and conspicuous notice to the public.

**RETENTION AND DISPOSAL:**

The Department will retain all identifiable records received from
schools with identifying information for a period not to exceed three
years after the repayment or cancellation of the loan in accordance with
the Education Comprehensive Schedule, ED-RDS-Part 10, Item 16(d) for
applicants with federally insured loans. For applicants without federal
insured loans, the Department will retain all identifiable records
received with identifying information for a period not to exceed fifteen
years after the final Pell Grant payment or audit, whichever is first in
accordance with the Education Comprehensive Schedule, ED-RDS-Part 10,
Item 17(a) and (b). At the conclusion of the mandatory retention period,
these records will be destroyed. This procedure is consistent with legal
retention requirements established by the Department in conjunction with
the National Archives and Records Administration.

**SYSTEM MANAGER(S) AND ADDRESS:**

Deputy Director, Application Processing Division, Students Channel,
Federal Student Aid, U.S. Department of Education, 830 First St., NE,
UCP room 32E2, Washington, DC 20202-5454.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in this
system of records, contact the system manager and provide the name of
the system (R2T4OTW), your name, date of birth, and Social Security
Number or call 1-800-4-FED-AID (1-800-433-3243) and provide the
identifiers indicated above when requesting information contained in
this system of records. Requests for notification about whether this
system of records contains information about an individual must meet the
requirements of the regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to a record in this system, contact the
system manager and provide the information described in the Notification
Procedure. Requests by an individual for access to a record must meet
the requirements of the regulations in 34 CFR 5b.5, including proof of
identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to change the content of a record in the system of records
for the current processing year R2T4OTW, contact the system manager with
the information described in the Notification Procedure, identify the
specific items to be changed, the institution and period of time the
student was enrolled, and provide a justification for the change. The
Department will contact the institution, which will make the change to
the student's record, as applicable. Requests to amend a record must
meet the requirements of the regulations in 34 CFR 5b.7.

**RECORD SOURCE CATEGORIES:**

The institution from which a student receiving Title IV aid for the
payment period or period of enrollment has withdrawn provides the
information used in this system by manually entering it in the web
product on the Department's web site. For institutions that have access
to the Internet, R2T4OTW is available on the Department of Education web
site located at:

http://www.fafsa.ed.gov/FOTWWebApp/faa/faa.jsp

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

# 18-11-16 Common Services for Borrowers (CSB)

(71 FR 3503-3507)

January 23, 2006

[[]{#Notice181116 .anchor}18-11-16](#Backto181116)

## SYSTEM NAME:

Common Services for Borrowers (CSB).

## SECURITY CLASSIFICATION:

None.

**SYSTEM LOCATION:**

Computer Sciences Corporation, 17 Deerfield Lane, Meriden, CT

06450\.

See the Appendix to this notice for additional system locations.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on those individuals who received a loan,
or who are otherwise obligated to repay a loan, grant, or scholarship
held and collected by the Department of Education (Department), which
was made under (1) the Federal Family Education Loan (FFEL) Program
(formerly the Guaranteed Student Loan Program (GSL), including Stafford
Loans, Federal Insured Student Loans (FISL), Supplemental Loans for
Students (SLS), PLUS Loans (formerly Parental Loans for Undergraduate
Students), and Consolidation Loans); (2) the William D. Ford Federal
Direct Loan (Direct Loan) Program (formerly known as the Federal Direct
Student Loan Program (FDSLP), Federal Direct Unsubsidized and Subsidized
Stafford/Ford Loans, Federal Direct Consolidation Loans, and Federal
Direct PLUS Loans); (3) the Federal Perkins Loan Program (formerly known
as National Direct/Defense Student Loans (NDSL)); (4) the Federal Pell
Grant Program; (5) the Federal Supplemental Educational Opportunity
Grant Program (FSEOG); (6) the Leveraging Educational Assistance
Partnership (LEAP) Program; (7) the Special Leveraging Educational
Assistance Partnership (SLEAP) Program; (8) the Paul Douglas Teacher
Scholarship Program; and (9) the Teacher Quality Recruitment Scholarship
Program. This system also contains records on individuals who apply for,
but do not receive a Direct Loan, as well as individuals identified by
the borrower or recipient of the loan, grant, or scholarship as
references or as household members whose income and expenses are
considered in connection with the making or enforcement of the grant,
scholarship or loan.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system of records will consolidate the system of records for all
activities the Department carries out with regard to making and
servicing loans, including collecting or otherwise resolving

obligations owed by an individual under the Higher Education Act of
1965, as amended (HEA). The system contains records including such
information as the employment information, educational status, family
income, social security number, address, e-mail address, and telephone
numbers of those individuals obligated on the debt or whose income and
expenses are included in a financial statement submitted by the
individual. This system also contains records regarding the application
for, agreement to repay, and disbursements on the loan, and loan
guaranty, if any; the repayment history, including deferments and
forbearances; claims by lenders on the loan guaranty; cancellation or
discharges on grounds of qualifying service, bankruptcy discharge,
disability (including medical records submitted to support application

for discharge by reason of disability), death, or other statutory or
regulatory grounds for relief.

Additionally, this system contains records regarding the amount, terms,
and period of scholarships, the entity that awarded the scholarship, the
amount and percentage of time the recipient spends teaching, and
information about the employing school and the school district. For
grant overpayments, the system contains records about the amount
disbursed, the school that disbursed the grant, and the basis for
overpayment; for all debts, the system contains demographic, employment,
and other data on the individuals obligated on the debt or provided as
references by the obligor, and the collection actions taken by any
holder, including write-off and compromise.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

Titles II, IV-A, IV-B, IV-D, IV-E and V-C of the HEA (20 U.S.C. 1024,
1070a, 1070b-1070b-4, 1070c-1070c-4, 1070c-3a, 1071-1087-4, 1087a-1087j,
and 1087aa-1087ii, and 1104 (1998); 31 U.S.C. Chapter 37).

**PURPOSE(S):**

The information contained in the records maintained in this system is
used for the following reasons:

To verify the identity of an individual.

To determine program eligibility and benefits.

To facilitate default reduction efforts by program participants.

To enforce the conditions or terms of a loan, grant, or scholarship.

To make, service, collect, assign, adjust, or discharge a loan or
collect a grant or scholarship obligation.

To counsel a debtor in repayment efforts.

To investigate possible fraud and verify compliance with program
regulations.

To locate a delinquent or defaulted borrower, or an individual obligated
to repay a loan, grant, or scholarship.

To prepare a debt for litigation, provide support services for
litigation on a debt, litigate a debt, and audit the results of
litigation on a debt.

To prepare for, conduct, or enforce a limitation, suspension,
termination, or debarment action.

To ensure that program requirements are met by educational and financial
institutions and guaranty agencies.

To verify whether a debt qualifies for discharge or cancellation.

To conduct credit checks and respond to inquiries or disputes arising
from information on the debt already furnished to a credit-reporting
agency.

To investigate complaints, update information, and correct errors
contained in Department records.

To refund credit balances back to the individual or loan holder.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the information in the record was
collected. These disclosures may be made on a case-by-case basis or, if
the Department has complied with the computer matching requirements of
the Privacy Act, under computer matching agreements.

\(1\) Program Disclosures. The Department may disclose records for the
following program purposes:

\(a\) To verify the identity of the individual whom the records indicate
has applied for or received the loan, grant, or scholarship, disclosures
may be made to guaranty agencies, educational and financial
institutions, and to their authorized representatives; to Federal,

State, or local agencies; to private parties such as relatives, business
and personal associates, and present and former employers; to creditors;
to consumer reporting agencies; to adjudicative bodies; and to the
individual whom the records identify as the party obligated to repay the
debt.

\(b\) To determine program eligibility and benefits, disclosures may be
made to guaranty agencies, educational and financial institutions, and
to their authorized representatives; to Federal, State, or local
agencies; to private parties such as relatives, business and personal

associates, and present and former employers; to creditors; to consumer
reporting agencies; and to adjudicative bodies.

\(c\) To facilitate default reduction efforts by program participants,
disclosures may be made to guaranty agencies, educational and financial
institutions, and to their authorized representatives; to Federal,
State, or local agencies; to consumer reporting agencies; and

to adjudicative bodies.

\(d\) To enforce the conditions or terms of the loan, grant or
scholarship, disclosures may be made to guaranty agencies, educational
and financial institutions, and to their authorized representatives; to
Federal, State, or local agencies; to private parties such as relatives,
business and personal associates, and present and former employers; to
creditors; to consumer reporting agencies; and to adjudicative bodies.

\(e\) To permit making, servicing, collecting, assigning, adjusting, or
discharging a loan, or collecting a grant or scholarship obligation,
disclosures may be made to guaranty agencies, educational institutions,
or financial institutions that made, held, serviced, or have been

assigned the debt, and to their authorized representatives; to a party
identified by the debtor as willing to advance funds to repay the debt;
to Federal, State, or local agencies; to private parties such as
relatives, business and personal associates, and present and former
employers; to creditors; to consumer reporting agencies; and to
adjudicative bodies.

\(f\) To counsel a debtor in repayment efforts, disclosures may be made
to guaranty agencies, educational and financial institutions, and to
their authorized representatives; and to Federal, State, or local
agencies.

\(g\) To investigate possible fraud and verify compliance with program
regulations, disclosures may be made to guaranty agencies, educational
and financial institutions, and their authorized

representatives; to Federal, State, or local agencies; to private
parties such as relatives, present and former employers and creditors,
and business and personal associates; to consumer reporting agencies;
and to adjudicative bodies.

\(h\) To locate a delinquent or defaulted borrower, or an individual
obligated to repay a loan, grant or scholarship, disclosures may be made
to guaranty agencies, educational and financial institutions, and to
their authorized representatives; to Federal, State, or local agencies;
to private parties such as relatives, business and personal associates,
and present and former employers; to creditors; to consumer reporting
agencies; and to adjudicative bodies.

\(i\) To prepare a debt for litigation, to provide support services for
litigation on a debt, to litigate a debt, and to audit the results of
litigation on a debt, disclosures may be made to guaranty agencies and
their authorized representatives; to Federal, State, or local agencies;
and to adjudicative bodies.

\(j\) To prepare for, conduct, or enforce a limitation, suspension, and
termination (LS&T) or a debarment action, disclosures may be made to
guaranty agencies, educational or financial institutions, and to their
authorized representatives; to Federal, State, or local agencies; and to
adjudicative bodies.

\(k\) To ensure that HEA program requirements are met by educational
institutions, financial institutions, and guaranty agencies, disclosures
may be made to guaranty agencies, educational or financial institutions,
to their authorized representatives, and to auditors engaged to conduct
an audit of a guaranty agency or an educational or financial
institution; to Federal, State, or local agencies or accrediting
agencies; and to adjudicative bodies.

\(l\) To verify whether a debt qualifies for discharge or cancellation,
disclosures may be made to guaranty agencies, educational and financial
institutions, and to their authorized representatives; to Federal,
State, or local agencies; to private parties such as relatives, present
and former employers and creditors, and business and personal
associates; to consumer reporting agencies; and to adjudicative bodies.

\(m\) To conduct credit checks and to respond to inquiries or disputes
arising from information on the debt already furnished to a credit
reporting agency, disclosures may be made to credit reporting agencies;
to guaranty agencies, educational and financial institutions, and to
their authorized representatives; to Federal, State, or local agencies;
to private parties such as relatives, present and former employers and
creditors, and business and personal associates; and to adjudicative
bodies.

\(n\) To investigate complaints, to update information and correct
errors contained in Department records, disclosures may be made to
guaranty agencies, educational and financial institutions, and to their
authorized representatives; to Federal, State, or local agencies; to

private parties such as relatives, present and former employers and
creditors, and business and personal associates; to credit reporting
agencies; and to adjudicative bodies.

\(o\) To refund credit balances that are processed through the
Department\'s systems, as well as the Department of Treasury\'s payment
applications, back to the individual or loan holder, disclosures may be
made to guaranty agencies, educational and financial institutions, and

to their authorized representatives; to Federal, State, or local
agencies; and to private parties such as relatives, present and former
employers and creditors, and business and personal associates.

\(2\) Feasibility Study Disclosure. The Department may disclose
information from this system of records to other Federal agencies and to
guaranty agencies, and to their authorized representatives, to determine
whether computer matching programs should be conducted by the Department
regarding an individual\'s application for student financial assistance
or compliance with the terms of such assistance, under a program
administered by the Department. These computer matching programs may be
used to determine program eligibility and benefits, facilitate default
reduction efforts, enforce the conditions and terms of a loan or grant,
permit the servicing and collecting of the loan or grant, enforce
debarment, suspension, and exclusionary actions, counsel the individual
in repayment efforts, investigate possible fraud and verify compliance
with program regulations, locate a delinquent or defaulted debtor, and
initiate legal action against an individual involved in program fraud or
abuse.

\(3\) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutorial responsibility
within the receiving entity\'s jurisdiction.

\(4\) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or charged
with enforcing or implementing the statute, executive order, rule,
regulation, or order issued pursuant thereto.

\(5\) Litigation and Alternative Dispute Resolution (ADR) Disclosure.

\(a\) Introduction. In the event that one of the parties listed below is
involved in litigation or ADR, or has an interest in litigation or ADR,
the Department may disclose certain records to the parties described in
paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has been requested to or has agreed to
provide or arrange for representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the Department has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) Adjudicative Disclosure. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear, an individual, or an entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the litigation or ADR, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.

\(d\) Parties, Counsels, Representatives, or Witnesses. If the
Department determines that disclosure of certain records to a party,
counsel, representative or witness is relevant and necessary to the
litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.

\(6\) Employment, Benefit, and Contracting Disclosure.

\(a\) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil, criminal,
or other relevant enforcement or other pertinent records, or to another
public authority or professional organization, if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee or other personnel action, the issuance of a
security clearance, the letting of a contract, or the

issuance of a license, grant, or other benefit.

\(b\) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal, State,
local, or foreign agency or other public authority or

professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(7\) Employee Grievance, Complaint or Conduct Disclosure. If a record
is relevant and necessary to an employee grievance, complaint, or
disciplinary action, the Department may disclose the record in the
course of investigation, fact-finding, or adjudication to any witness,

designated fact-finder, mediator, or other person designated to resolve
issues or decide the matter.

\(8\) Labor Organization Disclosure. The Department may disclose a
record from this system of records to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of a labor
organization recognized under 5 U.S.C. Chapter 71 when relevant and

necessary to their duties of exclusive representation.

\(9\) Freedom of Information Act (FOIA) Advice Disclosure. The
Department may disclose records to the DOJ and the OMB if the Department
concludes that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed

under the FOIA.

\(10\) Disclosure to the DOJ. The Department may disclose records to the
DOJ to the extent necessary for obtaining DOJ advice on any matter
relevant to an audit, inspection, or other inquiry related to the
programs covered by this system.

\(11\) Contract Disclosure. If the Department contracts with an entity
for the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

\(12\) Research Disclosure. The Department may disclose records to a
researcher if the Chief of Staff of Borrower Services of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(13\) Congressional Member Disclosure. The Department may disclose the
records of an individual to a member of Congress and his/her staff in
response to an inquiry from the member made at the written request of
that individual. The member\'s right to the information is no greater
than the right of the individual who requested the inquiry.

\(14\) Disclosure to OMB for Credit Reform Act (CRA) Support. The
Department may disclose records to OMB as necessary to fulfill CRA
requirements.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES**:

Pursuant to 5 U.S.C. 552a(b)(12), the Department may disclose to a
consumer reporting agency information regarding a claim by the
Department that is determined to be valid and overdue; such information
is limited to: (1) The name, address, taxpayer identification number,

and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph

under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C.
3711(e). A consumer reporting agency to which these disclosures may be
made is defined in 31 U.S.C. 3701(a)(3).

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The records are maintained in hardcopy, microfilm, magnetic storage and
optical storage media, such as tape, disk, etc.

**RETRIEVABILITY:**

Records in this system are retrievable by social security number or name
of the borrower.

**SAFEGUARDS:**

All physical access to the Department\'s site, and the sites of the
Department\'s contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

In accordance with the Department\'s Administrative Communications
System Directive OM: 5-101 entitled \`\`Contractor Employee Personnel
Security Screenings,\'\' all contract and Department personnel who have
facility access and system access are required to undergo a security
clearance investigation. Individuals requiring access to Privacy Act
data are required to hold, at a minimum, a moderate-risk security
clearance level. These individuals are required to undergo periodic
screening at five-year intervals.

In addition to conducting security clearances, contract and Department
employees are required to complete security awareness training on an
annual basis. Annual security awareness training is required to ensure
that contract and Department users are appropriately

trained in safeguarding Privacy Act data in accordance with OMB Circular
No. A-130, Appendix III.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \`\`need-to-know\'\'
basis, and controls individual users\' ability to access and

alter records within the system. All users of this system of records are
given a unique user identification. The Department\'s Federal Student
Aid Information Security and Privacy Policy requires the enforcement of
a complex password policy. In addition to the enforcement of the complex
password policy, users are required to change their password at least
every 60 to 90 days in accordance with the Department\'s information
technology standards.

At the principal site of the Department\'s contractor in Meriden,
Connecticut, additional physical security measures are in place and
access is monitored 24 hours per day, 7 days a week.

**RETENTION AND DISPOSAL:**

Records are retained for five years after the debt is paid in full or
otherwise closed out, and thereafter disposed of.

**SYSTEM MANAGER AND ADDRESS:**

General Manager, Borrower Services, Federal Student Aid, U.S. Department
of Education, 830 First Street, NE., Union Center Plaza, 4th Floor,
Washington, DC 20202-5345.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth and social security number. Requests must meet the requirements of
the regulations in 34 CFR 5b.5, including proof of identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to a record in this system, provide the
system manager with your name, date of birth, and social security
number. Requests by an individual for access to a record must meet the
requirements of the regulations in 34 CFR 5b.5, including proof of
identity.

**CONTESTING RECORD PROCEDURE:**

If you wish to change the content of a record regarding you in the
system of records, contact the system manager with your name, date of
birth, and social security number, identify the specific items to be
changed; and provide a written justification for the change. Requests

to amend a record must meet the requirements of the regulations in 34
CFR 5b.7.

**RECORD SOURCE CATEGORIES:**

The system includes information that the Department obtains from
applicants and those individuals and their families who received a loan,
or who are otherwise obligated to repay, a loan, grant, or scholarship
held and collected by the Department. The Department also obtains
information from references, guaranty agencies, educational and
financial institutions, and their authorized representatives, Federal,
State, or local agencies, private parties such as relatives, business
and personal associates, and present and former employers; creditors,
consumer reporting agencies, and adjudicative bodies.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

Appendix to 18-11-16 Additional System Locations

Additional System Locations

U.S. Department of Education, 830 First Street, NE., UCP, Washington, DC
20202-5345.

U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA
94102.

U.S. Department of Education, 111 North Canal Street, Chicago, IL 60606.

U.S. Department of Education, 61 Forsyth Street, Atlanta, GA 30303.

Pearson Government Solutions, 3833 Greenway Drive, Lawrence, KS
66046-5441.

Pearson Government Solutions, 2400 Oakdale Boulevard, Coralville, IA
52241.

ACS Education Services, Inc., 501 Bleecker Street, Utica, NY 13501.

ACS Education Services, Inc., 401 34th Street, Bakersfield, CA 93301.

ACS Education Services, Inc., 2277 East 220th Street, Long Beach, CA
90810.

ACS Education Services, Inc., 2505 S. Finley Road, Suite 100, Lombard,
IL 60148-4866.

ACS Education Solutions, LLC, 12410 Milestone Center Drive, Germantown,
MD 20876.

ACS Education Solutions, LLC, 1 Curie Court, Rockville, MD 20850.

Electronic Data Systems Corporation, 5th Floor, 10100 Linn Station Road,
Louisville, KY 40223.

Electronic Data Systems Corporation, 5th Floor, 474 South Court Street,
Montgomery, AL 36104.

Raytheon Company, 6201 I-30, Greenville, TX 75403.

Affiliated Computer Services, Inc., 2828 N. Haskell Avenue, Building 5,
2nd Floor, Dallas, TX 75204.

ABR Services, Inc., 14847 Persistence Drive, Woodbridge, VA 22191.

ACS Print and Mail Services (Data Direct), 11475 Reeck Road, Southgate,
MI 48195.

EU Services, 649 North Horners Lane, Rockville, MD 20850.

ACS State Healthcare Solutions, 9040 Roswell Road, Suite 700, Atlanta,
GA 30350.

# 18-12-01 Title VI Foreign Language and Area Studies Fellowships (FLAS)

(64 FR 30173-30175)

[[]{#Notice181201 .anchor}18-12-01](#Backto181201) June 4, 1999

## SYSTEM NAME: 

Title VI Foreign Language and Area Studies Fellowships (FLAS).

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW, Room 600, Portals Building, Washington, DC 20202-5331.
AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Graduate Students, who have been nominated for FLAS fellowships by
grantee institutions of higher education.

## CATEGORIES OF RECORDS IN THE SYSTEM: 

The Title VI FLAS Records System consists of a variety of records
relating to an individual\'s applications for, and participation in, the
FLAS program. In addition to the individual\'s name, the system contains
the participant\'s grantee institution, degree status, award period,
amount of the award, language of the award, title of language course
taken, major discipline, career goal, foreign language proficiency
self-evaluation, and a brief description and evaluation of the study
program.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Higher Education Act of 1965, as amended, Part A, Title VI, Section
602(b).

## PURPOSE(S):

The information contained in this system is used to determine the
eligibility of nominees for FLAS fellowships; to monitor compliance and
accomplishments; and to use the data to demonstrate program
effectiveness.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

Department of Education personnel, field readers, and grantee
institutions use the information to determine the eligibility of
nominees and to monitor the progress of foreign language and area
studies training. Department of Education personnel and AppNet use some
of the data to demonstrate program effectiveness. Disclosure may be made
to the following entities as well:

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants\'
institutions and US Department of Education personnel.

### RETRIEVABILITY:

Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data elements.

### SAFEGUARDS:

All physical access to the Department of Education site, and the site of
Department contractors where this system of records is maintained, is
controlled and monitored by personnel who check each individual entering
the building.

The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department of Education and contract staff grantees on a
\"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Hardcopy records are maintained for five years and then destroyed. Data
stored in the electronic data warehouse are maintained until the need
for longitudinal studies to demonstrate program effectiveness is no
longer required.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, International Education and Graduate Programs Service, Office
of Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 600B, Portals Building, Washington, DC 20202-5247.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, the year
of the award, the name of the grantee institution, and language of the
award. Your request must meet the requirements of the regulations at 34
CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

Contact the system manager.

### CONTESTING RECORD PROCEDURES: 

Contact the system managers.

### RECORD SOURCE CATEGORIES:

Information is obtained from the individual and grantee institutions on
approved forms in hardcopy or electronic format.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-12-02 Fulbright-Hays\--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows 

(64 FR 30175-30177)

[[]{#Notice181202 .anchor}18-12-02](#Backto181202) June 4, 1999

## SYSTEM NAME: 

Fulbright-Hays\--Doctoral Dissertation Research Abroad (DDRA), Faculty
Research Abroad (FRA), Seminars Abroad (SA), Fellows.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5331.

AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on teachers or prospective teachers who
have been selected to be recipients for Fulbright-Hays awards to enable
them to engage in foreign language and area studies projects overseas.

## CATEGORIES OF RECORDS IN THE SYSTEM:

The Fulbright-Hays Records System consists of a variety of records
relating to an individual\'s applications for, and participation in, the
Fulbright-Hays DDRA, FRA or SA programs. In addition to the
individual\'s name, the system contains the participant\'s address,
telephone number, educational institution, date and place of birth,
citizenship, social security number, veteran\'s status, names of
accompanying dependents, previous overseas travel, educational and
employment background, student loan default status, a health statement,
transcripts, references, project description and project cost based on
either the cost-of-living in the host country or the annualized salary
of a faculty member, field reader and US Embassy comments, award
documents, and final project reports.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Mutual Educational and Cultural Exchange Act of 1961, as amended (22
U.S.C. 2451-2458).

## PURPOSE(S): 

The information contained in this system is used for the following
purposes: (1) To determine the applicants\' qualifications, eligibility,
suitability and feasibility; (2) to award benefits for overseas
research; (3) to monitor the progress of the project including its
accomplishments; and (4) to demonstrate the program\'s effectiveness.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Program Disclosure]{.underline}. The Department may disclose
information to field readers, the U.S. Department of State, U.S.
Embassies, binational commissions, the J. William Fulbright Foreign
Scholarship Board, foreign educators and officials so that the
information can be used to determine the qualifications, eligibility,
suitability, feasibility, and award benefits for overseas research.

\(2\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants\'
institutions and U.S. Department of Education personnel.

### RETRIEVABILITY:

Hardcopy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data elements.

### SAFEGUARDS:

All physical access to the Department of Education site, and the sites
of Department contractors where this system of records is maintained, is
controlled and monitored by personnel who check each individual entering
the building.

The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department of Education and contract staff grantees on a
\"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Hardcopy records are maintained for five years and then destroyed. Data
stored in the electronic data warehouse are maintained until the need
for longitudinal studies to demonstrate program effectiveness is no
longer required.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, International Education and Graduate Programs Service, Office
of Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 600B, Portals Building, Washington, DC 20202-5247.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth, social security number, the year of the award, the name of the
grantee institution, major country in which you conducted your
educational activity. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to records regarding you in this system of
records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedures. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.

### RECORD SOURCE CATEGORIES:

Information is obtained from the individual on approved application
forms and from field readers, and may be secured from the U.S.
Department of State, U.S. Embassies, binational commissions, the J.
William Fulbright Foreign Scholarship Board, and foreign educators and
officials.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-12-03 Jacob K. Javits Fellowship System 

(64 FR 30177-30179)

[[]{#Notice181203 .anchor}18-12-03](#Backto181203) June 4, 1999

## SYSTEM NAME: 

Jacob K. Javits Fellowship System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who apply for fellowships
under the Jacob K. Javits Fellowship Program.

## CATEGORIES OF RECORDS IN THE SYSTEM:

The Jacob K. Javits Fellowship System consists of a variety of records
relating to a student\'s application for, and participation in, the
Javits Fellowship Program. In addition to the student\'s name, the
system contains the student\'s social security number, or nine digit
identification number, address, scholastic accomplishments, rating
scores, and reference letters.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title VII, Part A, Subpart 1 of the Higher Education Act of 1965, as
amended (20 U.S.C. 1134-1134d). The program regulations are found in 34
CFR part 650.

## PURPOSE(S): 

The information contained in this system is used to determine the
qualifications, eligibility, and suitability in the selection of
fellows; to maintain the progress of fellows; to ensure compliance with
program requirements; and to use the data to demonstrate program
effectiveness.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis, or
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determi-nation proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hard copy, filed in standard filing
cabinets; on access-controlled personal computers; and on removable
personal computer diskettes that are stored in filing cabinets.

### RETRIEVABILITY:

Hardcopy files are retrieved by individual names and educational
institutions. Electronic files are accessed using an individual\'s
Social Security number, or other nine digit identification number.
SAFEGUARDS:

All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \"need-to-know\"
basis, and controls individual users\' ability to access and alter
records within the system. All users of this system of records are given
a unique user ID with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Hardcopy records are maintained for five years and then destroyed. Data
stored electronically is maintained until the need for longitudinal data
to demonstrate program effectiveness is no longer needed.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, International Education and Graduate Programs Service, Office
of Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth and Social Security number. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to a record regarding you in the system of
records, provide the system manager with your name, date of birth, and
Social Security number. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURE:**

If you wish to contest the content of a record, contact the system
manager. Your request must meet the requirements of the regulations at
34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information is obtained principally from individual applicants,
references, and schools attended by the applicant.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-12-04 Title VI International Research and Studies Program (IRS)

(64 FR 30179-30181)

[[]{#Notice181204 .anchor}18-12-04](#Backto181204) June 4, 1999

## SYSTEM NAME: 

Title VI International Research and Studies Program (IRS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION:

International Education and Graduate Programs Service, Office of
Postsecondary Education, U.S. Department of Education, 1250 Maryland
Avenue, SW., Suite 600, Portals Building, Washington, DC 20202-5331.

AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046.
CATEGORIES OF **INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on individual researchers who have been
selected to be recipients of International Research and Studies (IRS)
awards.

## CATEGORIES OF RECORDS IN THE SYSTEM:

The Title VI IRS Records System consists of a variety of records
relating to an individual\'s applications for, and participation in, the
IRS program. In addition to the individual\'s name, the system contains
the participant\'s address, telephone number, educational institution,
citizenship, social security number, institutional or individual DUNS
number, educational and employment background, salary, research or
instructional materials project description, project costs, field reader
comments, award documents, and final project reports.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Higher Education Act of 1965, as amended, Part A, Title VI, section
605(a).

## PURPOSE(S):

The information contained in this system is used for the following
purposes: (1) To determine the qualifications and eligibility of the
project director, competitiveness of and need for the project, and award
benefits; (2) to monitor the progress of the project including its
accomplishments; and (3) to demonstrate the program\'s effectiveness.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Field Reader Disclosures]{.underline}. The Department may
disclose information to field readers in order to determine the
qualifications and eligibility of the project director, competitiveness
of and need for the project, and award benefits.

\(2\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(3\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(6\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(7\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(10\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(11\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(12\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(13\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hardcopy, filed in standard filing
cabinets and in an electronic data warehouse maintained by AppNet and
accessible by AppNet, individual participants, participants\'
institutions and Department personnel.

### RETRIEVABILITY:

Hard copy files are retrieved by individual names and educational
institution. Electronic files can be accessed through all data elements.

### SAFEGUARDS:

All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by personnel who check each individual entering
the building.

The computer system employed by AppNet offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff grantees on a
"need-to-know" basis, and controls individual users\' ability to access
and alter records within the system. All users of this system of records
are given a unique user ID with personal identifiers. All interactions
by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Hard copy records are maintained for five years and then destroyed. Data
stored in the electronic data warehouse are maintained until the need
for longitudinal to demonstrate program effectiveness is no longer
required.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, International Education and Graduate Programs Service, Office
of Postsecondary Education, US Department of Education, 400 Maryland
Avenue, SW., Washington, DC 20202-5247.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, provide the system manager with your name, date of
birth, social security number, the year of the award, the name of the
grantee institution, major country in which you conducted your
educational activity. Your request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to records regarding you in this system of
records, contact the system manager at the address listed above and
follow the steps outlined in the Notification Procedure. Your request
must meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of a record in this system of
records, contact the system manager at the address listed above. Your
request must meet the requirements of the regulations at 34 CFR 5b.7,
including proof of identity.

### RECORD SOURCE CATEGORIES:

Information is obtained from the individuals and institutions on
approved application forms and from field readers.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-12-05 Graduate Assistance in Areas of National Need (GAANN) Program Assessment System 

(64 FR 72402-72404)

[[]{#Notice181205 .anchor}18-12-05](#Backto181205) December 27, 1999

## SYSTEM NAME: 

Graduate Assistance in Areas of National Need (GAANN) Program Assessment
System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

U.S. Department of Education, Office of Postsecondary Education, Program
Monitoring and Information Technology Service, 1990 K St., NW,
Washington, DC 20006.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who apply for fellowships
and receive admission to a GAANN project.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains information including the individual\'s name,
Social Security number, gender, ethnicity, field of study, source of
student\'s GAANN Fellowship, amount of stipend per year of student\'s
GAANN Fellowship, amount of institutional contribution to tuition per
year of student\'s GAANN Fellowship, amount of support the student
received after the GAANN Fellowship, year and term the student entered
institution\'s graduate program, current education status, current
employment status, how the fellow\'s financial need was determined,
whether Title IV financial need analysis was used, whether amount of
student\'s financial need is known, cost of education, and financial
need.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1135C (1993).

## PURPOSE(S): 

This system is used to provide performance data about the GAANN
Fellowship Program for the Department\'s use in responding to the
requirements of the GPRA. In addition, information obtained from the
system of records may also be used for the general purpose of
administering the GAANN Fellowship Program.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosure pursuant to 5 U.S.C. 552 (a)(b)(12).The Department may
disclose to a consumer reporting agency information regarding any
Federal claim which is determined to be valid and overdue as follows:

\(1\) The name, address, taxpayer identification number and other
information necessary to establish the identity of the individual
responsible for the claim; (2) the amount, status, and history of the
claim; and (3) the program under which the claim arose. The Department
may disclose the information specified in this paragraph under 5 U.S.C.
552a(b) (12) after completing the procedures contained in subsection 31
U.S.C. 3711(f). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE: 

Information in this system is maintained in an electronic centralized
database on a computer server. Information extracted from the system
will be maintained on access-controlled personal computers and in
physical file folders.

### RETRIEVABILITY: 

Records in this system can be retrieved by name and Social Security
number.

### SAFEGUARDS: 

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a "need to know" basis,
and controls individual users\' ability to access and alter records
within the system. All users of this system of records are given a
unique user ID with personal identifiers. All interactions by individual
users with the system are recorded.

### RETENTION AND DISPOSAL:

Records on successful applications are destroyed five years after final
payment from the Department to the institution, or after completion of
audit-related activities or litigation, whichever is later.

### SYSTEM MANAGER(S) AND ADDRESS: 

Director, Program Monitoring and Information Technology Service, Office
of Postsecondary Education, U.S. Department of Education, 1990 K St.,
NW, Washington, DC 20006.

### NOTIFICATION PROCEDURE: 

If you wish to determine whether a record exists regarding you in this
system of records, you should provide the system manager with your name,
Social Security number or nine-digit identification number. Your request
must meet the requirement of the Department\'s Privacy Act regulations
at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record in this system of records, you
should contact the system manager and provide information as described
in the Notification Procedures. Requests for access to a record should
reasonably specify the particular record content being sought. Your
request must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest information contained in a record in this system
of records, you should contact the system manager. Your request may be
made either in writing or in person, and should specify: (1) The system
of records from which the record is to be retrieved; (2) the particular
record you are seeking to amend; (3) whether you are seeking a deletion,
an addition, or a substitution; and (4) the reason(s) for the requested
change(s). You should include any appropriate documentation supporting
the requested change(s).

Your request must meet the requirements of the Department\'s Privacy Act
regulations at 34 CFR 5b.7, including proof of identity.

### RECORD SOURCE CATEGORIES: 

Information contained in this system is obtained from the institutions
the fellows attend.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-12-06 Teacher Quality Recruitment Scholarship System 

(65 FR 60172-60174)

[[]{#Notice181206 .anchor}18-12-06](#Backto181206) October 10, 2000

## SYSTEM NAME:

Teacher Quality Recruitment Scholarship System.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

Teacher Quality Enhancement Grants Program, Office of Policy, Planning,
and Innovation, Office of Postsecondary Education, U.S. Department of
Education, 1990 K Street, NW., room 6151, Washington, DC 20006-8525.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who have been awarded
scholarships with funds provided under Title II of the Higher Education
Act by States or partnerships to prepare to become kindergarten through
twelfth-grade teachers.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of information about scholarship recipients,
including the amount and period of their scholarships and the
institution that awarded them; information about former recipients,
including data about the amount and percentage of time the teacher
spends teaching; information about the awarding entity; information
about the terms of the scholarship; the amount of the scholarship and
information about the employing school and the school district,
including a certification by the employing school or school district
that it meets the regulatory definition of high-need.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title II, Section 204(e) of the Higher Education Act of 1965, as amended
by the 1998 Higher Education Amendments, and 31 U.S.C. Chapter 37.

## PURPOSE(S):

The information in this system will be used to ensure that recipients of
scholarships provided with funds under Title II of the Higher Education
Act who complete teacher education programs subsequently (1) teach in a
high-need school of a high-need local educational agency for a period of
time equivalent to the period for which the recipient received
scholarship assistance; or (2) repay the amount of the scholarship. The
information, therefore, is a tracking mechanism that will be used to
carry out the statutory requirement found in Title II, Section 204(e).
In addition the system information will be used to determine the success
of the Teacher Recruitment component of the Teacher Quality Enhancement
Grant Programs in preparing new teachers for employment in high-need
schools and school districts.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department of Education (the Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:

The records are maintained in hard copy, filed in standard filing
cabinets; on access-controlled personal computers; and on personal
computer diskettes that are stored in filing cabinets.

### RETRIEVABILITY:

Hardcopy files are retrieved by individual names, institutions of higher
education and employing school districts. Electronic files may be
accessed by using an individual\'s social security number, individual\'s
name, name of institution of higher education, or name of employing
school district.

### SAFEGUARDS:

All physical access to the program location where this system of records
is maintained is controlled and monitored by security personnel. The
computers used by program staff to store any system data offer a high
degree of resistance to tampering and circumvention. This security
system limits data access to program staff and any contract staff that
may be hired in the future. The system is available on a \"need to
know\" basis. Controls are in place on individual\'s ability to access
and alter records within the system. All users of this system are given
unique user IDs with personal identifiers. All interactions by
individual users with the system are recorded.

### RETENTION AND DISPOSAL:

[Disposition]{.underline}: Destroy five years after audit or ED\'s
determination either that the scholarship recipient fulfills the service
obligation or the indebtedness has been repaid or forgiven, whichever is
later. (ED/RDS, Part 10, Item 3a)

SYSTEM MANAGER AND ADDRESS:

Director, Teacher Quality Enhancement Grant Programs, Office of
Postsecondary Education, 1990 K Street, NW., room 6150, Washington, DC
20006-8525.

### NOTIFICATION PROCEDURE:

If you wish to determine if you have a record in this system, provide
the system manager with your name, date of birth, and social security
number. Your request must meet the regulatory requirements of 34 CFR
5b.5, including proof of identity.

RECORD ACCESS PROCEDURE:

If you wish to gain access to your record in this system, provide the
system manager with your name, date of birth, and social security
number. Your request must meet the regulatory requirements of 34 CFR
5b.5, including proof of identity.

CONTESTING RECORD PROCEDURE:

If you wish to contest the content of a record, contact the system
manager. Your request must meet the regulatory requirements of 34 CFR
5b.7, including proof of identity.

### RECORD SOURCE CATEGORIES:

Information is obtained from individual scholarship recipients,
institutions of higher education attended by the recipients, and school
districts that have employed the recipients.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-13-01 National Center for Education Statistics Longitudinal Studies and the School and Staffing Surveys 

[]{#Notice181301 .anchor}

(64 FR 30181-30182)

[18-13-01](#Backto181301) June 4, 1999

## SYSTEM NAME: 

National Center for Education Statistics Longitudinal Studies and the
School and Staffing Surveys.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

National Center for Education Statistics, Office of Educational Research
and Improvement, U.S. Department of Education, 555 New Jersey Avenue,
NW., Room 400, Washington, DC 20202-5574. See the Appendix at the end of
this system notice for additional system locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains information on the following groups:

\(1\) High school seniors who participated in the National Longitudinal
Study of the High School Class of 1972;

\(2\) Approximately 26,820 high school seniors and sophomores from 1,015
U.S. high schools who participated in the High School and Beyond Survey
in 1980;

\(3\) Approximately 26,000 eighth grade students in 1,050 U.S. schools
who participated in the National Education Longitudinal Study of 1988;

\(4\) Approximately 60,000 students enrolled in U.S. postsecondary
institutions who participate in each cycle of the National Postsecondary
Student Aid Study, the Baccalaureate and Beyond Study, or the Beginning
Postsecondary Students Longitudinal Study;

\(5\) Approximately 21,000 kindergartners, their parents, and 6,000
teachers who are participating in the Early Childhood Longitudinal
Study, Kindergarten Cohort in 1998;

\(6\) 14,000 children and their families as well as 4,500 childcare
providers that will participate in the Early Childhood Longitudinal
Study, Birth Cohort 2000;

\(7\) Approximately 78,000 teachers, administrators, and librarians who
participate in each administration of the School and Staffing Surveys of
NCES;

\(8\) Approximately 11,000 faculty and administrators who participated
in the 1987-88 National Study of Postsecondary Faculty;

\(9\) Approximately 30,000 faculty, instructional staff, and
administrators who participate in subsequent administrations of the
National Study of Postsecondary Faculty;

\(10\) Approximately 33,000 U.S. students who participated in the Third
International Mathematics and Science Study and the 15,000 U.S. students
who will participate in the subsequent administration of the Third
International Mathematics and Science Study;

\(11\) Approximately 5,000 U.S. students who will participate in an
international Civics Education Study;

\(12\) 9,000 U.S. students who will participate in the Program of
International Student Assessment;

\(13\) 8,000 U.S. adults who will participate in the International Life
Skills Survey.

**CATEGORIES OF RECORDS IN THIS SYSTEM:**

This system consists of responses to survey instruments which contain
background and demographic data, questions concerning educational
experiences, employment experiences, finances, aspirations, plans and
goals, family formation variables, and attitudes. Cognitive test scores,
financial aid records, and high school and college transcripts are
appended to the records as well.

The records for schools and local education agencies contain information
on numbers and characteristics of teaching staff, administrators,
financial and demographic data, and data related to student performance.
The records related to teachers and administrators contain, in addition
to the above, information on training and experience, salary history,
and attitudes and opinions on educational and operational questions.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1221e-1.

## PURPOSE(S):

This system is used to describe the critical influences, contexts, and
transitions of students in elementary, secondary, and postsecondary
education and into employment and adult experience.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Contract Disclosure]{.underline}. When the National Center for
Education Statistics intends to contract with a private firm for the
purpose of collating, analyzing, aggregating, maintaining, appending, or
otherwise refining records in this system, the Commissioner of Education
Statistics may release relevant records to the contractor. The
contractor will be required to maintain safeguards under the Privacy Act
of 1974 and under section 406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4))
with respect to such records.

\(2\) [Research Disclosure]{.underline}. Where the Commissioner of
Education Statistics determines that an individual or organization is
qualified to carry out specific research, the Commissioner may disclose
information from these systems of records to that researcher solely for
the purpose of carrying out that research. The researcher shall be
required to maintain under the Privacy Act of 1974 and 20 U.S.C.
1221-e1(d)(4) safeguards with respect to such records.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The research files will be stored on computer tapes and diskettes. The
location files will be kept on computer tapes.

### RETRIEVABILITY:

The records are retrievable by title of survey and name of person.

### SAFEGUARDS:

The research files and location files are not directly mergeable in the
form maintained and stored. The identification codes on each file are
different. They can be related by use of an encryption algorithm known
to only a few authorized staff. Copies of the computer tapes and discs
containing the location files are stored with three levels of password
protection. Hence, immediate access to the location files is possible
only by authorized staff. When in active use for editing, tabulation and
analysis, files of information and identifiers will not be kept together
unless necessary for processing the data. The files will be accessed
only through approved identification of the user and the use of
passwords. Passwords will be changed at the conclusion of each period of
use and returned to storage. Tapes, discs and questionnaires will be
kept in locked files in locked rooms.

### RETENTION AND DISPOSAL:

The records will be kept for five years after the final survey
administration, including the base year survey and any following surveys
and then transferred to the Federal Records Center, where, after 15
years, they will be destroyed.

### SYSTEM MANAGER(S) AND ADDRESS:

Commissioner, National Center for Education Statistics, Office of
Educational Research and Improvement, U.S. Department of Education, 555
New Jersey Avenue, NW., Room 400, Washington, DC 20208-5574.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager at the address listed
above. Your request must meet the requirements in the regulations at 34
CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURE:

If you wish to gain access to a record regarding you, contact system
manager. Your requests must meet the requirements in the regulations at
34 CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURE:

If you wish to contest the content of a record regarding you, contact
the system manager. Your request must meet the requirements in the
regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in the records comes form responses to survey instruments.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

Appendix to 18-13-01

Additional System Locations

U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.

WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.

Research Triangle Institute, P.O. Box 12094, Research Triangle Park,
North Carolina 27709.

National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois
60637-2799.

Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington,
DC 20006.

The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.

MPR Associates, 1995 University Avenue, Suite 225, Berkeley, California
94704.

Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138.

Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400,
Washington, DC 20007.

Institute for Social Research, Survey Research Associates, University of
Michigan, 426 Thompson, Ann Arbor, MI 48106.

School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.

# 18-13-02 National Center for Education Statistics Affidavits of Nondisclosure 

(64 FR 30182-30184)

[[]{#Notice181302 .anchor}18-13-02](#Backto181302) June 4, 1999

## SYSTEM NAME: 

National Center for Education Statistics Affidavits of Nondisclosure.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

See the Appendix to this system notice.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains information on employees of the National Center for
Education Statistics (NCES) or other persons who assist NCES in the
performance of its work, who have access to any record, response form,
completed survey or aggregation thereof from which information about
individual students, teachers, administrators, or other individual
persons may be revealed, and who have signed a pledge not to disclose
such information. Other persons who may assist NCES include employees of
companies, profit or nonprofit organizations, State agencies, local
agencies or instrumentalities having a contract, task order, interagency
agreement, or some other formal agreement with NCES and who have access
to individually identifiable information.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains the following information:

\(1\) The affidavit of nondisclosure that includes the individual\'s
name, place of work (company, agency, etc.), signature, and date signed;
and

\(2\) the name of the project or survey in which the entity employing
the individual was involved.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 406(d)(4) of the General Education Provisions Act, as amended by
Title III, Part A, Section 3001, of Public Law 100-297, April 28, 1988
(20 U.S.C. 1221e-1(d)(4)).

## PURPOSE(S):

This system of records is used for the following purposes: (1) To
maintain information necessary for internal control and monitoring of
those having access to individually identifiable information; (2) to
provide evidence in disciplinary actions or prosecution of individuals
who disclose individually identifiable information protected from
disclosure under Section 406(d)(4) of the General Education Provisions
Act, as amended; and (3) to ensure that individuals utilized by the
Commissioner of NCES protect the individually identifiable data of NCES.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING THE CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Contractor Disclosure]{.underline}. A record may be disclosed
from this system of records to employees of entities having a contract
or other agreement with the Commissioner to assist in the collection of
data on behalf of NCES to ensure that these entities maintain an
accurate file of individuals who have access to individually
identifiable information in performance of their duties under the
contract or other agreement.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(4\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation and ADR, the Department may disclose those records as a
routine use to the DOJ.

\(5\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(6\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(7\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: Complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(8\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards under 5 U.S.C. 552a(m) with respect to
such records.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Information will be kept in file folders and on computer diskettes or
computer tapes.

### RETRIEVABILITY:

The records will be retrievable by name, date, and place of work of the
individual.

### SAFEGUARDS:

The records will be kept in locked files. The computer tapes and
diskettes will be accessible by authorized personnel through
identification number and password.

### RETENTION AND DISPOSAL:

Each affidavit will be kept for 5 years after the individual access to
NCES confidential data has ceased and then will be transferred to the
Federal Records Center, where it can remain up to 15 years before it is
destroyed.

### SYSTEM MANAGER(S) AND ADDRESS:

Chief Statistician & Individual Survey Project Officers, National Center
for Education Statistics, U.S. Department of Education, 555 New Jersey
Avenue, NW., Washington, DC 20208-5574.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, contact the system manager at the address listed
above and provide your name, place of work (i.e. company, agency, etc.),
and the dates of employment. Your request must meet the requirements in
the regulations at 34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to records regarding you in this system of
records, contact the system manager and provide your name, place of work
(i.e. company, agency, etc.), and the dates of employment. Your request
must meet the requirements in the regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of a record regarding you, contact
the system manager. Your request to amend a record must meet the
requirements of 43 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in the records comes from individuals who have signed the
affidavits of nondisclosure.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

## Appendix to 18-13-02

Additional System Locations

National Center for Education Statistics, U.S. Department of Education,
555 New Jersey Avenue, NW., Washington, DC 20202-5574.

U.S. Bureau of the Census, Federal Office Building 3, Washington, DC
20233.

WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850.

Research Triangle Institute, P.O. Box 12094, Research Triangle Park,
North Carolina 27709.

National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois
60637-2799.

Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington,
DC 20006.

The Gallup Organization, One Church Street, Suite 900, Rockville, MD
20850.

MPR Associates, 1995 University Avenue, Suite 225, Berkeley, CA 94704.

Abt Associates, 55 Wheeler Street, Cambridge, MA 02138.

Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400,
Washington, DC 20007.

Institute for Social Research, Survey Research Associates, University of
Michigan, 426 Thompson, Ann Arbor, MI 48106.

School of Education, University of Michigan, 610 E. University, Ann
Arbor, MI 48109.

# 18-13-03 National Center for Education Statistics\' National Assessment of Educational Progress 

(64 FR 30184-30185)

[[]{#Notice181303 .anchor}18-13-03](#Backto181303) June 4, 1999

## SYSTEM NAME: 

National Center for Education Statistics\' National Assessment of
Educational Progress.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

ESTAT, 1650 Research Boulevard, Rockville, MD 20850.

Educational Testing Service, Rosedale Road, Princeton, NJ 08541.

National Computer Systems, 2510 N. Dodge Street, Iowa City, IA 52245.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains information on the following individuals: (1)
Individuals who leave school early as early graduates or as drop-outs
(defined as 17-year-olds who are no longer in school) and are covered
during a six month data verification period; (2) young adults in the
study who are covered during a six month data verification period; and
(3) individual schools which are covered under the National Assessment
of Educational Progress (NAEP) statute (20 U.S.C. 9010 (c)(2)(A)).

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records contain responses to assessment and survey instruments. The
contents of these instruments are of two types: (1) Cognitive test items
to assess the educational achievement of students and young adults in
various subject areas taught in school; and (2) questions about student
demographic and background variables as well as the characteristics of
teachers and schools.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 9010.

## PURPOSE(S): 

The purpose of the National Assessment of Educational Progress (NAEP),
funded by the Department of Education, is to provide information on the
educational achievement of young Americans over time.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

During a six-month verification period, individually identifiable
information about individuals who leave school early or are young adults
is subject to the Privacy Act, and may be disclosed under routine uses
that are consistent with the Commissioner\'s authority under section
406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4)). The routine uses that apply
to this period permit disclosures to individuals who:

\(1\) Take the oath and sign an affidavit of nondisclosure required
under 20 U.S.C. 9007;

\(2\) Work for a contractor, grantee, or party to a cooperative
agreement or other entity that has an agreement with the Commissioner to
conduct research for National Center for Education Statistics (NCES), or

\(3\) Work under a research contract, grant, or cooperative agreement
with a Federal, State, or local agency that requires the use of
individually identifiable information, and the research is compatible
with the purpose for which NCES collected the data, or

\(4\) Work under an agreement in writing to:

\(i\) Use the information for statistical purposes only,

\(ii\) Maintain the data in accordance with applicable Federal laws,

\(iii\) Prohibit redisclosure in identifiable form, and

\(iv\) Permit NCES\' periodic inspection to determine adherence to the
contract or agreement. Regarding the records of individual schools,
which, under 20 U.S.C. 9010(c)(2)(A), must be treated as individuals
subject to the Privacy Act, NCES may make routine use disclosures,
consistent with the statistical purposes for which a record was
supplied, as follows:

\(1\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(2\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(3\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(4\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(5\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, ED may disclose certain records to the parties described
in paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
ED determines that disclosure of certain records to a party, counsel,
representative or witness in an administrative proceeding is relevant
and necessary to the litigation, the Department may disclose those
records as a routine use to the party, counsel, representative or
witness.

POLICIES AND PRACTICES FOR RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained on magnetic tape and computer disk media.

### RETRIEVABILITY:

Records are retrievable by assessment year, subject area, age or grade
at the school or individual respondent level.

### SAFEGUARDS:

Access to the restricted-use data files and completed test booklets and
forms is severely limited to key contractor and NCES staff. User access
to the restricted-use data files has three levels of data access
protection. Access to the files is restricted to authorized NAEP staff
who have a valid need for immediate access to NAEP data. This access is
controlled and monitored by the use of secure \"log-on\" identification
and password protection schemes.

Access to individual restricted-use data files is controlled by an
access control facility that restricts users to only those files that
are necessary and approved for their perusal. In addition, the
restricted-use data files are backed-up to an off-site secure location
that will protect NAEP data in the event of a computer center disaster.
This off-site storage is in a secure vault that is physically protected
from unauthorized entry. The open-ended responses are stored in a secure
warehouse with access limited to NAEP project staff.

### RETENTION AND DISPOSAL:

The NAEP restricted-use data files are stored in a secure computer
facility. The security mechanism includes physical security, data
security, and disaster recovery capability. The computer facility is
housed within a fire-resistant masonry and steel door structure.
Physical access to the facility is electronically controlled through
magnetically imprinted identification badges and is limited to
authorized staff who have functional responsibilities within the secured
areas. Open-ended responses are kept indefinitely. However, data that
could be used to identify individuals are destroyed six months after
collection.

### SYSTEM MANAGER(S) AND ADDRESS: 

Associate Commissioner, Educational Assessment Division, National Center
for Education Statistics, Office of Educational Research and
Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW.,
Room 308C, Washington, DC 20208-5653.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record regarding you exists in this
system of records, you should contact the system manager at the address
listed above and provide your name, date of birth and social security
number. Your requests must meet the requirements of the regulations at
34 CFR 5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record in this system of records, you
should contact the system manager and provide the information described
in the Notification Procedures. Your request must meet the requirements
of the regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest information contained in this system of records,
you should contact the system manager. You should specify the particular
record you are seeking to amend, whether a deletion, an addition, or a
substitution is being sought and the reason(s) for the requested
change(s). Your request should meet the requirements of the regulations
at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

The information in this system comes from the data collected from the
subject individuals and individual schools.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-13-04 Outcomes of Diversity in Higher Education Study 

(64 FR 30186-30186)

[[]{#Notice181304 .anchor}18-13-04](#Backto181304) June 4, 1999

## SYSTEM NAME: 

Outcomes of Diversity in Higher Education Study.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

National Institute on Postsecondary Education, Libraries, and Lifelong
Learning, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
627, Washington, DC 20208-5531. See the Appendix at the end of this
system notice for additional system locations.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains data on the following individuals: (1)
Approximately 5500 students who were first-time freshmen in Fall 1998 at
9 four-year institutions of higher education; (2) approximately 300
faculty who teach freshmen at those institutions; and (3) approximately
45 administrators of those institutions. There will be follow-up data
for spring of 1999 and spring of 2000 on the initial set of freshmen
respondents.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of responses to survey instruments and interview
protocols. In addition to background and demographic data, the survey
instruments include sets of items concerning perception of institutional
commitment to diversity, attitudes, campus climate, knowledge of
multiple cultures and pedagogy. The opinions of students, faculty and
administrators concerning diversity and multiculturalism are also
represented.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 6031 (h) (Supp. 1998).

## PURPOSE(S):

The information contained in the system is used for the following
purposes: (1) To increase understanding of the effects of diversity in
higher education on all students by examining incoming attitudes of
first-time freshmen and changes in attitudes and cognitive development
concerning issues of diversity and multiculturalism; and (2) to assess
pedagogy and student participation, attainment, development, attitudes
and knowledge.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Contract Disclosure]{.underline}. When OERI intends to contract
with a private firm for the purpose of collating, analyzing,
aggregating, maintaining, appending, or otherwise refining records in
this system, the Director may release relevant records to the
contractor. The contractor will be required to maintain safeguards under
the Privacy Act of 1974 and under section 406(d)(4) of GEPA (20U.S.C.
1221e-1(d)(4)) with respect to such records.

\(2\) [Research Disclosure]{.underline}. Where the Director determines
that an individual or organization is qualified to carry out specific
research, the Director may disclose information from these systems of
records to that researcher solely for the purpose of carrying out that
research. The researcher shall be required to maintain Privacy Act of
1974 and 20 U.S.C. 1221e-1(d)(4) safeguards with respect to such
records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The research and location files will be stored on separate computer
diskettes.

### RETRIEVABILITY:

Aggregate files may be retrieved by title of survey. The location files
will be destroyed upon completion of this project as there will be no
future need to retrieve an individual record. Only the completed
interview protocols will be retained in hard copy by title of individual
interviewed at each of the nine institutions.

### SAFEGUARDS:

The research files and location files cannot be merged in the form
maintained and stored since the identification codes on each file are
different. They can be related by use of an encryption algorithm known
only to a few staff authorized to work with the data files. When in
active use for editing, tabulation and analysis, files of information
and identifiers will not be kept together unless necessary for data
processing. Tapes, discs and questionnaires will be kept in locked
files.

### RETENTION AND DISPOSAL:

The records will be kept for five years after the final survey
administration, in spring of 2000. In the spring of 2005, the records
will be transferred to the Federal Records Center, where, after 15
years, they will be destroyed.

### SYSTEM MANAGER(S) AND ADDRESS:

Director, National Institute on Postsecondary Education, Libraries and
Lifelong Learning, U.S. Department of Education, 555 New Jersey Avenue,
NW., Room 627, Washington, DC 20208-5531.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you, contact
the system manager at the address listed above. Your requests must meet
the requirements in the regulations at 34 CFR 5b.5.

### RECORD ACCESS PROCEDURES:

Same as Notification Procedure.

### CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of a record, contact the system
manager. Any requests to amend a record must meet the requirements of 34
CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information in the records comes from the responses to survey
instruments.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

Appendix to 18-13-04

Additional System Locations

Mathtech, Inc., 6402 Arlington Blvd., Suite 1200, Falls Church, VA
22042-2356.

Mathtech, Inc., 202 Carnegie Center, Suite 111, Princeton, NJ
08540-6239.

Mathtech, Inc., 180 Pembrooke Circle, Phoenixville, PA 19460.

# 18-13-05 Education Publications Center (ED PUBS)

(64 FR 72404-72408)

[18-13-05](#Backto181305) December 27, 1999

## SYSTEM NAME: 

Education Publications Center (ED PUBS).

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Education Publications Center, U.S. Department of Education, 8242 Sandy
Court, Jessup, MD 20794.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on individuals who contact ED PUBS to
request products from the U.S. Department of Education.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains the name, address, and telephone number of the
individuals, as well as what product those individuals request.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C. 6051
(Supp. I, 1995).

## PURPOSE(S): 

The information in this system is used to disseminate the Department\'s
products to the public.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any component of the Department; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(5\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(6\) [Labor Organization Disclosure]{.underline}. A component of the
Department may disclose records to a labor organization if a contract
between the component and a labor organization recognized under Title V
of the United States Code, Chapter 71, provides that the Department will
disclose personal records relevant to the organization\'s mission. The
disclosures will be made only as authorized by law.

\(7\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(8\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(11\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(12\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Supp]{.underline}ort. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are retained in hard copy and in a computer database.

### RETRIEVABILITY:

The records are retrieved by name and by title of requested product.

### SAFEGUARDS:

Access to the ED PUBS records is limited to internal Department
designees, warehouse switchboard operators, and ED PUBS management
personnel. All physical access to the Department site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel who check each individual
entering the building for his or her employee or visitor badge.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a "need to know" basis,
and controls individual users\' ability to access and alter records
within the system. All users of this system of records are given a
unique user ID with personal identifiers. All interactions by individual
users with the system are recorded.

### RETENTION AND DISPOSAL:

Records are deleted upon revision or update.

### SYSTEM MANAGER(S) AND ADDRESS:

Executive Director of the National Library of Education, U.S. Department
of Education, 400 Maryland Ave, SW., Suite 4W317, Washington, DC
20202-5523.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations at 34 CFR
5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

If you wish to access a record regarding you in the system of records,
contact the system manager. Your request must meet the requirements of
the Department\'s Privacy Act regulations at 34 CFR 5b.5, including
proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest a record regarding you in the system of records,
contact the system manager. Your request must meet the requirements of
the Department\'s Privacy Act regulations at 34 CFR 5b.7, including
proof of identity.

### RECORD SOURCE CATEGORIES:

The information in this system is obtained from the individuals who
contact ED PUBS.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

**18-13-06 What Works Clearinghouse (WWC) Database**

(69 FR 9603-9605)

[[]{#Notice181306 .anchor}18-13-06](#Backto181306) March 1, 2004

**SYSTEM NAME:**

What Works Clearinghouse (WWC) Database.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This web-based system will maintain a national registry of educational
interventions\--educational programs, products, and practices that are
claimed to enhance important student outcomes. In particular, the WWC
will assess and report on the strength of research-based evidence of the
effectiveness of these educational programs.

There are two categories of individuals covered by the system. First,
the WWC will be collecting identifying information from members of the
public if the public voluntarily and anonymously suggests studies,
interventions, and topics for WWC review, and provides optional contact
information. The WWC will also collect information from the public if an
individual voluntarily subscribes to receive e-mail updates about new
information on the WWC Web site.

Second, evaluators\--individuals and organizations\--may use the Web
site to voluntarily submit contact information and information about
their services and experience in evaluating educational programs. The
purpose of this information is to create a public listing to assist
people in identifying those evaluators who are potentially qualified to
conduct rigorous studies of the effectiveness of education programs.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

For members of the public who suggest a study, intervention, or topic
for WWC review, and choose to provide contact information, the form will
include name, title, organization, mailing address, e-mail address,
phone number, URL and comments. The individual will be able to choose
whether or not to submit any contact information at all, provide just a
contact name and e-mail address, or give more detailed contact
information, including title, organization, mailing address, phone
number, URL, or comments.

For members of the public who voluntarily subscribe to receive e-mail
updates from the WWC Web site, an automated system will collect and
retain the e-mail addresses of subscribers.

Finally, evaluators may use the Web site to voluntarily submit contact
information\--name, work mailing and e-mail addresses, phone
number\--together with information about their services and experience,
if they would like this information to be included in the public-access,
web-based registry of evaluators.

This notice does not cover records, including but not limited to
letters, e-mails, and facsimiles, sent by individuals to the Secretary,
Deputy Secretary, Senior Officers, such as the Director of IES, for whom
the Department controls responses to these inquiries. Further, this
notice does not cover the official correspondence files of IES,
specifically the hard copies of official documents and electronic images
of certain incoming and outgoing documents.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

Education Sciences Reform Act of 2002, Pub. L. 107-279 (2002), sections
172(a)(2) and (3).

**PURPOSE(S):**

This system of records is maintained to provide the WWC with the means
to:

1\. Contact members of the public who suggest a study, intervention, or
topic for review and who choose voluntarily to provide optional contact
information, if their suggestions need clarification.

2\. Send e-mail updates about new information on the WWC Web site to
subscribers.

3\. Provide contact information for evaluators who wish to have their
services, experience, and contact information included in the
public-access, web-based registry of evaluators.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act,
under a computer matching agreement.

1\. Freedom of Information Act (FOIA) Advice Disclosure. The Department
may disclose records to the Department of Justice (DOJ) and OMB if the
Department concludes that disclosure is desirable or necessary in
determining whether particular records are required to be disclosed
under the FOIA.

2\. Disclosure to the DOJ. The Department may disclose records to the
DOJ to the extent necessary for obtaining DOJ advice on any matter
relevant to an audit, inspection, or other inquiry related to the
programs covered by this system.

3\. Contract Disclosure. If the Department contracts with an entity for
the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

4\. Litigation and Alternative Dispute Resolution (ADR) Disclosures.

\(a\) Introduction. In the event that one of the parties described in
(a)(i) through (v) is involved in litigation or ADR, or has an interest
in litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her official capacity if the
DOJ has agreed or been requested to provide or arrange for
representation for the employee; or

\(iv\) Any Department employee in his or her individual capacity if the
Department has agreed to represent the employee; or

\(v\) The United States if the Department determines that the litigation
is likely to affect the Department or any of its components.

\(b\) Disclosure to the DOJ. If the Department determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, and is compatible with the purpose for which the
records were collected, the Department may disclose those records as a
routine use to the DOJ.

\(c\) Adjudicative disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear or to an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the litigation or ADR, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.

\(d\) Parties, counsel, representatives and witnesses. If the Department
determines that disclosure of certain records to a party, counsel,
representative or witness is relevant and necessary to the litigation or
ADR, the Department may disclose those records as a routine use to the
party, counsel, representative or witness.

5\. Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain Privacy
Act safeguards with respect to the disclosed records.

6\. Congressional Member Disclosure. The Department may disclose
information to a Member of Congress from the record of an individual in
response to an inquiry from the Member made at the written request of
that individual. The Member\'s right to the information is no greater
than the right of the individual who requested it.

7\. Enforcement Disclosure. In the event that information in this system
of records indicates, either on its face or in connection with other
information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or charged
with enforcing or implementing the statute, Executive order, rule,
regulation, or order issued pursuant thereto.

**DISCLOSURES TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system of records.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:**

The information in the tracking system will be stored on a server
maintained by the WWC subcontractor staff. Records generated by the
system will be maintained electronically on the server.

**RETRIEVABILITY:**

The public will have access to the searchable, web-based registry of
evaluators, containing information voluntarily submitted by evaluators
about their services and experience, as well as contact information,
after the evaluators have signed a letter giving their written
permission for this information to be used in the registry.

The data are retrieved by searching by record number, type of
suggestion, study author, title, reference type, publisher, topic, type
of intervention, and organization.

The data for the evaluator registry will be searchable on the WWC
public-access Web site by topic, type of research, geographic area,
study title, intervention title, years of experience, and contact
information.

**SAFEGUARDS:**

Access to this system will be restricted to authorized WWC contractors,
subcontractors, consultants, and ED employees on a need-to-know basis.
Authorized users of this system will enter a unique user ID as well as a
password to enter the system. They will be required to change their
passwords periodically, and they will not be allowed to repeat old
passwords. Any individual who attempts to log in to the system three
times and fails will be locked out of the system. Access after that time
requires intervention by the system manager.

The computer system employed by the WWC offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to authorized WWC staff and controls individual users\'
ability to access and alter records within the system.

All file servers, routers/hubs, tape back-up stations, and
communications servers are located in secure rooms at the
subcontractor\'s Headquarters site, and only authorized personnel have
access via key or magnetic card.

All files will be password-protected and back-up files will be secured
in a locked area. Access to the data files and software on the WWC site
are controlled through the Microsoft NT Server operating system by
providing all staff with user accounts (user IDs). All secure user
accounts will require passwords that must be changed every six months.
Passwords for ongoing data processing will be changed frequently, and
users will be blocked from gaining access to certain types of data and
programs based on their IDs and passwords.

**RETENTION AND DISPOSAL:**

Records in this system will be retained in accordance with the National
Archives and Records Administration (NARA) General Records Schedule 20,
Item 1.c which provides disposal authorization for electronic files and
hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer
needed for administrative, legal, audit, or other operational purposes.

**SYSTEM MANAGER AND ADDRESS:**

Contracting Officer\'s Representative (COR), What Works Clearinghouse,
U.S. Department of Education, Institute of Education Sciences, 555 New
Jersey Avenue, NW., suite 504, Washington, DC 20208.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists about you in the system
of records, provide the system manager with your name or e-mail address.
Your request for notification must also meet the requirements of the
regulations in 34 CFR 5b.5, including proof of identity. You may also
present your request in person or make your request in writing to the
system manager at the above address.

**RECORD ACCESS PROCEDURES:**

Request to access a record also must reasonably specify the record
contents sought and otherwise meet the requirements of the regulations
in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to change the content of a record in this system of records,
you must contact the system manager at the above address and follow the
steps outlined in the NOTIFICATION PROCEDURE section. Requests to amend
a record must also reasonably identify the record, specify the
information being contested, provide in writing your reasons for
requesting the change, and otherwise meet the regulations in 34 CFR
5b.7.

**RECORD SOURCE CATEGORIES:**

Information in this system is obtained from members of the public and
evaluators who voluntarily provide information. The primary way for the
public and evaluators to contact the WWC is electronically through the
WWC Web site, although they also could contact the WWC by telephone, by
mail, or in person.

**SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:**

None.

**18-13-07 DC Choice Program Evaluation**

(69 FR 22014-22016)

[[]{#Notice181307 .anchor}18-13-07](#Backto181307) April 23, 2004

**SYSTEM NAME:**

DC Choice Program Evaluation.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

Westat, 1650 Research Boulevard, Rockville, MD, 20850.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

There are two categories of individuals who are covered by this system.
The system will contain records on DC Choice Program applicants
(students), their parents and other adults living with these students.
The system will also contain information on all DCPS non-applicant
students from K thru 12.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system consists of the names, addresses, telephone numbers, social
security numbers, demographic information\--such as race/ethnicity, age,
marital status, disability, language spoken in the home, educational
background, and income\--and the results of academic assessments. The
system will collect information about parents\' satisfaction with their
children\'s current schools and the reasons for seeking a new school.
The system will also collect scores on academic achievement examinations
for applicants who may not have participated in Spring, 2004 DCPS
testing. In addition, the system will also contain academic achievement
data and other student performance measures, including attendance and
disciplinary records, from existing DCPS school records for all students
in grades K thru 12.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

DC School Choice Incentive Act of 2003, Pub. L. 108-199, Division C,
Title III, Section 309(a)(3) and (4).

**PURPOSE(S):**

This statute is intended to provide low-income parents residing in the
District of Columbia (the District) with expanded opportunities for
enrolling their children in higher-performing private schools in the
District. The information in this system will be used to fulfill the
requirements of the DC School Choice Incentive Act of 2003 (D.C. Choice
Act), especially section 309, which calls for a detailed evaluation of
the program. In particular, section 309 directs the Department to
evaluate the performance of students participating in the program by
comparing them with the students in the same grade at DCPS as well as
students in DCPS who applied for the program but were not selected.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:**

ED may disclose information contained in a record in this system of
records under the routine use listed in this system without the consent
of the individual if the disclosure is compatible with the purposes for
which the record was collected. Any disclosure of individually
identifiable information from a record in this system must also comply
with the requirements of: (A) Section 183 of the Education Sciences
Reform Act of 2002 (ESRA), Pub. L. 107-279, providing for
confidentiality standards that apply to all collections, reporting and
publication of data by the Institute of Education Sciences (IES); (B) if
applicable, Title V of the E-Government Act of 2002 (E-Gov Act), Pub. L.
107-347, governing any pledges of confidentiality given to the public
for statistical purposes; and (C) Section 309(a)(5) of the D.C. Choice
Act, prohibiting the disclosure of personally identifiable information
to the public regarding the results of the measurements used for the
evaluations.

*Contract Disclosure*. If the Department contracts with an entity for
the purposes of performing any function that requires disclosure of
records in this system to employees of the contractor, the Department
may disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system and to agree in writing to comply with all
other provisions of law that affect the disclosure of the information,
including section 183 of the ESRA, Title V of the E-Gov Act, and section
309(a)(5) of the D.C. Choice Act.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The contractor will maintain data for this system on its computers and
in hard copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual, which is cross-referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

Individual access to the offices of Department contractor, Westat, that
maintains the system of records is controlled and monitored by security
personnel. The contractor has established a set of procedures to ensure
confidentiality of data. The system ensures that information identifying
individuals is in files physically separated from other research data.
Westat will maintain security of the complete set of all master data
files and documentation. Access to individually identifiable data will
be strictly controlled. All data will be kept in locked file cabinets
during nonworking hours, and work on hardcopy data will take place in a
single room, except for data entry.

Physical security of electronic data will also be maintained. Security
features that protect project data include password-protected accounts
that authorize users to use the Westat system but to access only
specific network directories and network software; user rights and
directory and file attributes that limit those who can use particular
directories and files and determine how they can use them; e-mail
passwords that authorize the user to access mail services and additional
security features that the network administrator establishes for
projects as needed.

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with ED\'s record
disposition schedules (ED/RDS). In particular, ED will follow the
schedules outlined in Part 3 (Research Projects and Management Study
Records) and Part 14 (Electronic Records).

**SYSTEM MANAGER AND ADDRESS:**

Director, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S.
Department of Education, 555 New Jersey Avenue, NW., room 502,
Washington, DC 20208.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of the regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
the regulations in 34 CFR 5b.5, including proof of identity.

**PROCEDURE FOR CONTESTING RECORD:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations in 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

There are three principal record source categories in this system.
Information will be obtained from applications submitted by potential
scholarship winners. Information will also be obtained directly from
applicants who have to take academic assessment examinations
administered directly by the contractor. Finally, information will be
gathered from the education records of DCPS students in grades K thru
12.

**SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

**18-13-08** **Early Reading First National Evaluation**

(71 FR 66506-66508)

November 15, 2006

[[[]{#Notice181305 .anchor}]{#Notice181308
.anchor}18-13-08](#Backto181308)

**SYSTEM NAME:**

Early Reading First National Evaluation.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW, room 502D, Washington, DC
20208-0001.

Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900,
Houston, TX 77098.

Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ
08540.

Center for Improving the Readiness of Children for Learning and
Education, University of Texas-Houston Health Sciences Center Medical
School, 7000 Fannin Street, Houston, TX 77030.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on Early Reading First children and their
parents and project staff from Early Reading First programs
participating in the national evaluation. In addition, the system
contains records for children, parents, and staff in some preschools not
receiving Early Reading First funds. The evaluation will obtain a sample
of sites from the universe of applicants that applied for Early Reading
First (ERF) grants that were awarded in 2003. The treatment group
consists of 28 grantees that received ERF funds. The comparison group
consists of 37 applicants that did not receive ERF funds and that
received average scores from peer reviewers in the interval below the
average score of the lowest-scoring funded application. A random sample
of three to five preschool classrooms was selected from each ERF grantee
in the treatment group and each unfunded applicant site in the
comparison group. In each site, up to 33 children were randomly selected
from those whose parents have given consent for them to participate in
the study. Parents of children in those classrooms were asked to sign a
consent form with contact information.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system consists of the names and addresses of children in the
evaluation and their parents as well as demographic information\--such
as race/ethnicity, age, educational background, and family income; names
of preschool staff in the evaluation; parent and preschool staff
responses to survey questions, children\'s results from early literacy
and language assessments and teacher reports of children\'s social and
emotional outcomes. Information collected will include the following:
Names; addresses; demographic information such as race/ethnicity, age,
educational background, and family income for children in the sample and
their parents; and preschool staff answers to interview questions.
Specific data collection activities will include direct in-person
assessments of children, telephone surveys of parents, self-administered
teacher surveys and teacher ratings of children, self-administered
preschool director surveys, informal grantee director in-depth
interviews, classroom observations, and extraction of records on
children.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

20 U.S.C. 6376, 9561(b) and 9563.

**PURPOSE(S):**

The information in this system is used for the following purposes:

(1) To fulfill the requirements under section 1226 of the Elementary and
    Secondary Education Act (ESEA), for an evaluation of the Early
    Reading First program; and

(2) \(2\) to provide information on effective practices in Early Reading
    First for the purpose of improving the program.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSE OF SUCH USES:**

The Department of Education (the Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement. Any disclosure of
individually identifiable information from a record in this system must
also comply with the requirements of section 183 of the Education
Sciences Reform Act (20 U.S.C. 9573) providing for confidentiality
standards that apply to all collections, reporting, and publication of
data by the Institute of Education Sciences.

Contract Disclosure. If the Department contracts with an entity for the
purposes of performing any function that requires disclosure of records
in this system to employees of the contractor, the Department may
disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM and the contractors maintain
data for this system on computers and in hard copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross-referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department site, and the sites of Department
contractors where this system of records is maintained, is controlled
and monitored by security personnel. The computer system employed by the
Department offers a high degree of resistance to tampering and
circumvention. This security system limits data access to Department and
contract staff on a \`\`need to know\'\' basis, and controls individual
users\' ability to access and alter records within the system.

The contractor, Decision Information Resources, Inc. (DIR), and its
subcontractors Mathematica Policy Research, Inc. (MPR) and the Center
for Improving the Readiness of Children for Learning and Education
(CIRCLE) at University of Texas-Houston Health Sciences Center have
established a set of procedures to ensure confidentiality of data. All
employees sign a pledge that emphasizes the importance of
confidentiality and describes their obligations. Access to sample
selection data is limited to those who have direct responsibility for
providing the sample and maintaining the sample-locating information. At
the conclusion of the research, these data are destroyed. Identifying
information is maintained on separate forms and files, which are linked
only by sample identification numbers. Access to the file that links
sample identification numbers with the respondents\' identification and
contact information is limited to a small number of individuals who have
a need to know this information. Access to the hardcopy documents is
strictly limited. Documents are stored in locked files and cabinets.
Discarded material is shredded. Computer data files are protected with
passwords, and access is limited to specific users. Especially sensitive
data are maintained on removable storage devices that are kept
physically secure when not in use. An Institutional Review Board (IRB)
has reviewed and approved the data collection protocol and the
procedures used to ensure confidentiality. The parent consent form
required for children\'s participation in the study states that
information collected about the child will be kept confidential. The
interviewers\' introductory comments given at the beginning of each
parent and grantee director interview includes all the information that
respondents need for deciding to give informed consent (verbal) for that
interview.

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules (ED/RDS). In particular, the
Department will follow the schedules outlined in Part 3 (Research
Projects and Management Study Records) and Part 14 (Electronic Records).

**SYSTEM MANAGER AND ADDRESS:**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW, room
502D, Washington, DC 20208-0001.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURE:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

Information is obtained from interviews with parents of Early Reading
First participants and with Early Reading First staff, and from direct
assessments of children attending Early Reading First preschools. In
addition, information will be obtained from interviews with parents of
children attending non-Early Reading First preschools and with non-Early
Reading First preschool staff, and from direct assessments of children
enrolled in non-Early Reading First preschools.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-09 Even Start Classroom Literacy Interventions and Outcomes
Study**

(FR 71 70745-70747)

December 6, 2006

[[]{#Notice181309 .anchor}18-13-09](#Backto181309)

**System Name:**

Even Start Classroom Literacy Interventions and Outcomes (CLIO) Study.

**Security Classification:**

None.

**System Location:**

Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208.
Westat, 1650 Research Boulevard, Rockville, MD 20850.

**Categories Of Individuals Covered By The System:**

This system contains records on adults and children in the William F.
Goodling Even Start Family Literacy Programs (Even Start) program who
participate in the CLIO study, on project staff from Even Start grantees
participating in the CLIO study, and on the kindergarten and

first grade teachers of CLIO children.

**Categories Of Records In The System:**

This system consists of: (1) The names and addresses of adults and
children in the Even Start program who participate in the CLIO study;
(2) demographic information such as race/ethnicity, age, and educational
background for adults and children participating in the

Even Start CLIO Study, for Even Start staff in programs participating in
the CLIO study, and for the kindergarten and first grade teachers of
CLIO children; (3) responses of adults participating in the Even Start
CLIO study and project staff and teachers to interview questions; and

\(4\) and the results of literacy assessments on adults and children
participating in the Even Start CLIO study.

**Authority For Maintenance Of The System:**

The evaluation being conducted is authorized under: (1) Sections 171(b)
and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563)); and (2) sections 1232(b)(1)(A) and 1239 of the ESEA,
as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C.
6381a(b)(1)(A) and 638lh).

**Purpose(s):**

The information in this system is used for the following purposes: (1)
To fulfill the requirements of the Even Start legislation for an
evaluation of Even Start programs; and (2) To provide information on the
effectiveness of specific family literacy interventions in those
programs for use in improving the Even Start program.

**Routine Uses Of Records Maintained In The System, Including Categories
Of Users And The Purpose Of Such Uses:**

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement. Any disclosure of
individually identifiable information from a record in this system must
also comply with the requirements of section 183 of the ESRA (20 U.S.C.
9573) providing for confidentiality standards that apply to all
collections, reporting and publication of data by the

Institute of Education Sciences.

Contract Disclosure. If the Department contracts with an entity for the
purposes of performing any function that requires disclosure of records
in this system to employees of the contractor, the Department may
disclose the records to those employees. Before entering into such a
contract, the Department must require the contractor to maintain Privacy
Act safeguards as required under 5 U.S.C. 552a(m) with respect to the
records in the system.

**Disclosure To Consumer Reporting Agencies**:

Not applicable to this system notice.

Policies And Practices For Storing, Retrieving, Accessing, Retaining,

And Disposing Of Records In The System:

**Storage:**

The Department maintains records on CD-ROM, and the contractor maintains
data for this system on computers and in hard copy.

**Retrievability:**

Records in this system are indexed by a number assigned to each
individual, which is cross-referenced by the individual\'s name on a
separate list.

**Safeguards:**

All physical access to the Department\'s site, and the site of the
Department\'s contractor where this system of records is maintained, is
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to

tampering and circumvention. This computer system limits data access to
Department and contract staff on a \`\`need to know\'\' basis, and
controls individual users\'\' ability to access and alter records within
the system. The contractor, Westat, has established a set of procedures
to

ensure confidentiality of data. The system ensures that information
identifying individuals is in files physically separated from other
research data. Westat will maintain security of the complete set of all
master data files and documentation. Access to individually identifiable
data will be strictly controlled. All data will be kept in locked file
cabinets during nonworking hours, and work on hardcopy data will take
place in a single room, except for data entry. Physical

security of electronic data will also be maintained. Security features
that protect project data include: password-protected accounts that
authorize users to use the Westat system but to access only specific
network directories and network software; user rights and directory and

file attributes that limit those who can use particular directories and
files and determine how they can use them; e-mail passwords that
authorize the user to access mail services; and additional security
features that the network administrator establishes for projects as
needed. The contractor employees who maintain (collect, maintain, use,
or disseminate) data in this system must comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C.
9573).

**Retention And Disposal:**

Records are maintained and disposed of in accordance with the Department
of Education\'s Records Disposition Schedules (ED/RDS). In particular,
the Department will follow the schedules outlined in Part 3 (Research
Projects and Management Study Records) and Part 14

(Electronic Records) of ED/RDS.

**System Manager And Address:**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
502D, Washington, DC 20208.

**Notification Procedure:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations at 34 CFR 5b.5, including proof of
identity.

**Record Access Procedure:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations at 34 CFR 5b.5, including proof of identity.

**Contesting Record Procedure:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations at 34 CFR 5b.7, including proof of
identity.

**Record Source Categories:**

Information is obtained from interviews with Even Start CLIO study
participants, staff, and kindergarten and first grade teachers of CLIO
children and direct assessments of Even Start CLIO study participants.
Even Start programs participating in CLIO also provide information to

the CLIO study on who is participating in the program at each data
collection point and their attendance in the program\'s services.

**Exemptions Claimed For The System:**

None.

**18-13-10** **Impact Evaluation of Teacher Preparation Models**

(70 FR 45378-45380)

August 5, 2005

[[]{#Notice181310 .anchor}18-13-10](#Backto181310)

**SYSTEM NAME:**

Impact Evaluation of Teacher Preparation Models.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC
20208-0001.

\(2\) Mathematica Policy Research, Inc. (MPR), 600 Alexander Park,
Princeton, NJ 08540.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on teachers who have taken traditional and
alternative routes to certification programs and who are participating
in the Impact Evaluation of Teacher Preparation Methods. The system
contains information about teachers from selected teacher

preparation programs and their students. The selected teacher
preparation programs are a sample of 10 programs with low entrance
requirements\--5 of which also have minimal course requirements and 5 of
which also have substantial course requirements. To identify the 10

programs, the contractor selected from 165 programs in 12 states with
low entrance selectivity requirements. The study sample consists of
teachers in districts and schools where there is both an alternatively
certified teacher and a traditionally certified teacher with similar
amounts of prior teaching experience who teach in the same grade. A pair
of new teachers in the same grade was formed at each of 80 schools
included in the study, with 1 teacher having taken the traditional route
and 1 the alternative route to certification. Participation of both
teachers and their students in the evaluation is voluntary.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system includes the teachers\' social security numbers; the
teachers\' demographic information\--such as race/ethnicity, age, and
educational background; information from two classroom observations
(e.g., lesson content; student and teacher activities during the

lesson; student engagement, nature of teacher/student interactions,
learning environment); and the results of the teachers\' standardized
test scores (e.g., existing SAT or ACT scores) as well as the teachers\'
students\' standardized test scores.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under sections 171(b) and
173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563) and section 9601 of the Elementary and Secondary
Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act
of 2001 (NCLB) (20 U.S.C. 7941). The authority for using ESEA funds

to support the underlying teacher preparation programs that are being
evaluated is Title II, Part A, subparts 1 and 2 of ESEA (20 U.S.C.
6611-6623).

**PURPOSE(S):**

The information in this system is used for the following purposes: (1)
To support evaluation and research of teacher quality; and (2) to
provide information on effective practices in teacher pre-service for
the purpose of improving teacher preparation programs.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSE OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under a
computer matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply

with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections,
reporting and publication of data by the Institute of Education Sciences
(IES).

\(1\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(2\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or

purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain

Privacy Act safeguards with respect to the disclosed records.

\(3\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the U.S. Department of Justice
and the Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA..

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**[STORAGE:]{.underline}**

The Department maintains records on CD-ROM, and the contractor maintains
data for this system on computers and in hard copy.

**[RETRIEVABILITY:]{.underline}**

Records in this system are indexed by a number assigned to each
Individual that is cross referenced by the individual\'s name on a
separate list.

**[SAFEGUARDS:]{.underline}**

All physical access to the Department\'s site, and the site of the
Department\'s contractor where this system of records is maintained, is
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to

tampering and circumvention. This computer system limits data access to
Department and contract staff on a \`\`need to know\'\' basis, and
controls individual users\'\' ability to access and alter records within
the system.

The contractor, Mathematica Policy Research, Inc. (MPR), has established
a set of procedures to ensure confidentiality of data. The system
ensures that information identifying individuals is in files physically
separated from other research data. MPR will maintain security of the
complete set of all master data files and documentation. Access to
individually identifiable data will be strictly controlled. All data
will be kept in locked file cabinets during nonworking hours, and work
on hardcopy data will take place in a single room, except for data
entry. Physical security of electronic data will also be maintained.
Security features that protect project

data include: Password-protected accounts that authorize users to use
the MPR system but to access only specific network directories and
network software; user rights and directory and file attributes that
limit those who can use particular directories and files and determine
how they can use them; e-mail passwords that authorize the user to
access mail services; and additional security features that the network
administrator establishes for projects as needed. The contractor
employees who maintain (collect, maintain, use or disseminate) data in
this system must comply with the requirements of the confidentiality
standards in section 183 of the ESRA (20 U.S.C. 9573).

**[RETENTION AND DISPOSAL:]{.underline}**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules (ED/RDS) in Part 3 (Research
Projects and Management Study Records) and Part 14 (Electronic Records).

**[SYSTEM MANAGER AND ADDRESS:]{.underline}**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room
502D, Washington, DC 20208-0001.

**[NOTIFICATION PROCEDURE:]{.underline}**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**[RECORD ACCESS PROCEDURE:]{.underline}**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.

**[CONTESTING RECORD PROCEDURE:]{.underline}**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.7, including proof of
identity.

**[RECORD SOURCE CATEGORIES:]{.underline}**

The system includes information that is taken from teachers directly,
such as the teachers\' social security numbers; the teachers\'
demographic information\--such as race/ethnicity, age, and educational
background. It also includes information obtained from two classroom
observations of the teachers from trained researchers; the results of
the teachers\' standardized test scores (e.g., existing SAT or ACT
scores), which are obtained from the College Board or ACT with the
teachers\' consent; and the standardized test scores of the teachers\'
students, which are obtained directly from the students in the
teachers\' classes.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-11 Evaluation of the Impact of Teacher Induction Programs**

(70 FR 35231-35233)

June 17, 2005

[[]{#Notice181311 .anchor}18-13-11](#Backto181311)

**System Name:**

Evaluation of the Impact of Teacher Induction Programs.

**Security Classification:**

None.

**System Location:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., Room 500, Washington, DC
20208-0001.

\(2\) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton,
NJ 08540.

**Categories of Individuals Covered by the System:**

This system contains records on teachers participating in the Evaluation
of the Impact of Teacher Induction Programs. The goal of this evaluation
is to evaluate the impact of a high intensity model of teacher induction
on novice elementary school teachers\' retention rates

and classroom performance. Twenty high-poverty school districts will
participate in the evaluation. Selected districts will be those that do
not already offer a high intensity induction program and that agree to
assign 20 elementary schools within the district by lottery to either

the high intensity model of teacher induction or the teacher induction
program that the district normally provides. Teachers\' participation in
the evaluation will be voluntary.

**Categories of Records in the System:**

This system consists of a baseline teacher survey (which will cover the
teacher\'s professional credentials, the teacher\'s perceptions of the
teaching profession, and the teacher\'s personal background
characteristics, many of which may affect retention), the teacher\'s

college SAT or ACT examination results, a classroom observation
protocol, a teacher induction activities survey (which will ask
questions about the kinds of induction activities in which the novice
teacher participated, as well as the intensity and duration of those
activities), a teacher retention survey (items will include the
teacher\'s place of employment, pursuit of continuing education, the
timing of any change in the teacher\'s employment, the teacher\'s job
satisfaction, and, if applicable, the reasons that the teacher left an
original school or the teaching profession), and aggregated student test
score data which will be linked to the teacher.

Information on study participants in this system will include, but not
be limited to the following data: Names; home addresses; home phone
numbers; cell phone numbers; e-mail addresses; social security numbers;
race/ethnicity; age; income; marital status; household composition;

home ownership; educational background and credentials; and ACT or SAT
college examination results.

**Authority for Maintenance of the System:**

The evaluation being conducted is authorized under: (1) sections 171(b)
and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563); and (2) section 9601 of the Elementary and Secondary
Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act
of 2001 (NCLB) (20 U.S.C. 7941). The authority for the underlying
teacher induction programs, the impact of which the Department of
Education (Department) is valuating, is sections 2121 through 2123 of
the ESEA, as amended by NCLB (20 U.S.C. 6621-6623).

**Purpose(s):**

The information in this system is used for the following purposes:

(1) To fulfill the requirements of the ESEA, as amended by the NCLB, for
    evaluation and research of teacher quality; and

(2) To provide information on the effectiveness of teacher induction
    programs in

increasing teacher retention and improving teacher performance.

**Routine Uses of Records Maintained in the System, Including
Categories**

**of Users and the Purpose of Such Uses:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under a
computer matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply

with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections,
reporting and publication of data by IES.

\(1\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(2\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or

purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain

Privacy Act safeguards with respect to the disclosed records.

(3) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
    The Department may disclose records to the U.S. Department of
    Justice and the Office of Management and Budget if the Department
    concludes that disclosure is desirable or necessary in determining
    whether particular records are required to be disclosed under the
    FOIA.

**Disclosure to Consumer Reporting Agencies:**

Not applicable to this system notice.

**Policies and Practices for Storing, Retrieving, Accessing,
Retaining,**

**and Disposing of Records in the System:**

**Storage:**

The Department maintains records on CD-ROM and the contractor maintains
data for this system on computers and in hard copy.

**Retrievability:**

Records in this system are indexed by a number assigned to each
individual that is cross referenced by the individual\'s name on a
separate list.

**Safeguards:**

All physical access to the Department\'s site and to the site of the
Department\'s contractor, where this system of records is maintained, is
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to

tampering and circumvention. This security system limits data access to
Department and contract staff on a \`\`need to know\'\' basis, and
controls individual users\' ability to access and alter records within
the system.

The contractor, Mathematica Policy Research, Inc. (MPR), has established
a set of procedures to ensure confidentiality of data. The system
ensures that information identifying individuals is in files physically
separated from other research data. MPR will maintain security of the
complete set of all master data files and documentation. Access to
individually identifiable data will be strictly controlled. All data
will be kept in locked file cabinets during nonworking hours, and work
on hardcopy data will take place in a single room, except for data
entry. Physical security of electronic data will also be maintained.
Security features that protect project

data include password-protected accounts that authorize users to use the
MPR system but to access only specific network directories and network
software; user rights and directory and file attributes that limit those
who can use particular directories and files and determine how they can
use them; e-mail passwords that authorize the user to access mail
services; and additional security features that the network
administrator establishes for projects as needed. MPR shall comply with
the requirements of the confidentiality standards in section 183 of the
ESRA (20 U.S.C. 9573).

**Retention and Disposal:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules (ED/RDS). In particular, the
Department will follow the schedules outlined in Part 3 (Research
Projects and Management Study Records) and Part 14 (Electronic Records)

of ED/RDS.

**System Manager and Address:**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room
500, Washington, DC 20208-0001.

**Notification Procedure:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**Record Access Procedure:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.

**Contesting Record Procedure:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.7, including proof of
identity.

**Record Source Categories:**

Information is obtained from surveys of teachers from schools
participating in the Evaluation of the Impact of Teacher Induction
Programs study. Information is also obtained from the teacher\'s college
entrance exams, pursuant to the teacher\'s written consent, the workshop
observation protocol, and the classroom observation protocol.
Additionally, the study involves the collection of data from student
records aggregated by classrooms and the collection of program
documents, such as training agenda and materials, curriculum guides, and
assessment tools, that will be supplied by two high-intensity induction
program providers.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-12** **Evaluation of the Impact of Supplemental Literacy
Interventions in**

**Freshman Academies (The Adolescent Literacy Project)**

(70 FR 36575-36577)

June 24, 2005

[[]{#Notice181312 .anchor}18-13-12](#Backto181312)

**SYSTEM NAME:**

Evaluation of the Impact of Supplemental Literacy Interventions in
Freshman Academies (The Adolescent Literacy Project).

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

(3) MDRC, 16 East 34th Street, New York, NY 10016.

(4) American Institutes for Research, 1000 Thomas Jefferson Street, NW.,
    Washington, DC 20007.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on adolescents, teachers, and project staff
participating in the literacy interventions in the Adolescent Literacy
Project. The goal of this study is to establish and evaluate the effects
of two supplemental literacy programs for students who enter ninth grade
with reading skills well below grade level. A distinctive aspect of this
project is that the schools mounting the literacy programs will be ones
that already operate Smaller Learning

Communities (SLCs) that address the transition freshman students are
making into high school, sometimes referred to as \`\`Freshman
Academies.\'\' Freshman Academies should provide a more supportive
environment within which the supplemental literacy interventions can be
implemented and sustained for this study.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system consists of information about two cohorts of approximately
3,200 high school freshmen each, one in the 2005-2006 school year and
the other in the 2006-2007 school year, in SLC in eight to twelve school
districts yet to be determined. Half of these students will be
participants in supplemental literacy program, and half will be in a
control group. The system will include these students\' names,
addresses, demographic information such as race/ethnicity, age, gender,
and educational background, their results on literacy assessments, some
of their school records data such as attendance, state test results,
course performance, and classes taken, and their attitude toward reading
and their reading and writing activities during the school year. The
system will also include responses to survey and interview questions
from teachers of these students, and possibly other school staff working
with the literacy classes. These surveys and interviews will request
information about the teachers\' backgrounds, professional experience,
and training, as well as their observations and impressions of the
supplemental literacy interventions.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under sections 171(b) and
173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563). The SLC program is authorized under Title V, Part D,
Subpart 4 of the Elementary and Secondary Education Act of 1965 (ESEA)
(20 U.S.C. 7249), as amended by the No Child Left Behind Act of 2001
(Pub. L. 107-110).

**PURPOSE(S):**

The information in this system is used for the following purpose: To
study promising organizational and instructional strategies that will be
used in the SLC program, as authorized by the ESEA, as amended. In
particular, this system is necessary to provide information for

analyses of the effectiveness of specific literacy interventions for
ninth graders that will be used in SLCs.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Act, under a
computer matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply with the
requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for
confidentiality standards that apply to all collections, reporting and
publication of data by IES.

\(1\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the U.S. Department of Justice
and the Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(2\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(3\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain

Privacy Act safeguards with respect to the disclosed records.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractor maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department\'s site and to the sites of the
Department\'s contractor and subcontractor, where this system of records
is maintained, is controlled and monitored by security personnel. The
computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to department and contract staff on a \`\`need to know\'\'
basis, and controls individual users\'\' ability to access and alter
records within the system. The contractor, MDRC, and its subcontractor,
AIR, have established similar sets of procedures at their sites to
ensure confidentiality of data. Their systems ensure that information
identifying individuals is in files physically separated from other
research data. They will maintain security of the complete set of all
master data files and documentation. Access to individually identifiable
data will be strictly controlled. At each

site all data will be kept in locked file cabinets during nonworking
hours, and work on hardcopy data will take place in a single room,
except for data entry. Physical security of electronic data will also be
maintained. Security features that protect project data include
password-protected accounts that authorize users to use the MDRC or AIR
system but to access only specific network directories and network
software; user rights and directory and file attributes that limit

those who can use particular directories and files and determine how
they can use them; e-mail passwords that authorize the user to access
mail services and additional security features that the network
administrators establish for projects as needed. The contractor and
subcontractor employees who \`\`maintain\'\' (collect, maintain, use, or
disseminate) data in this system shall comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C.
9573).

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules, Part 3, Items 2b and 5a.

**SYSTEM MANAGER AND ADDRESS:**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room
502D, Washington, DC 20208.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations at 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations at 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

This system consists of information about two cohorts of approximately
3,200 high school freshmen each in SLCs in eight to twelve school
districts yet to be determined. The system will include information
taken directly from the students. It will also include information from
the students\' education records, such as attendance, State test
results, course performance, and classes taken. The system will also
include responses to survey and interview questions from

teachers of these students, and possibly other school staff working with
the literacy classes.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-13** **Impact Evaluation of Academic Instruction For
After-School Programs**

(70 FR 35656-35659)

June 21, 2005

[[]{#Notice181313 .anchor}18-13-13](#Backto181313)

**SYSTEM NAME:**

Impact Evaluation of Academic Instruction For After-School

Programs.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

\(2\) MDRC, 16 East 34th Street, New York, NY 10016.

\(3\) Private/Public Ventures (P/PV), 2000 Market Street, Suite 600,
Philadelphia, PA 19103.

\(4\) Survey Research Management, 1495 Yarmouth Avenue, Suite A,
Boulder, Colorado 80304.

The impact evaluation is being conducted by MDRC in collaboration with
the Bloom Associates, P/PV, and Survey Research Management. Bloom
Associates will not maintain records from this system of records.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

The system will contain information about approximately 4,000 elementary
school students and their teachers (approximately 600 teachers\--12
teachers in each of the studied centers) in 40 to 50 after-school
centers in 20 to 25 school districts yet to be determined. One quarter
of these students will be participants using a mathematics curriculum,
one quarter will be participants using a reading curriculum, and half
will be in a control group. Participation in the

study is voluntary. The goal of this study is to establish and evaluate
the effects of two supplemental academic programs (a reading program
developed by Success For All and a mathematics program developed by
Harcourt Publishers) for students with reading and math skills below
grade level who participate in after-school programs. Study sites will
include, but not be limited to, after-school programs funded by the 21st
Century Community Learning Centers program.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system will include the students\' names, demographic information
such as race/ethnicity, age, gender, and educational background, their
results on standardized achievement tests, and some of their school
records data, such as attendance and academic history. The system will
also include responses to survey questions from the students and from
the teachers of these students. These surveys will request information
about the teachers\' backgrounds, professional experience, and training,
as well as information about the academic

interventions. The student surveys will request information about the
students\' participation in after-school activities and other
supplemental reading and mathematics activities.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under: (1) Sections 171(b)
and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563); and (2) section 4202(a)(2) of the Elementary and
Secondary Education Act of 1965 (ESEA), as amended by the No Child Left
Behind Act of 2001 (NCLB) (20 U.S.C. 7172(a)(2)).

**PURPOSE(S):**

The information in this system will be used for the following purpose:
to test innovative instructional strategies to be implemented in the
after-school programs selected for the study. In particular, this system
is necessary to provide information for analyses of the effectiveness of
specific reading and mathematics interventions on elementary school
students who participate in after-school programs.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record

was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act, under a computer matching agreement.

Any disclosure of individually identifiable information from a record in
this system must also comply with the requirements of section 183 of the
ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply
to all collections, reporting, and publication of data by IES.

\(1\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the U.S. Department of Justice
and the Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(2\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department requires the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

\(3\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or

purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher must maintain Privacy Act

safeguards with respect to the disclosed records.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractors maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross-referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department\'s site and to the sites of the
Department\'s contractor and subcontractors, where this system of
records is maintained, is controlled and monitored by security
personnel. The computer system employed by the Department offers a high
degree of resistance to tampering and circumvention. This computer
system permits data access to Department and contract staff only on a
\`\`need-to-know\'\' basis and controls individual users\'\' ability to
access and alter records within the system. The contractor, MDRC, and
its subcontractors, P/PV, and Survey Research Management, have
established similar sets of procedures at their sites to ensure
confidentiality of data. Their systems ensure that information

identifying individuals is in files physically separated from other
research data. They will maintain security of the complete set of all
master data files and documentation. Access to individually identifiable
data will be strictly controlled. At each site all data will be kept in
locked file cabinets during nonworking hours, and work on hard-copy data
will take place in a single room, except for data entry. Physical
security of electronic data will also be maintained.

Security features that protect project data include password-protected
accounts that authorize users to use the MDRC, P/PV, or Survey Research
Management system only to access specific network directories and
network software; user rights and directory and file attributes that

limit those who can use particular directories and files and determine
how they can use them; e-mail passwords that authorize the user to
access mail services; and additional security features that the network
administrators establish for projects as needed. The contractor and
subcontractor employees who maintain (collect, maintain, use, or
disseminate) data in this system must comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C.
9573).

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the Department
of Education\'s Records Disposition Schedules, Part 3, Items 2b and 5a.

**SYSTEM MANAGER AND ADDRESS:**

Associate Commissioner, Evaluation Division, National Center for
Education Evaluation and Regional Assistance, Institute of Education
Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room
502D, Washington, DC 20208.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations at 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations at 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations at 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

The system will include information obtained from the students,
including names, demographic information such as race/ethnicity, age,
gender, and educational background, and their results on standardized
achievement tests. The system will also include responses to survey
questions from the students and from the teachers of these students.
These surveys will request information about the teachers\' backgrounds,
professional experience, and training, as well as information about the
academic interventions. The student surveys will request information
about the students\' participation in after-school activities and other
supplemental reading and math activities. This system also consists of
information obtained from the student\'s school, such as data about the
student\'s attendance and academic history.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-14 Impact Evaluation of the U.S. Department of Education\'s
Student**

**Mentoring Program**

(71 FR 28021-28023)

May 15, 2006

[[]{#Notice181314 .anchor}18-13-14](#Backto181314)

**SYSTEM NAME:**

Impact Evaluation of the U.S. Department of Education\'s Student
Mentoring Program.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC
20208-0001.

\(2\) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on students who obtain mentoring services
through mentoring programs funded by the Department of Education and who
are participating in the Impact Evaluation of the U.S. Department of
Education\'s Student Mentoring Program. The purpose of the impact
evaluation is to determine the effectiveness of the Department\'s
student mentoring program using a rigorous research design. The study
sample consists of approximately 1,400 students at 30 of the mentoring
programs funded by the Department. Approximately half of these students
will be paired with a mentor and the other half of

the students will not be paired with a mentor. Data will also be
collected from these students\' mentors. Participation of students and
their mentors in the evaluation is voluntary.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system will include the students\' names, demographic information,
such as date of birth and race/ethnicity, as well as self-reported
attitudes about school, delinquent behaviors, personal responsibility,
and the quality of their relationships with peers and adults. The system
will also include information gathered from school records (e.g.,
grades, standardized test scores, and disciplinary actions taken by the
school). The system will include mentors\'

demographic information, their self-reported experiences with the
training and support provided by the mentoring program, and activities
in which mentors and students are engaged.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under sections 171(b) and
173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563) and Title IV, Part A, sections 4121(a)(2) and 4130 of
the Elementary and Secondary Education Act of 1965, as amended by the No
Child Left Behind Act of 2001 (ESEA) (20 U.S.C. 7131(a)(2) and 7140).

**PURPOSE(S):**

The information in this system will be used for the following purposes:
(1) to support an impact evaluation of the Department\'s student
mentoring program as requested by the Office of Management and Budget
(OMB); and (2) to provide information for improvement of the
Department\'s student mentoring program.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSE OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act,
under a computer matching agreement. Any disclosure of individually
identifiable information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections,
reporting and publication of data by the Institute of Education
Sciences.

\(1\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(2\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher must maintain
Privacy Act

safeguards with respect to the disclosed records.

(4) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
    The Department may disclose records to the U.S. Department of
    Justice and OMB if the Department concludes that disclosure is
    desirable or necessary in determining whether particular records are
    required to be disclosed under the FOIA.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor maintains
data for this system on computers and in hard copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each student
that is cross referenced by the student\'s name on a separate list.
After students are randomly assigned to the treatment (mentoring) group,
a list of those students will be sent to each mentoring program

participating in the study, asking for the name of the mentor for each
student, along with the contact information for each mentor. This
information is entered into a Microsoft Access data base for purposes of
tracking. In addition, on the survey form sent out to mentors in the

spring, mentors will be asked to update their contact information if
necessary.

**SAFEGUARDS:**

All physical access to the Department\'s site, and the site of the
Department\'s contractor where this system of records is maintained, is
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to

tampering and circumvention. This computer system permits data access to
Department and contract staff only on a \`\`need to know\'\' basis, and
controls individual users ability to access and alter records within the
system.

The contractor, Abt Associates, Inc. (Abt), has established a set of
procedures to ensure confidentiality of data. Abt\'s system ensures that
information identifying individuals is in files physically separated
from other research data. Abt will maintain security of the complete set
of all master data files and documentation. Access to individually
identifiable data will be strictly controlled. All data will be kept in
locked file cabinets during nonworking hours and work

on hardcopy data will take place in a single room except for data entry.
Physical security of electronic data will also be maintained. Security
features that protect project data include: password-protected accounts
that authorize users to use the Abt system but to access only

specific network directories and network software; user rights and
directory and file attributes that limit those who can use particular
directories and files and determine how they can use them; e-mail
passwords that authorize the user to access mail services; and
additional security features that the network administrator establishes
for projects as needed. The contractor employees who maintain (collect,
maintain, use, or disseminate) data in this system must comply with the
requirements of the confidentiality standards in section 183 of the ESRA
(20 U.S.C. 9573).

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules in Part 3 (Research Projects
and Management Study Records) and Part 14 (Electronic Records).

**SYSTEM MANAGER AND ADDRESS:**

Ricky Takai, Associate Commissioner, Evaluation Division, National
Center for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education, 555 New Jersey Avenue,
NW., room 502D, Washington, DC 20208-0001.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

The system will include the students\' names, demographic information,
such as date of birth and race/ethnicity, as well as self-reported
attitudes about school, delinquent behaviors, personal responsibility,
and the quality of their relationships with peers and adults. The system
will also include information gathered from school records (e.g.,
grades, standardized test scores, and disciplinary actions taken by the
school). The system will also include mentors\'

demographic information, their self-reported experiences with the
training and support provided by the mentoring program, and activities
in which mentors and students are engaged.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-15 Impact Evaluation of a School-based Violence Prevention
Program**

(71 FR 57930-57932)

October 2, 2006

[[]{#Notice181315 .anchor}18-13-15](#Backto181315)

**SYSTEM NAME:**

Impact Evaluation of a School-based Violence Prevention Program.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC
20208-0001.

\(2\) RTI International, 3040 Cornwallis Road, Research Triangle Park,
NC 12194.

\(3\) Tanglewood Research, Inc., 7017 Albert Pick Road, Suite D,
Greensboro, NC 27409.

\(4\) Pacific Institute for Research and Evaluation (PIRE), 1516
Franklin Street, Chapel Hill, NC 27514.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on students, school teachers, and other
school staff members who are participating in the Impact Evaluation of a
School-based Violence Prevention Program. The purpose of the impact
evaluation is to determine the effectiveness of a violence prevention
program for middle schools using a rigorous research design. Currently,
there is lack of rigorous research concerning school-based violence
prevention in middle schools. Through an open competition with
advisement from a panel of experts in the field of violence prevention,
the Department\'s contractor, RTI, selected two violence prevention
interventions and combined them into a single program for the purpose of
this evaluation. The program has the following two components: (1) A
curriculum-based model to facilitate students\' social competency,
problem solving, and self-control skills, and (2) a whole-school model
that targets school practices and policies usually through classroom
management or teaching strategies, or through systemic reorganization
and modification of school management, disciplinary policies, and
enforcement procedures. The RiPP intervention will provide the
curriculum-based component of the program

and the Best Behavior intervention will provide the whole-school
component of the program.

The study sample consists of approximately 20,000 students and
approximately 3,000 teachers and other school staff members drawn from
approximately 40 middle schools over 3 years. Participation of students,
teachers, and other school staff members in the evaluation is

voluntary.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system includes students\' names, demographic information (such as
date of birth and race/ethnicity), self-reported attitudes about
violence and feelings of safety, self-reported victimization, and
self-reported violent and delinquent behaviors. The system also will
include information from school records such as records of students\'
attendance, suspensions, expulsions, and school policy violations. The
system also will include teachers\' and other staff members\'
self-reported victimization at school as well as their experiences with
training and technical assistance related to their schools\' violence
prevention efforts.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under sections
4111(a)(2)(A) and 4122(a) of the Elementary and Secondary Education Act
of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA) (20
U.S.C. 7111(a)(2)(A) and 7132(a)), which limits the amount of funds

available for program evaluation to \$2,000,000 during each fiscal year.
Implementation of the violence prevention program being evaluated is
authorized under section 4121(a)(2) of the ESEA (20 U.S.C. 7131(a)(2)).
The evaluation is also authorized under sections 171(b) and 173 of the
Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and
9563).

**PURPOSE(S):**

The information in this system will be used for the following purposes:

(1) To support an impact evaluation of a violence prevention program for
    middle schools; and

(2) \(2\) to provide information for improvement of programs within the
    Department\'s Office of Safe and Drug-free Schools.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSE OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act,
under a computer matching agreement. Any disclosure of individually
identifiable information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections,
reporting and publication of data by the Institute of Education Sciences
(IES).

[Contract Disclosure]{.underline}. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractors maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each student,
each teacher or other school staff member that is cross-referenced by
the individual\'s name on a separate list. A list of names of the
students whose parents have consented to their participation in the
impact evaluation, as well as a list of names of participating teachers
and other school staff members will be entered into a Microsoft Access
database for purposes of tracking over the three years

of the study.

**SAFEGUARDS:**

All physical access to the Department\'s site, and the site of the
Department\'s contractor and subcontractors where this system of records
is maintained, is controlled and monitored by security personnel. The
computer system employed by the Department offers a high degree of

resistance to tampering and circumvention. This computer system permits
data access to Department and contract staff only on a \`\`need to
know\'\' basis, and controls individual users\' ability to access and
alter records within the system.

The Department\'s contractor, RTI, and its subcontractors, Tanglewood
and PIRE, have established a set of procedures to ensure confidentiality
of data. The systems of RTI, Tanglewood, and PIRE ensure that
information identifying individuals is in files physically

separated from other research data. RTI and its subcontractors will
maintain security of the complete set of all master data files and
documentation. Access to individually identifiable data will be strictly
controlled. All data will be kept in locked file cabinets during
nonworking hours and work on hardcopy data will take place in a single
room except for data entry. Physical security of electronic data also
will be maintained. Security features that protect project data

include: Password-protected accounts that authorize users to use the
system of records but to access only specific network directories and
network software; user rights and directory and file attributes that
limit those who can use particular directories and files and determine
how they can use them; e-mail passwords that authorize the user to
access mail services; and additional security features that the network
administrator establishes for projects as needed. The contractor and
subcontractor employees who maintain (collect, maintain, use, or
disseminate) data in this system must comply with the requirements of
the confidentiality standards in section 183 of the ESRA (20 U.S.C.
9573).

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department's Records disposition Schedules in Part 3 (Research Projects
and Management Study Records) and Part 14 (Electronic Records).

**SYSTEM MANAGER AND ADDRESS:**

Ricky Takai, Associate Commissioner, Evaluation Division, National
Center for Education Evaluation and Regional Assistance, Institute of
Education Sciences, U.S. Department of Education, 555 New Jersey Avenue,
NW., Room 502D, Washington, DC 20208-0001.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations in 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of regulations in 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

The system includes students' names, demographic information (such as
date of birth and race/ethnicity), self-reported attitudes about
violence and feelings of safety, self-reported victimization, and
self-reported violent and delinquent behaviors. The system also will
include

information from school records such as records of students' attendance,
suspensions, expulsions, and school policy violations. The system also
will include teachers' and other school staff members' self-reported
victimization at school as well as their experiences with training and
technical assistance related to the violence prevention program.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-16 Impact Evaluation of Mandatory-Random Student Drug Testing**

(72 FR 15129-15131)

March 30, 2007

[[]{#Notice181316 .anchor}18-13-16](#Backto181316)

**SYSTEM NAME:**

Impact Evaluation of Mandatory-Random Student Drug Testing.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences, U.S. Department of
Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208.

\(2\) RMC Research Corporation, 111 SW Columbia Street, Suite 1200,
Portland, OR 97201.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on high school students attending a high
school in school districts that receive grants for School-Based Student
Drug-Testing Programs. The goal of this study is to determine if
students in high schools with mandatory-random drug testing policies

report less use of tobacco, alcohol, and illicit substances compared to
comparable students in high schools without mandatory-random student
drug testing policies.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system will contain information about two cohorts of approximately
200 high school students each of (i) 26 high schools operating the
mandatory-random drug testing program, and (ii) 26 high schools that
will not operate the program but that will serve as control high schools
for this evaluation. The total number of high school students included
in this system of records will be approximately 10,400 for each of
school years 2006-07 and 2007-08. The 52 participating high schools will
be from school districts that are recipients of the grants for
School-Based Student Drug-Testing Programs that were announced in
September, 2006 by OSDFS. The system of records will include information
about the high school students participating in the evaluation,
including the students\' names; addresses; demographic information such
as race/ethnicity, gender, age, educational background; and attitudes
and beliefs concerning substance use, and substance use itself.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

The evaluation being conducted is authorized under sections 171(b) and
173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C.
9561(b) and 9563). The grants for School-Based Student Drug-Testing
Programs are authorized under section 4121 of the Elementary and
Secondary Education Act of 1965, as amended (20 U.S.C. 7131).

**PURPOSE(S):**

The information in this system is used for the following purposes: To
study the impact of mandatory-random drug testing policies in high
schools and to determine if mandatory-random drug testing policies
result in less reported use of tobacco, alcohol, and illicit substances
among a group of students in participating high schools compared to a
comparable group of students in high schools that do not operate a
mandatory-random drug testing program.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act,
under a computer matching agreement. Any disclosure of individually
identifiable information from a record in this system must also comply
with the requirements of section 183 of the ESRA (20 U.S.C. 9573)
providing for confidentiality standards that apply to all collections,
reporting, and publication of data by IES.

Contract Disclosure. If the Department contracts with an entity for the
purposes of performing any function that requires disclosure of records
in this system to employees of the contractor, the Department may
disclose the records to those employees. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,
RETAINING,**

**AND DISPOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractor maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department\'s site and to the sites of the
Department\'s contractor and subcontractor, where this system of records
is maintained, is controlled and monitored by security personnel. The
computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to department and contract staff on a \`\`need to know\'\'
basis, and controls individual users\' ability to access and alter
records within the system. The contractor and subcontractor will
establish similar sets of procedures at their sites to ensure
confidentiality of data. Their systems are required to ensure that
information identifying individuals is in files physically separated
from other research data. The contractor and subcontractor will maintain
security of the complete set of all master data files and documentation.
Access to individually identifiable data will be strictly controlled. At
each site all data will be kept in locked file cabinets during
nonworking hours, and work on hardcopy data will take place in a single
room, except for data entry. Physical security of electronic data will
also be maintained. Security features that protect project data include:
password-protected accounts that authorize users to use the
contractor\'s and subcontractor\'s systems but to access only specific
network directories and network software; user rights and directory and
file attributes that limit those who can use particular directories and
files and determine how they can use them; e-mail passwords that
authorize the user to access mail services; and additional security
features that the network administrators will establish for projects as
needed. The contractor and subcontractor employees who \`\`maintain\'\'
(collect, maintain, use, or disseminate) data in this system shall
comply with the requirements of the confidentiality standards in section
183 of the ESRA (20 U.S.C. 9573).

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records disposition Schedules (Section Ed/RDS, Part 3,
Item 2b and Part 3, Item 5a).

**SYSTEM MANAGER AND ADDRESS:**

Director, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S.
Department of Education, 555 New Jersey Avenue, NW., room 502D,
Washington, DC 20208.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations at 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURE:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations at 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURE:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

The system will contain information about two cohorts of approximately
200 high school students each of (i) 26 high schools operating the
mandatory-random drug testing program and (ii) 26 high schools that will
not operate the program but that will serve as control high schools for
this evaluation. The total number of high school students included in
this system of records will be approximately 10,400 in each of school
years 2006-07 and 2007-08. The 52 participating high schools will be
from school districts that are recipients of the grants for School-Based
Student Drug-Testing Programs that were announced in 2006 by OSDFS.

The system of records will include information about the high school
students participating in the evaluation including the students\' names;
addresses; demographic information such as race/ethnicity, gender, age,
and educational background; and attitudes and beliefs concerning
substance use, and substance use itself.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

**18-13-17 Impact Evaluation of Upward Bound\'s Increased Focus on**

**Higher-Risk Students**

(FR 72 33213-33215)

June 15, 2007

[[]{#Notice181317 .anchor}18-13-17](#Backto181317)

**SYSTEM NAME:**

Impact Evaluation of Upward Bound\'s Increased Focus on Higher-Risk

Students.

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION:**

\(1\) Evaluation Division, National Center for Education Evaluation and
Regional Assistance, Institute of Education Sciences (IES), U.S.
Department of Education, 555 New Jersey Avenue, NW., room 500J,
Washington, DC 20208-0002.

\(2\) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138-1168,
and 4550 Montgomery Avenue, Suite 800 North, Bethesda, MD 20814-3343.

\(3\) The Urban Institute, 2100 M Street, NW., Washington, DC
20037-1264.

\(4\) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland,
CA 94610-5012.

Categories Of Individuals Covered By The System:

The system will contain information about approximately 3,600 students
applying for admission at approximately 90 Upward Bound grantees for the
2007-2008 academic year, of which approximately 1,800 will have been
offered admission to Upward Bound and 1,800 will serve as a control
group for the purposes of this evaluation. These students will be in
either 9th or 10th grade during the 2007-2008 academic year. The Upward
Bound grantees included in the evaluation will be a sample of all Upward
Bound grantees.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system of records will include information about sampled students,
including their names, addresses, demographic information such as
race/ethnicity, gender, age, and educational background, attitudes
toward school, and educational aspirations.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

This evaluation is authorized under: (1) Section 402H of the Higher
Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-18; and (2)
sections 171(b) and 173 of the Education Sciences Reform Act of 2002
(ESRA), 20 U.S.C. 9561(b) and 9563. Section 402H of the HEA explicitly
authorizes the Secretary of Education to enter into contracts with
organizations to evaluate the effectiveness of Upward Bound and other
Federal TRIO programs.

**PURPOSE(S):**

The information in this system is used for the following purpose: To
study, as authorized by section 402H of the Higher Education Act of
1965, as amended (HEA), 20 U.S.C. 1070a-18, the impacts of Upward Bound
on eligible students\' preparation for, and success in, postsecondary

education. In particular, this system is necessary to provide
information for analyses of the impacts of the Upward Bound programs on
higher-risk students as well as on other eligible students. The system
is also needed for analyses of variations in impacts on students

according to the characteristics of Upward Bound projects and control
group students\' access to, and receipt of, services similar to those
offered through Upward Bound.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine use
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Privacy Act of 1974, as amended (Privacy Act), under a computer
matching agreement. Any disclosure of individually identifiable
information from a record in this system must also comply with the
requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for
confidentiality standards that apply to all collections,

reporting and publication of data by IES.

Contract Disclosure. If the Department contracts with an entity for the
purposes of performing any function that requires disclosure of records
in this system to employees of the contractor, the Department may
disclose the records to those employees. Before entering into such

a contract, the Department shall require the contractor to maintain
Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect
to the records in the system.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractors maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department\'s site, to the sites of the
Department\'s contractor, and to the sites of the subcontractors where
this system of records is maintained, will be controlled and monitored
by security personnel. The computer system employed by the Department

offers a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on a
\`\`need to know\'\' basis, and controls individual users\' ability to
access and alter records within the system.

The contractor selected for this evaluation has been required to
establish similar sets of procedures at its sites and at subcontractor
sites to ensure confidentiality of data. Their systems will be required
to provide reasonable assurance that information identifying individuals
is in files physically separated from other research data. The
contractor and subcontractors are required to maintain security of the
complete set of all master data files and documentation. Access to

individually identifiable data will be strictly controlled. At each site
all data will be kept in locked file cabinets during nonworking hours,
and work on hardcopy data will take place in a single room, except for
data entry. Physical security of electronic data will also be
maintained. Security features that protect project data include
password-protected accounts that authorize users to use the
contractor\'s and subcontractors\' information systems but only to
access specific network directories and network software; user rights
and directory and file attributes that limit those who can use
particular directories and files and determine how they can use them;
and, additional security features that the network administrators
establish for projects as needed. The contractor and subcontractor
employees who \`\`maintain\'\' (collect, maintain, use, or disseminate)
data in this system shall comply with the requirements of the
confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

In safeguarding personally identifiable information (PII), the
contractor and its subcontractors also are subject to the Department\'s
requirements contained in the Department of Education\'s Handbook for
the Protection of Sensitive But Unclassified Information, OCIO-15, and
the Department\'s policy that the transmission of sensitive but
unclassified information, including PII, through an e-mail requires that
the contents be password protected in a ZIP file.

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules (ED/RDS, Part 3, Item 2b and
Part 3, Item 5a).

**SYSTEM MANAGER AND ADDRESS:**

Director, Evaluation Division, National Center for Education Evaluation
and Regional Assistance, Institute of Education Sciences, U.S.
Department of Education, 555 New Jersey Avenue, NW., room 502D,
Washington, DC 20208-0002.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the systems manager. Your request must meet
the requirements of regulations at 34 CFR 5b.5, including proof of
identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
regulations at 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7, including proof of
identity.

RECORD SOURCE CATEGORIES:

This system will consist of records obtained on eligible students
applying to Upward Bound projects at approximately 90 host institutions.
The records will consist of parental consent and student consent forms,
responses from a baseline survey of students, and information provided
by Upward Bound projects on each student. At a later point in time,
school records (from school, district, or state databases) and College
Board and ACT records will be merged onto the

system of records, as will responses from a survey of Upward Bound
project coordinators and a follow-up survey of the students. Records in
this system of records will be matched with other data solely for
research purposes, to study the impacts of Upward Bound on students\'
preparation for college. The specific matched data will NOT be used to
make decisions concerning the rights, benefits, or privileges of the
students who participate in this study. After students turn 18 and give
their own consent to participate in the study, additional data merges

from Federal Student Aid files, National Student Clearing House data,
school records, College Board and ACT records, and additional follow-up
surveys of students may occur, again solely for research purposes, to
study the impacts of Upward Bound on students\' postsecondary outcomes.
The individual identifiers that would be used to merge the different
sources of data would be removed from the data files before the files
are used for data analysis.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

18-14-01 Educationally Disadvantaged Students Attending Private Schools
Served Through Bypass Contracts

(64 FR 30186-30188)

[[]{#Notice181401 .anchor}18-14-01](#Backto181401) June 4, 1999

## SYSTEM NAME: 

Educationally Disadvantaged Students Attending Private Schools Served
Through Bypass Contracts.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Contractor serving the State of Virginia: Nonpublic Educational
Services, Inc., 14416 Jefferson Davis Highway, Suite 11, Woodbridge, VA
22191.

Contractor serving the State of Missouri: Blue Hills Homes Corporation,
1020 East 63rd Street, Kansas City, MO 64110.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on selected elementary and secondary school
students whom:

\(1\) Attend private schools;

\(2\) Reside in target areas of bypassed local educational agencies; and

\(3\) Participate in the program for students who are failing or most at
risk of failing under Title I of the Elementary and Secondary Education
Act of 1965 as amended.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system contains student documents such as test scores, report
cards, individual instructional records and reports from teachers to
other teachers and parents.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C. 6321.

## PURPOSE(S):

The information contained in this system is used for a variety of
purposes. The standardized test scores obtained at the beginning of a
year are used to determine the eligibility of students for participation
in the Title I program. The report cards and reports of Title I teachers
to regular classroom teachers and to parents are used to report the
progress students are making during the school year. The scores on the
achievement tests given at the end of a school year are used to measure
the progress students have made during the year and the degree to which
the objectives of the Title I progress have been met. The purpose of the
individual instructional record is to provide a plan for meeting the
students\' instructional needs.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record on this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Educational Disclosures]{.underline}. Title I teachers make
information contained in this system of records available to regular
classroom teachers and to the parents of those students to explain the
eligibility of students and their progress in the Title I program.
Supervisors of the Title I teachers also use the information contained
in this system of records as a part of the monitoring process to measure
progress being made toward achieving program objectives.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(5\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(6\) [Employment, Benefit, and Contracting Disclosure]{.underline}.

\(a\) [For Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a Department decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant, or other benefit.

\(b\) [For Decisions by Other Public Agencies and Professional
Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
entity\'s decision on the matter.

\(7\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(8\) [Employee Grievance, Complaint or Conduct Disclosure]{.underline}.
The Department may disclose a record in this system of records to
another agency of the Federal Government if the record is relevant to
one of the following proceedings regarding a present or former employee
of the Department: complaint, grievance, discipline or competence
determination proceedings. The disclosure may only be made during the
course of the proceeding.

\(9\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(10\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Each student\'s records are kept in a separate file folder. All folders
are filed in a locked filing cabinet in the Title I classroom. After a
student no longer participates in the program, his or her records are
transferred to the contractor\'s office or storage facility where they
are stored in locked filing cabinets.

### RETRIEVABILITY:

The records are indexed by student names, school attended and year of
attendance at that school.

### SAFEGUARDS:

The records are secured in a locked filing cabinet. The key is kept by
the Title I teacher. After a student no longer participates in the
program, the records are transferred to the contractor\'s office or
storage facility where they are stored in a locked filing cabinet.
Direct access is restricted to the Title I teacher and aide during the
day-to-day program operation. The instructional supervisor,
representatives of the contractor, and Department of Education staff
have access during monitoring visits.

### RETENTION AND DISPOSAL:

Records are maintained in the contractor\'s office or storage facility
for at least three years after final payment on the contract. Disposal
of records are in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).

### SYSTEM MANAGER(S) AND ADDRESS:

Director, Compensatory Education Programs, U.S. Department of Education,
400 Maryland Avenue, SW., Room 3W230, Washington, DC 20202.

### NOTIFICATION PROCEDURE:

If a student or his or her parent or guardian wishes to determine
whether a record exists regarding them in this system of records, he or
she must notify the appropriate contractor for the State served by the
bypass contract. The name and address of the appropriate contractor is
listed under the system location of this notice. For identification, the
authorized individual seeking information should provide the name, home
address, and school of the student for whom information is being
requested. The request must meet the requirements in the regulations at
34 CFR 5b.5.

### RECORD ACCESS PROCEDURES:

In order to gain access to a record in this system, you should contact
the contractor listed in the system location or the system manager. You
should provide the contractor with the information listed in the
Notification Procedure of this notice and reasonably specify the record
contents being sought. The request must meet the requirements of the
regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of the record of a participating
Title I student, you should contact the contractor for the State served
by the bypass contract. You should identify yourself and state, in
writing, which portion of the record you desire to be changed and
provide a justification and authorization for the change. The contractor
will forward the request to the system manager. The request must meet
the requirements of the regulations at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

The information in this system comes from test scores on achievement
tests for program eligibility administered at private schools and class
performance information from the regular class teachers.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-14-02 Fellowships for Indian Students\--Applications and Awards 

(64 FR 30188-30189)

[[]{#Notice181402 .anchor}18-14-02](#Backto181402) June 4, 1999

## SYSTEM NAME: 

Fellowships for Indian Students\--Applications and Awards.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Office of Indian Education, Office of Elementary and Secondary
Education, 1250 Maryland Avenue, SW., Room 4300, Portal Building,
Washington, DC 20202-6335.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

American Indians who are citizens of the United States or residents of
the United States for other than a temporary purpose, who have been
accepted by institutions of higher education in a program leading to an
undergraduate or graduate degree in the fields of Business
Administration, Engineering and Natural Resources or related fields, and
graduate degree in the fields of education, law and medicine or related
fields, and who have applied to Department\'s Office of Indian Education
for a fellowship.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, phone number, date and place of birth, tribal
affiliation, tribal roll number, social security number, sex, marital
status, citizenship, names of dependents, educational background,
employment background, educational transcripts, references, income
information, admission test scores.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Indian Education Act of 1972, as amended, Pub. L. 92-318, Part B,
section 423.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purpose for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Advisory Council Disclosure]{.underline}. Information may be
released to members of the National Advisory Council on Indian
Education.

\(2\) [Field Readers Disclosure]{.underline}. Field Readers for the
purpose of determining eligibility and recommending awardees; selected
data for developing brochures describing the Fellows and their career
goals for public information purposes.

\(3\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c) or (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, any component of the Department; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee; or

\(iv\) Any Department employee in his or her official capacity where the
agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hard copy, filed in locked standard file
cabinets.

### RETRIEVABILITY:

Records are accessed by individual names only by authorized Department
staff and Field Readers for the purposes of determining eligibility;
selecting Fellows: Establishing allowances for stipends, dependents,
tuition, and other expenses; determining continued eligibility; and
developing profile information regarding recipients of fellowships for
program evaluation, planning, reporting and publicity purposes.

### RETENTION AND DISPOSAL:

Records on fellowship holders are maintained and disposed of in
accordance with the Department of Education Records Disposition
Schedules (ED/RDS).

### SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Indian Education, Office of Elementary and Secondary
Education, ATTN: Education Program Specialist for Fellowships, U.S.
Department of Education, 400 Maryland Avenue SW., Room 4300, Washington,
DC 20202-6335.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, provide the system manager with your name, the year
of the award, the name of the grantee institution, and type of award.
Your request must meet the requirements of the regulations at 34 CFR
5b.5, including proof of identity.

### RECORD ACCESS PROCEDURES:

To gain access to records regarding you in this system of records,
follow the Notification Procedure described above. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including proof
of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest the content of a record regarding you in this
system of records, contact the system manager at the address listed
above and reasonably identify the record and specify the information to
be contested. Your request must meet the requirements of the regulations
at 34 CFR 5b.7.

### RECORD SOURCE CATEGORIES: 

Information is obtained from the individual applicant and from
references submitted by the applicant on approved forms.

### SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

None.

# 18-14-03 Native Hawaiian Education Council Membership

(67 FR 39202-39204)

[[]{#Notice181403 .anchor}18-14-03](#Backto181403) June 6, 2002

## SYSTEM NAME:

Native Hawaiian Education Council Membership.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

School Improvement Programs, Office of Elementary and Secondary
Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room
3C126, Washington, DC 20202-6140.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who have been or are presently members of or are being
considered for membership on the Native Hawaiian Education Council.

## CATEGORIES OF RECORDS IN THE SYSTEM:

Records in this system consist of one or more of the following: Name,
title, sex, place and date of birth, home address, business address,
organizational affiliation, phone numbers, fax numbers, e-mail
addresses, degrees held, general educational background, ethnic
background, resume, curriculum vitae, previous or current membership on
the Native Hawaiian Education Council, source who recommended the
individual for membership on the advisory council, and miscellaneous
correspondence.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 7204 of the Elementary and Secondary Education Act of 1965
(ESEA), as amended by the No Child Left Behind Act of 2001 (Pub. L.
107-110).

## PURPOSE(S):

To establish a Native Hawaiian Education Council to help coordinate the
educational and related services available to Native Hawaiians,
including programs receiving funding under the Native Hawaiian Education
Act.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity if the
agency has agreed to represent the employee; or

\(v\) The United States if the Department determines that the litigation
is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, Counsels, Representatives, and Witnesses]{.underline}.
If the Department determines that disclosure of certain records to a
party, counsel, representative, or witness in an administrative
proceeding is relevant and necessary to the litigation, the Department
may disclose those records as a routine use to the party, counsel,
representative, or witness.

\(2\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(3\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research that is
compatible with the purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research that is compatible with
the purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(4\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a Member of Congress from the record of an
individual in response to an inquiry from the Member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(5\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
In the event that the Department deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice or the Office of Management and Budget for the
purpose of obtaining their advice.

\(6\) [Disclosure to the Department of Justice]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Records are maintained in hard copy filed in file cabinets and on
personal computers.

### RETRIEVABILITY:

Records are retrieved by the name of the individual.

### SAFEGUARDS:

Direct access to records is restricted to authorized personnel through
locked files, rooms, and buildings, as well as building pass and
security guard sign-in systems. Furthermore, the designated
individuals\' access to personal computers, the network, and the system
of records will require personal identifiers and unique passwords, which
will be periodically changed to prevent unauthorized access.

### RETENTION AND DISPOSAL:

Records are disposed of in accordance with the Department\'s Records
Disposition Schedules (ED/RDS), Part 5 and the National Archives and
Records Administration\'s General Records Schedules (GRS) 16, item 8.

### SYSTEM MANAGER(S) AND ADDRESS:

Native Hawaiian Program Manager, School Improvement Programs, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 3E126,
Washington, DC 20202-6140.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations in 34 CFR
5b.7, including proof of identity. You may present your request in
person at any of the locations identified for this system of records or
address your request to the system manager at the following address:
School Improvement Programs, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 3E126, Washington, DC 20202-6140.

### RECORD ACCESS PROCEDURES:

Same as notification procedures. Requestors should also reasonably
specify the record contents being sought. These access procedures are in
accordance with Department regulations (34 CFR 5b.5(a)(2)).

### CONTESTING RECORD PROCEDURES:

Contact the official at the address specified under notification
procedures, reasonably identify the record, and specify the information
to be contested. Your request must meet the regulatory requirements of
34 CFR 5b.7, including proof of identity.

### RECORD SOURCE CATEGORIES:

Information in this system of records will be obtained from the
individuals, references, recommendations, private organizations, Members
of Congress, and other government sources.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-15-01 Bilingual Education Graduate Fellowship Program 

(64 FR 30189-30191)

[[]{#Notice181501 .anchor}18-15-01](#Backto181501) June 4, 1999

## SYSTEM NAME: 

Bilingual Education Graduate Fellowship Program.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

U.S. Department of Education, Office of Bilingual Education and Minority
Languages Affairs, 330 C Street, SW., Room 5618, Washington, DC
20202-6642.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records about individuals who apply for acceptance
in the program, and if approved, who participate in the fellowship
program.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of a variety of records relating to a student\'s
application for, and participation in, the fellowship program. In
addition to the student\'s name, the system contains the student\'s
address, telephone number, social security number, name of the
institution attended, amount of award, obligation status, degree sought,
field of study, and the name and address of the employer.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title VII, Part A of the Bilingual Education Act of 1994, as amended
(Pub. L. 103-382) (20 U.S.C. 7475 (1994)). The program regulations are
found in 34 CFR part 535.

## PURPOSE(S):

The information contained in this system is used for the purposes of
administering the Bilingual Education Graduate Fellowship Program,
including enforcing the terms and conditions of the contracts signed by
the fellows, permitting the collections on loans, and locating
delinquent or defaulted debtors.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual,
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Act, under a computer matching agreement.

\(1\) [Disclosure for Use by Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, local, or foreign agency or other public authority
responsible for enforcing, investigating, or prosecuting violations of
administrative, civil, or criminal law or regulation if that information
is relevant to any enforcement, regulatory, investigative, or
prosecutive responsibility within the receiving entity\'s jurisdiction.

\(2\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
executive order, rule, regulation, or order issued pursuant thereto.

\(3\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the parties
listed below is involved in litigation or ADR, or has an interest in
litigation ADR, ED may disclose certain records to the parties described
in paragraphs (b), (c) and (d) of this routine use under the conditions
specified in those paragraphs:

\(i\) The Department of Education, or any component of the Department;
or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;

\(iv\) Any Department employee in his or her individual capacity where
the agency has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Administrative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the administrative
litigation, the Department may disclose those records as a routine use
to the adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Department may disclose
those records as a routine use to the party, counsel, representative or
witness.

\(4\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice and the
Office of Management and Budget if the Department concludes that
disclosure is desirable or necessary in determining whether particular
records are required to be disclosed under the FOIA.

\(5\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(6\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(7\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(8\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The member\'s right to the information is no
greater than the right of the individual who requested it.

\(9\) [Disclosure to the Office of Management and Budget (OMB) for
Credit Reform Act (CRA) Support]{.underline}. The Department may
disclose records to OMB as necessary to fulfill CRA requirements.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

[Disclosures pursuant to 5 U.S.C. 552a(b)(12)]{.underline}: The
Department may disclose to a consumer reporting agency information
regarding a claim by the Department which is determined to be valid and
overdue as follows: (1) The name, address, taxpayer identification
number and other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and (3) the program under which the claim arose.
The Department may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31
U.S.C. 3711(e). A consumer reporting agency to which these disclosures
may be made is defined at 31 U.S.C. 3701(a)(3).

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

The records are maintained in hard copy and on an access-controlled
personal computer.

### RETRIEVABILITY: 

The file is indexed by Social Security number or name. Data for awards
made under the Bilingual Education Graduate Fellowship Program are
retrieved by social security number or name.

### SAFEGUARDS:

All physical access to the Department\'s site where this system of
records is maintained is controlled and monitored by security personnel
who check each individual entering the building for his or her employee
or visitor badge. The computer system employed by the Department offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on a
\"need-to-know\" basis, and controls individual users\' ability to
access and alter records within the system. All users of this system of
records are given a unique user ID with personal identifiers. All
interactions by individual users with the system are recorded.

### RETENTION AND DISPOSAL:

Records of individual awards are destroyed five years after
cancellation, forgiveness, final payment to grantee, or audit, of the
loan, whichever is sooner. Records relating to those individuals who are
not approved to participate in the fellowship program are transferred to
the Federal Records Center and destroyed three years after the date of
rejection or withdrawal.

### SYSTEM MANAGER(S) AND ADDRESS:

Education Program Specialist, Bilingual Education Graduate Fellowship
Program, Office of Bilingual Education and Minority Languages Affairs,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 5618,
Switzer Building, Washington, DC 20202-6642.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in this
system of records, provide the system manager with your name, date of
birth, social security number, and the name of the school through which
the award was obtained. You may present your request in person at the
system manager\'s address indicated above. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.

### RECORD ACCESS PROCEDURES:

If you wish to gain access to a record regarding you in this system of
records, you should contact the system manager and provide the
information as described in the Notification Procedure. In order to
avoid excessive delays and exchanges of correspondence, you are
encouraged to request both notification and access at the same time.
Requests for access to a record should reasonably specify the particular
record content being sought. Your request must meet the requirements of
the regulations at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to contest information contained in a record in this system
of records, you should contact the system manager. Requests for
amendment of records may be made either in writing or in person, and
should specify: (1) The system of records from which the record is to be
retrieved; (2) the particular record requested for amendment; (3)
whether a deletion, an addition, or a substitution is being sought; and
(4) the reason(s) for the requested change(s). You should include in
your requests any appropriate documentation supporting the requested
change(s). Your request must meet the requirements of the regulations at
34 CFR 5b.7.

### RECORD SOURCE CATEGORIES:

Information is obtained from fellowship recipients, institutions of
higher education, and employers.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

# 18-16-01 OSEP Customer Tracking Service System

(68 FR 47555-47557)

[[]{#Notice181601 .anchor}18-16-01](#Backto181601) August 11, 2003

**SYSTEM NAME:**

OSEP Customer Service Tracking System.

## SECURITY CLASSIFICATION: 

None.

## SYSTEM LOCATION: 

Monitoring and State Improvement Planning Division, Office of Special
Education Programs (OSEP), Office of Special Education and
Rehabilitative Services (OSERS), Mary E. Switzer Building, 330 C Street,
SW., Room 3630, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system covers parents, advocates, State personnel and other third
parties who contact OSEP with inquiries or complaints related to special
education. OSEP staff, especially the Customer Service Specialists
(CSS), receive letters, e-mails, facsimiles and telephone calls from
State personnel and parents about disability issues related to children
with disabilities.

These complaints and inquiries are tracked by an electronic system that
maintains customer demographic data, as well as information on the
content of the complaints and inquiries. The system also allows OSEP to
maintain a detailed history of the interactions between callers and/or
writers and the CSS.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of records relating to inquiries or complaints made
to OSEP staff, including but not limited to: the writer\'s and/or
caller\'s name; the name, age and type of disability of the child about
whom the writer/caller is inquiring about; the writer\'s or caller\'s
address, including an e-mail address; the school district involved in
the inquiry or complaint; the writer\'s or caller\'s phone number; the
issue that the writer and/or caller is raising; a recommendation from
the CSS for further action; and comments from the CSS.

This notice does not cover records, including but not limited to
letters, e-mails and facsimiles, sent by individuals to the Secretary,
Deputy Secretary, Senior Officers such as the Assistant Secretary of
OSERS and the Director of OSEP for whom the Department controls
responses to such inquiries. Further, this notice does not cover the
official correspondence files of OSEP, specifically the hard copies of
official documents and electronic images of certain incoming and
outgoing documents. These records are considered covered by the
Department\'s system of records 18-01-01, Secretary\'s Communication
Control System.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title I of the Individuals with Disabilities Education Act (IDEA), as
amended, 20 U.S.C. Section 1402.

## PURPOSE(S):

This system of records is maintained to provide its customers (parents,
advocates and others) with more responsive, consistent service; to
better track the large number of calls and other inquiries received; to
provide trend analysis by issue; to develop a profile of the issues that
arise in a certain State; to assist OSEP as a management tool in the
preparation of reports, and to monitor State implementation of the IDEA.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. These disclosures may be made on a case-by-case basis or,
if the Department has complied with the computer matching requirements
of the Computer Matching and Privacy Protection Act of 1998, under a
computer matching agreement.

\(1\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to DOJ and OMB if the Department
seeks advice regarding whether records maintained in the system of
records must be released under the FOIA and the Privacy Act of 1974.

\(2\) [Disclosure to the DOJ]{.underline}. The Department may disclose
records to the DOJ to the extent necessary for obtaining DOJ advice on
any matter relevant to an audit, inspection, or other inquiry related to
the programs covered by this system.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her official capacity where
the DOJ is requested to provide or arrange for representation of the
employee;

\(iv\) Any Department employee in his or her individual capacity where
the Department has agreed to represent the employee; or

\(v\) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR, and is compatible with the purpose for which the
records were collected, the Department may disclose those records as a
routine use to the DOJ.

\(c\) [Adjudicative disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the litigation or ADR, the
Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.

\(d\) [Parties, counsels, representatives and witnesses]{.underline}. If
the Department determines that disclosure of certain records to a party,
counsel, representative or witness is relevant and necessary to the
litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative or witness.

\(5\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a Member of Congress from the record of an
individual in response to an inquiry from the Member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(7\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulation, or order issued pursuant thereto.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

**STORAGE:**

The information in the tracking system will be stored on a server
maintained by the Department of Education. Records generated by the
system will be maintained electronically on the server.

### RETRIEVABILITY: 

This system will only be accessible to Departmental contractors and
employees of OSEP. Each record in this system can be retrieved by
entering in any of the categories of information listed under the
\`\`Categories of Records In This System\'\' in this notice.

**SAFEGUARDS:**

The primary users of this system, Monitoring and State Improvement
Planning Division (MSIP) employees in OSEP, will enter a unique user ID
as well as a password to enter the system. This user ID and password
will be in addition to the user ID and password that all Department
employees must enter to access the Department\'s computer system. Users
will be required to change their passwords periodically, and they will
not be allowed to repeat old passwords. Any individual attempting to log
on who fails is locked out of the system after three attempts. Access
after that time requires intervention by the system manager.

The computer system employed by the U.S. Department of Education offers
a high degree of resistance to tampering and circumvention. This
security system limits data access to Department and contract staff on a
\`\`need to know\'\' basis and controls individual users\' ability to
access and alter records within the system.

The location of the server includes safeguards and firewalls, including
the physical security of the server room. In addition, the server is
located in a secure room, with limited access only through a special
pass. Further, all physical access to the site where the server is
maintained is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or visitor
badge.

### RETENTION AND DISPOSAL:

Records in this system will be retained in accordance with the National
Archives and Records Administration (NARA) General Records Schedule 20,
Item 1.c which provides disposal authorization for electronic files and
hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer
needed for administrative, legal, audit, or other operational purposes.

### SYSTEM MANAGER(S) AND ADDRESS:

Deputy, MSIP Division, Office of Special Education Programs, Office of
Special Education and Rehabilitative Services, U.S. Department of
Education, Mary E. Switzer Building, Room 3630, 330 C Street, SW.,
Washington, DC 20202.

### NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists about you in the system
of records, provide the system manager with your name or your child\'s
name and your address. Your request for notification must also meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity. You may also present your request in person or make your
request in writing to the system manager at the above address.

### RECORD ACCESS PROCEDURES:

Request to access a record must also reasonably specify the record
contents sought and otherwise meet the requirements of the regulations
at 34 CFR 5b.5, including proof of identity.

### CONTESTING RECORD PROCEDURES:

If you wish to change the content of a record in this system of records,
you must contact the system manager at the above address and follow the
steps outlined in the Notification procedure. Requests to amend a record
must also reasonably identify the record, specify the information being
contested, provide in writing your reasons for requesting the change,
and otherwise meet the regulations at 34 CFR 5b.7.

**RECORD SOURCE CATEGORIES**:

Information in this system is obtained from parents, advocates, and
other third parties that contact OSEP with concerns or complaints
related to special education.

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

**18-16-02 RSA-911 Case Service Report**

(69 FR 18723-18726)

[[]{#Notice181602 .anchor}18-16-02](#Backto181602) April 8, 2004

**SYSTEM NAME:**

RSA-911 Case Service Report

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATION(S):**

Office of Policy and Planning, Office of the Assistant Secretary, Office
of Special Education and Rehabilitative Services, U.S. Department of
Education, 330 C Street, SW., Mary E. Switzer Building, room 3131,
Washington, DC 20202-2524.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

The RSA-911 Case Service Report database includes information on all
persons exiting the State Vocational Rehabilitation Services program (VR
program) during each fiscal year.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

This system consists of records relating to individuals who have exited
the VR program, including, but not limited to\--the individual\'s social
security number, disability characteristics, services and training,
health insurance, employment outcomes, and earnings.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

Sections 13(b) and 101(a)(10) of the Rehabilitation Act of 1973, as
amended (29 U.S.C. 712(b) and 721(a)(10)).

**PURPOSE(S):**

This system of records is maintained for program research and evaluation
purposes.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:**

The U.S. Department of Education (Department) may disclose information
contained in a record in this system of records under the routine uses
listed in this system of records without the consent of the individual
if the disclosure is compatible with the purposes for which the record
was collected. The Department may make these disclosures on a
case-by-case basis or, if the Department has complied with the computer
matching requirements of the Computer Matching and Privacy Protection
Act of 1988, under a computer matching agreement.

\(1\) [Freedom of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the Department of Justice (DOJ)
and the Office of Management and Budget (OMB) if the Department seeks
advice regarding whether records maintained in the system of records
must be released under the FOIA and the Privacy Act of 1974, as amended
(Privacy Act).

\(2\) [Disclosure to the DOJ]{.underline}. The Department may disclose
records to the DOJ to the extent necessary for obtaining DOJ advice on
any matter relevant to an audit, inspection, or other inquiry related to
the program covered by this system.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the records in the system.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)
Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her individual capacity if the
DOJ agrees or has been requested to provide or to arrange for
representation of the employee;

\(iv\) Any Department employee in his or her individual capacity if the
Department has agreed to represent the employee; or

\(v\) The United States if the Department determines that the litigation
is likely to affect the Department or any of its components.

\(a\) [Disclosure to the DOJ]{.underline}. If the Department determines
that disclosure of certain records to the DOJ is relevant and necessary
to litigation or ADR and is compatible with the purpose for which the
records were collected, the Department may disclose those records as a
routine use to the DOJ.

\(b\) [Adjudicative disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear or to an individual
or an entity designated by the Department or otherwise empowered to
resolve or mediate disputes is relevant and necessary to the litigation
or ADR, the Department may disclose those records as a routine use to
the adjudicative body, individual, or entity.

\(c\) [Parties, counsels, representatives, and witnesses]{.underline}.

If the Department determines that disclosure of certain records to a
party, counsel, representative, or witness is relevant and necessary to
the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.

\(5\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records from this system of records to that researcher solely
for the purpose of carrying out that research related to the functions
or purposes of this system of records. The researcher shall be required
to maintain Privacy Act safeguards with respect to the disclosed
records.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose information to a Member of Congress from the record of an
individual in response to an inquiry from the Member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(7\) [Enforcement Disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulations, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulations, or order issued pursuant thereto.

\(8\) [Disclosure for Use By Other Law Enforcement
Agencies]{.underline}. The Department may disclose information to any
Federal, State, tribal, local, or foreign agency or other public
authority responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law or regulations if
that information is relevant to any enforcement, regulatory,
investigative, or prosecutorial responsibility within the receiving
entity\'s jurisdiction.

\(9\) [Disclosure to Other Federal Agencies, Including the Social
Security Administration and the Department of Veterans
Affairs]{.underline}. The Department may disclose records to other
Federal agencies, including the Social Security Administration and the
Department of Veterans Affairs, for program research and evaluation
purposes.

\(10\) [Disclosure to the Veterans\' Disability Benefits
Commission]{.underline}. The Department may disclose records to the
Veterans\' Disability Benefits Commission if requested to do so by this
commission in order to carry out the provisions of Title XV of Pub. L.
108-136, the National Defense Authorization Act for Fiscal Year 2004.

**DISCLOSURES TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system of records.

**POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISCLOSING OF RECORDS IN THE SYSTEM:**

**STORAGE:**

The Office of Special Education and Rehabilitative Services (OSERS)
maintains all data on a computer mainframe and CD-ROMs. Printed reports
containing sensitive data produced from this system are maintained
within the locked filing cabinets within the access-restricted Basic
State Grants Branch within OSERS Headquarters.

**RETRIEVABILITY:**

This system will be accessible only to employees of OSERS. Each record
in this system can be retrieved by any of the categories of information
listed under the CATEGORIES OF RECORDS IN THE SYSTEM section in this
notice.

**SAFEGUARDS:**

Access to this system will require a unique user identification as well
as a password to enter the system. Users will be required to change
their passwords periodically, and they will not be allowed to repeat old
passwords. Any individual attempting to log on who fails is locked out
of the system after three attempts. Access after that time requires
intervention by the system manager.

The computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a "need to know\'\'
basis and controls individual users\' ability to access and alter
records within the system.

The location of the server includes safeguards and firewalls, including
the physical security of the server room. In addition, the server is
located in a secure room, with limited access only through a special
pass. Further, all physical access to the site where the server is
maintained is controlled and monitored by security personnel who check
each individual entering the building for his or her employee or visitor
badge.

All printed reports containing sensitive data produced from this system
are immediately used for data clearing procedures and then shredded or
placed into a confidential security file. The files are maintained
within the locked filing cabinets within the access-restricted Basic
State Grants Branch within OSERS Headquarters. In addition to these
controls, computers are not left on and unattended when users access the
database, and sensitive information is placed out of sight if visitors
are present.

Shared output does not contain sensitive information. Aggregated data
cannot be used to identify individuals. For individual-level data that
are shared with researchers, all identifying information is removed from
the file before the data are shared.

In addition, the following guidelines and procedures have been
implemented for protecting sensitive data and resources in this system:

Backup CDs are properly labeled "For Official Use Only\--Property of the
OSERS Basic State Grants Branch.\'\'

Electronic data (e.g., copies of the database on CDs with identifying
information and edit reports with identifying information) are stored in
the locked file cabinets in the OSERS Basic State Grants Branch.
Management, operational, and technical controls for ensuring the safety
of confidential information are detailed within the Case Services System
Security Plan.

**RETENTION AND DISPOSAL:**

Records in this system will be retained in accordance with the National
Archives and Records Administration (NARA) General Records Schedule 20,
Item 1.c, which provides disposal authorization for electronic files and
hard-copy printouts created to monitor system usage. Records will be
deleted or destroyed when the agency determines they are no longer
needed for administrative, legal, audit, or other operational purposes.

**SYSTEM MANAGER AND ADDRESS:**

RSA-911 Case Service Report System Manager, Rehabilitation Services
Administration, Office of Special Education and Rehabilitative Services,
U.S. Department of Education, 400 Maryland Avenue, SW., room 3226, Mary
E. Switzer Building, Washington, DC 20202-2524.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists about you in the system
of records, provide the system manager with your name, address, and
social security number. Your request for notification must also meet the
requirements of the regulations in 34 CFR 5b.5, including proof of
identity. You may also present your request in person or make your
request in writing to the system manager at the above address.

**RECORD ACCESS PROCEDURES:**

Request to access a record must also reasonably specify the record
contents sought and otherwise meet the requirements of the regulations
in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to change the content of a record in this system of records,
you must contact the system manager at the above address and follow the
steps outlined in the NOTIFICATION PROCEDURE section of this notice.
Requests to amend a record must also reasonably identify the record,
specify the information being contested, provide in writing your reasons
for requesting the change, and otherwise meet the regulations in 34 CFR
5b.7.

**RECORD SOURCE CATEGORIES:**

Records in this system are obtained from State vocational rehabilitation
agencies pursuant to Federal reporting requirements. These agencies
collect data from individuals with disabilities who exit their programs.

**SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:**

None.

**18-16-03 Study of Former Vocational Rehabilitation Consumers\'
Post-Program**

# Experiences (Post-Vocational Rehabilitation Experiences Study)

(FR 72 11340-11342)

March 13, 2007

[[]{#Notice181603 .anchor}18-16-03](#Backto181603)

**SYSTEM NAME:**

Study of Former Vocational Rehabilitation Consumers\' Post-Program
Experiences (Post-Vocational Rehabilitation Experiences Study).

**SECURITY CLASSIFICATION:**

None.

**SYSTEM LOCATIONS:**

(1) Rehabilitation Services Administration, Office of Special Education
    and Rehabilitative Services, U.S. Department of Education, 400
    Maryland Avenue, SW., Washington, DC, 20202-2800.

(2) \(2\) Westat, 1650 Research Boulevard, Rockville, MD, 20850-3195.

\(3\) InfoUse, 2560 Ninth Street, Suite 320, Berkeley, CA, 94710-2566.

**CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:**

This system contains records on former vocational rehabilitation (VR)
consumers whose VR service cases were closed in fiscal year (FY) 2006
(as determined from the RSA-911 Case Service Report). The sample of
former VR consumers includes those who achieved an employment outcome as
well as those who did not at the time of case closure. Four subgroups of
interest considered in the sample selection include transitioning youth
and young adults under 22 years of age, consumers with mental
retardation, consumers with psychiatric disabilities, and Supplemental
Security Income and Social Security Disability Insurance

beneficiaries.

**CATEGORIES OF RECORDS IN THE SYSTEM:**

The system contains information on a sample of former VR consumers whose
cases were closed in FY 2006. The system includes records from the
RSA-911 Case Service Report containing employment data about the
consumers, Social Security Administration data on receipt and amount of
social security benefits, Unemployment Insurance wage records data, and
information from baseline and follow-up surveys about post-VR
experiences, particularly related to employment outcomes and
post-closure services.

**AUTHORITY FOR MAINTENANCE OF THE SYSTEM:**

Section 14(a) of the Rehabilitation Act of 1973, as amended (29 U.S.C.
711(a)).

PURPOSE(S):

This system of records is maintained for program research and evaluation
purposes. The Rehabilitation Services Administration commissioned this
evaluation, which is also called the Post-Vocational Rehabilitation
Experiences Study. The Department\'s contractor, Westat,

is conducting the evaluation in collaboration with Westat\'s
subcontractor, InfoUse. The goal of this study is to examine the post-VR
experiences of former VR consumers, considering their labor market
progression, receipt of other services and resources from the community,
non-

economic outcomes, and receipt of Social Security Administration and
other benefits. The study will further consider changes over time, the
relationship between individual characteristics and outcomes, and how
outcomes vary by specific subgroups of former consumers.

**ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES**

**OF USERS AND THE PURPOSES OF SUCH USES:**

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if

the disclosure is compatible with the purposes for which the record was
collected. The Department may make these disclosures on a case-by-case
basis or, if the Department has complied with the computer matching
requirements of the Computer Matching and Privacy Protection Act of
1988, under a computer matching agreement.

(1) Freedom of Information Act (FOIA) Advice Disclosure. The Department
    may disclose records to the U.S. Department of Justice and the
    Office of Management and Budget if the Department concludes that
    disclosure is desirable or necessary in determining whether
    particular records are required to be disclosed under the FOIA.

(2) Contract Disclosure. If the Department contracts with an entity for
    the purposes of performing any function that requires disclosure of
    records in this system to employees of the contractor, the
    Department may disclose the records to those employees. Before
    entering into such a contract, the Department shall require the
    contractor to maintain Privacy Act of 1974, as amended (Privacy Act)
    safeguards as required under 5 U.S.C. 552a(m) with respect to the
    records in the system.

(3) \(3\) Research Disclosure. The Department may disclose records to a
    researcher if an appropriate official of the Department determines
    that the individual or organization to which the disclosure would be
    made is qualified to carry out specific research related to
    functions or purposes of this system of records. The official may
    disclose records from this system of records to that researcher
    solely for the purpose of carrying out that research related to the
    functions or purposes of this system of records. The researcher
    shall be required to maintain Privacy Act safeguards with respect to
    the disclosed records.

(4) Disclosure to Other Federal Agencies, Including the Social Security
    Administration at the Department of Veterans Affairs. The Department
    may disclose records to other Federal agencies, including the Social
    Security Administration and the Department of Veterans Affairs, for
    program research and evaluation purposes.

**DISCLOSURE TO CONSUMER REPORTING AGENCIES:**

Not applicable to this system notice.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

**STORAGE:**

The Department maintains records on CD-ROM, and the contractor and
subcontractor maintain data for this system on computers and in hard
copy.

**RETRIEVABILITY:**

Records in this system are indexed by a number assigned to each
individual that is cross-referenced by the individual\'s name on a
separate list.

**SAFEGUARDS:**

All physical access to the Department\'s site and to the sites of the
Department\'s contractor and subcontractor, where this system of records
is maintained, is controlled and monitored by security personnel. The
computer system employed by the Department offers a high degree of
resistance to tampering and circumvention. This security system limits
data access to Department and contract staff on a \`\`need to know\'\'
basis and controls individual users\'\' ability to access and alter
records within the system. The contractor, Westat, and its
subcontractor, InfoUse, have established similar sets of procedures at
their sites to ensure confidentiality of data. Their systems ensure that
information identifying individuals is in files physically separated
from other research data. They will maintain security of the complete
set of all master data files and documentation. Access to individually
identifiable data will be strictly controlled. At each

site, all data will be kept in locked file cabinets during nonworking
hours, and work on hardcopy data will take place in a single room,
except for data entry. Physical security of electronic data will also be
maintained. Security features that protect project data include
password-protected accounts that authorize users to use the Westat or
InfoUse system but to access only specific network directories and
network software; user rights and directory and file attributes that

limit those who can use particular directories and files and determine
how they can use them; and additional security features that the network
administrators establish for projects as needed.

**RETENTION AND DISPOSAL:**

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules, Part 3, Items 2b, 4a, and
5a.

**SYSTEM MANAGER AND ADDRESS:**

Joe Pepin, Unit Leader, Data Collection and Analysis Unit,
Rehabilitation Services Administration, Office of Special Education and
Rehabilitative Services, U.S. Department of Education, 400 Maryland
Avenue, SW., room 5057, Potomac Center Plaza, Washington, DC 20202-2800.

**NOTIFICATION PROCEDURE:**

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request for
information must meet the requirements of the regulations in 34 CFR
5b.5, including proof of identity.

**RECORD ACCESS PROCEDURES:**

If you wish to gain access to your record in the system of records,
contact the system manager. Your request must meet the requirements of
the regulations in 34 CFR 5b.5, including proof of identity.

**CONTESTING RECORD PROCEDURES:**

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations in 34 CFR 5b.7, including proof of
identity.

**RECORD SOURCE CATEGORIES:**

This system consists of information about former VR consumers and
includes information taken directly from former consumers. It also
includes data taken from the RSA-911 Case Service Report of former
consumers, Social Security Administration records, Unemployment

Insurance wage records data, and baseline and follow-up surveys about
post-VR experiences, particularly related to employment outcomes and
post-closure services.

**EXEMPTIONS CLAIMED FOR THE SYSTEM:**

None.

# 18-17-01 The Graduate Fellowship Programs Participants Study

(70 FR 51348-51351)

August 30, 2005

[[]{#Notice181701 .anchor}18-17-01](#Backto181701)

## SYSTEM NAME:

The Graduate Fellowship Programs Participants Study.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

Program and Analytic Studies Division, Policy and Program Studies
Service, U.S. Department of Education, 400 Maryland Avenue, SW., Room
6W231, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on graduate students who received financial
support through one or more of the following programs sponsored by OPE:
FLAS, DDRA, Javits, and GAANN during the years 1997-1999.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of the name, address, and social security number of
the study participants as well as demographic information such as
race/ethnicity, age, educational background, degree and enrollment
information; fellowship funding and financial support; employment; and
responses to survey questions.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 6381h and 6381j.

## PURPOSE(S):

The information in this system is used for the following purposes: (1)
to identify the educational outcomes of study participants; and (2) to
provide information to the Department on the extent to which study
participants obtain employment in areas that correspond to their fields
of study.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

The Department may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act,
under a computer matching agreement.

\(1\) [Freedom of Information Act (FOIA) and the Privacy Act of
1974]{.underline}

[Advice Disclosure]{.underline}. The Department may disclose records to
the Department of Justice (DOJ) and the Office of Management and Budget
if the Department seeks advice regarding whether records maintained in
the system of records are required to be released under the FOIA and the
Privacy Act of 1974.

\(2\) [Disclosure to the Department of Justice (DOJ)]{.underline}. The
Department may disclose records to the DOJ to the extent necessary for
obtaining DOJ advice on any matter relevant to an audit, inspection, or
other inquiry related to the programs covered by this system.

\(3\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department shall require the contractor to
maintain

Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect

to the records in this system.

\(4\) [Litigation and Alternative Dispute Resolution (ADR)]{.underline}

[Disclosures]{.underline}.

\(a\) [Introduction]{.underline}. In the event that one of the following
parties is involved in litigation or ADR, or has an interest in
litigation or ADR, the Department may disclose certain records to the
parties described in paragraphs (b), (c), and (d) of this routine use
under the conditions specified in those paragraphs:

\(i\) The Department, or any of its components; or

\(ii\) Any Department employee in his or her official capacity; or

\(iii\) Any Department employee in his or her official capacity if the
Department of Justice (DOJ) is asked to provide or arrange for
representation of the employee;

\(iv\) Any Department employee in his or her individual capacity if the
Department has agreed to represent the employee; or

\(v\) The United States if the Department determines that the

litigation is likely to affect the Department or any of its components.

\(b\) [Disclosure to the Department of Justice (DOJ)]{.underline}. If
the

Department determines that disclosure of certain records to the DOJ, or
attorneys employed by the DOJ, is relevant and necessary to litigation
or ADR, and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use to
the DOJ.

\(c\) [Adjudicative Disclosures]{.underline}. If the Department
determines that disclosure of certain records to an adjudicative body
before which the Department is authorized to appear, an individual or
entity designated by the Department or otherwise empowered to resolve or
mediate disputes is relevant and necessary to the litigation or ADR, the
Department may disclose those records as a routine use to the
adjudicative body,

individual, or entity.

\(d\) [Parties, counsels, representatives, and witnesses]{.underline}.
If the Department determines that disclosure of certain records to a
party, counsel, representative or witness is relevant and necessary to
the litigation or ADR, the Department may disclose those records as a
routine use to the party, counsel, representative, or witness.

\(5\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of this system of records. The official may
disclose records

from this system of records to that researcher solely for the purpose of
carrying out that research related to the functions or purposes of this
system of records. The researcher shall be required to maintain Privacy
Act safeguards with respect to the disclosed records.

\(6\) [Congressional Member Disclosure]{.underline}. The Department may
disclose records to a member of Congress from the record of an
individual in response to an inquiry from the member made at the written
request of that individual. The Member\'s right to the information is no
greater than the right of the individual who requested it.

\(7\) [Disclosure for use by law enforcement agencies]{.underline}. The
Department may disclose information to any Federal, State, local, or
other agency responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law or regulation if
that information is relevant to any enforcement, regulatory,
investigative,

or prosecutorial responsibility within the agency\'s jurisdiction.

\(8\) [Enforcement disclosure]{.underline}. In the event that
information in this system of records indicates, either on its face or
in connection with other information, a violation or potential violation
of any applicable statute, regulation, or order of a competent
authority, the Department may disclose the relevant records to the
appropriate agency, whether foreign, Federal, State, Tribal, or local,
charged with the responsibility of investigating or prosecuting that
violation or charged with enforcing or implementing the statute,
Executive order, rule, regulation, or order issued pursuant thereto.

\(9\) [Employment, benefit, and contracting disclosure]{.underline}.

\(a\) [Decisions by the Department]{.underline}. The Department may
disclose a record to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, or to another public authority or professional organization, if
necessary to obtain information relevant to a decision concerning the
hiring or

retention of an employee or other personnel action, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.

\(b\) [Decisions by Other Public Agencies and Professional]{.underline}

[Organizations]{.underline}. The Department may disclose a record to a
Federal, State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention of
an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the letting
of a contract, or the issuance of a license, grant, or other benefit, to
the extent that the record is relevant and necessary to the receiving
agency\'s decision on the matter.

\(10\) [Employee grievance, complaint or conduct
disclosure]{.underline}. The Department may disclose a record in this
system of records to another agency of the Federal Government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: Complaint, grievance,
discipline or competence determination proceedings. The disclosure may
only be made during the

course of the proceeding.

\(11\) [Labor organization disclosure]{.underline}. The Department may
disclose records from this system of records to an arbitrator to resolve
disputes under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation. The

disclosures will be made only as authorized by law.

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable to this system of records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Records are on a computer database as well as in hard copy.

### RETRIEVABILITY:

The records in this system are indexed by the name of the individual
and/or a number assigned to each individual.

### SAFEGUARDS:

All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained,
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to
tampering and circumvention. This security system limits data access to

Department and contract staff on a \`\`need to know\'\' basis, and
controls individual users\'\' ability to access and alter records within
the system. The contractor, InfoUse, has established a set of procedures
to ensure confidentiality of data. The system ensures that information
identifying individuals is in files physically separated from other
research data. InfoUse will maintain security of the complete set of all
master data files and documentation. Access to individually identifiable
data will be strictly controlled. All data will be kept in locked file
cabinets during nonworking hours, and work on hardcopy data will take
place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect
project data include password-protected accounts that authorize users to
use the InfoUse system but to access only specific network directories
and network software; user rights and directory and file attributes that
limit those who can use particular directories and

files and determine how they can use them; e-mail passwords that
authorize the user to access mail services and additional security
features that the network administrator establishes for projects as
needed.

### RETENTION AND DISPOSAL:

Records are maintained and disposed of in accordance with the
Department\'s Records Disposition Schedules (ED/RDS).

## SYSTEM MANAGER AND ADDRESS:

Director, Program and Analytic Studies Division, Policy and Program

Studies Service, U.S. Department of Education, 400 Maryland Avenue,

SW., room 6W231, Washington, DC 20202.

## NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations in 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, contact the system manager. Your request must meet the
requirements of the Department\'s Privacy Act regulations in 34 CFR
5b.5, including proof of identity.

## CONTESTING RECORD PROCEDURE:

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations in 34 CFR
5b.7, including proof of identity.

## RECORD SOURCE CATEGORIES:

Information in this system is obtained from surveys with graduate
students who received financial support through one or more of the
following programs sponsored by OPE: FLAS, DDRA, Javits, and GAANN
during the years 1997-1999. Surveys are being conducted as a source of
providing information.

## EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

# Follow Up Evaluation of the Gear Up Program

(70 FR 74792-74794)

December 16, 2005

[[]{#Notice181702 .anchor}18-17-02](#Backto181702)

## SYSTEM NAME:

Follow Up Evaluation of the Gear Up Program.

## SECURITY CLASSIFICATION:

None.

## SYSTEM LOCATION:

Program and Analytic Studies Division, Policy and Program Studies
Service, U.S. Department of Education, 400 Maryland Avenue, SW., Room
6W231, Washington, DC 20202.

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on middle school students who participated
in the GEAR UP program in 2000-01 and a comparison group of
non-participants from schools matched on socio-demographic
characteristics.

## CATEGORIES OF RECORDS IN THE SYSTEM:

This system consists of the name, address, and social security number of
the study participants as well as demographic information such as
race/ethnicity and age; educational background, transcript information,
service participation information, high school graduation, and
preliminary postsecondary enrollment information; and financial aid
application and award.

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

20 U.S.C. 1070a-27.

## PURPOSE(S):

The information in this system is used for the following purposes: (1)
to contribute to the legislatively mandated GEAR UP program evaluation;
and (2) generally to identify the educational outcomes of study
participants and the extent to which GEAR UP participation is associated
with positive outcomes in comparison to the control group.

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

\(1\) [Freedom Of Information Act (FOIA) Advice Disclosure]{.underline}.
The Department may disclose records to the U.S. Department of Justice
and the Office of Management and Budget (OMB) if the Department
concludes that disclosure is desirable or necessary in determining
whether the Freedom of Information Act (FOIA) requires particular
records to be disclosed.

\(2\) [Contract Disclosure]{.underline}. If the Department contracts
with an entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor, the
Department may disclose the records to those employees. Before entering
into such a contract, the Department must require the contractor to
maintain

Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect

to the records in the system.

\(3\) [Research Disclosure]{.underline}. The Department may disclose
records to a researcher if an appropriate official of the Department
determines that the individual or organization to which the disclosure
would be made is qualified to carry out specific research related to
functions or purposes of a system of records to which this routine use
applies. The

official may disclose records from this system of records to that
researcher solely for the purpose of carrying out that research related
to the functions or purposes of the system of records. The researcher
must maintain Privacy Act safeguards with respect to the disclosed
records.

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

Records are on a computer database as well as in hard copy.

### RETRIEVABILITY:

The records in this system are indexed by the name of the individual
and/or a number assigned to each individual.

### SAFEGUARDS:

All physical access to the Department\'s site, and the sites of
Department contractors where this system of records is maintained, is
controlled and monitored by security personnel. The computer system
employed by the Department offers a high degree of resistance to
tampering and circumvention. This security system limits data access to

Department and contract staff on a \`\`need to know\'\' basis, and
controls individual users\' ability to access and alter records within
the system. The contractor, Westat, has established a set of procedures
to ensure confidentiality of data. The system ensures that information
identifying individuals is in files physically separated from other
research data. Westat will maintain security of the complete set of all
master data files and documentation. Access to individually identifiable
data will be strictly controlled. All data will be kept in locked file
cabinets during nonworking hours, and work on hardcopy data will take
place in a single room, except for data entry. Physical security of
electronic data will also be maintained. Security features that protect
project data include password-protected accounts that authorize users to
use the Westat system but to access only specific network directories
and network software; user rights and directory and file attributes that
limit those who can use particular directories and files and determine
how they can use them; e-mail passwords that

authorize the user to access mail services; and additional security
features that the network administrator establishes for projects as
needed.

### RETENTION AND DISPOSAL:

Records are maintained and disposed of in accordance with the
Department\'s ED/RDS Part 3, Items 1, 2 or 3. Design, implementation,
and final reports of the study are permanent records. They are
maintained by the Department for 10 years, and then transferred to the
National Archives and Records Administration. Administrative records of
the study are destroyed 2 years after completion of the project.

## SYSTEM MANAGER AND ADDRESS:

Director, Program and Analytic Studies Division, Policy and Program
Studies Service, U.S. Department of Education, 400 Maryland Avenue, SW.,
room 6W231, Washington, DC 20202.

## NOTIFICATION PROCEDURE:

If you wish to determine whether a record exists regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations in 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, contact the system manager. Your request must meet the
requirements of the Department\'s Privacy Act regulations in 34 CFR
5b.5, including proof of identity.

## CONTESTING RECORD PROCEDURE:

If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the Department\'s Privacy Act regulations in 34 CFR
5b.7, including proof of identity.

## RECORD SOURCE CATEGORIES:

Information in this system is obtained from surveys with students who
were in middle school in 2000-01 and who participated in the GEAR UP
program and from a comparison group of students. Students are to be
surveyed in spring 2006 when normal progression would make them seniors
in high school. Surveys are being conducted as a source of providing
information.

## EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

# [[]{#SystemNoticeTemplate .anchor}System Notice Template](#BacktoBlankSystem) 

## SYSTEM NAME: 

## 

## SECURITY CLASSIFICATION: 

## 

## SYSTEM LOCATION: 

## 

## CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

## 

## CATEGORIES OF RECORDS IN THE SYSTEM:

## 

## AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

## 

## PURPOSE(S):

## 

## ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

## 

## DISCLOSURE TO CONSUMER REPORTING AGENCIES:

## 

## POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

### STORAGE:

### RETRIEVABILITY: 

### SAFEGUARDS:

### RETENTION AND DISPOSAL:

**SYSTEM MANAGER(S) AND ADDRESS:**

**NOTIFICATION PROCEDURES:**

**RECORD ACCESS PROCEDURES:**

### CONTESTING RECORD PROCEDURES:

### RECORD SOURCE CATEGORIES:

### SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: 

### [[]{#Acronyms .anchor}Organization Acronyms](#KeyAcronyms)

OS Office of the Secretary

OCFO Office of Chief Financial Officer

OCIO Office of the Chief Information Officer

OM Office of Management

OCO Office of Communications and Outreach

OLCA Office of Legislation and Congressional Affairs

OCR Office of Civil Rights

OGC Office of General Counsel

OIG Office of Inspector General

FSA Federal Student Aid

OPE Office of Primary Education

IES Office of Institute of Education Sciences

OIG Office of the Inspector General

OESE Office of Elementary and Secondary Education

OPEPD Office of Planning, Evaluation and Policy Development

OELA Office of English Language Acquisition

OSERS Office of Special Education and Rehabilitative Services